IRB#1 Initial Protocol Application Instructions

PART I, page 1  

  1. Please be advised that STUDENTS  are not permitted to serve as principal investigators. They may be listed as co-investigators only and must complete Page 13 & 14 of the application (or Attachment C if there is more than one).
  2. Personal InformationComplete all requested information. If this is a student-generated research protocol you must give the student’s name.
  3. As part of the requirement for submission, you must include:  A) a copy of your CV, B) current applicable license, and C) board certification information for the purpose of verification of credentials (if applicable).
  4. If you will be conducting this research protocol at the Huntington VA Medical Center (VAMC), you must also attach the completed VA Investigator Data Form. This form is located on the VA page of the Office of Research Integrity (ORI) website.

PART I, pages 2, 3

  1. Research ExperiencePlease answer all questions concerning your research experience. You must also list the two (2) most recent studies in which you have been involved. If you have not been involved in any studies put N/A.
  2. Conflict of InterestAll Conflict of Interest questions must be answered. If you answer “yes” to any question you must complete and submit the Significant Financial Interest Disclosure Form (SFID). Definitions of what constitutes a conflict of interest can be found in the Standard Operating Procedures Manual.
  3. Research StaffPlease include the names and positions of all co-investigators and research staff personnel who will be directly involved with this study. All personnel listed will be required to complete the required training and must also acknowledge any conflicts of interest. All listed co-investigators and research staff are required to submit a copy of the Attachment C form located at the end of the Initial Application. The following items must be included for each research staff member when submitting this application to the MU IRB:  (1) an Attachment C form, (2) a copy of their CV/resume, current license and board certification (if applicable), and three (3) copies of CITI education completion report.
  4. List the external sites where the research will be conducted (e.g. schools, businesses or health care facilities).  Note: You must obtain written permission from the external sites prior to study approval.

PART II, pages 4, 5, 6, 7

  1. Selection of Facilities:  Please select all facilities where this research will be conducted. (If you select the Huntington VAMC, there will be additional documents to complete.  This information will follow as it pertains to different areas of the protocol submission process.)
  2. Protocol Description: Enter Protocol Title and complete all requested information.
  3. Sponsor or Participating Agency:  If the study is sponsored, complete this section.  If it is not applicable, put N/A.  Attach Verification of Allocated Funds along with a copy of the contract or grant proposal.
  4. Test Article:  If the study involves investigational drugs or devices, you must complete this section and attach a description of the procedures that will be followed so that only authorized individuals will be able to access the investigational drugs or devices, and that they will only be used for individuals who are participants in this research protocol.
  5. Study Subjects and Procedures:  The total number of anticipated subjects is the number that you would like to have participate in the study. Insert the minimum and maximum number of participants that you would allow.
  6. Recruitment:  This section must be completed. If any of the questions are not applicable to your study, put a checkmark in the N/A box.
  7. Informed Consent:  If your study protocol does not require a Consent Form, please answer N/A. If your study protocol will be using a consent, please refer to the Informed Consent chapter of the Standard Operating Procedures Manual on the ORI website for the consent templates. The consent must also contain all elements of the Health Insurance Portability and Accountability Act (HIPAA) or a HIPAA consent must also be submitted.  If the consent will be used at the Huntington VAMC, the consent must include 10-1086 forms. If you desire assistance on the proper format for a VA consent, please refer to the VA consent template. The 10-1086 form and the consent template can be located here on the ORI website. Assent and Parental Permission Forms:  If your study protocol will be using children up to 18 years old, you must submit an assent and a Parental Permission Form. Please refer to the Informed Consent chapter of the Standard Operating Procedures Manual for additional information and templates.
  8. Confidentiality:  Please provide the information related to confidentiality.
  9. Privacy:  You must describe the provisions to protect the privacy interests of participants.
  10. Monetary Reimbursement:  Each question in this section must be answered. If there are no subject charges, put a checkmark in the N/A box.
  11. Abstract:  Please provide a brief abstract of your proposed research (500 words or less). It must be written in lay terms, since an IRB member (i.e. community representative) may not have a background in medical terminology or be familiar with this field of medicine. The outline format for the abstract should be written as follows:  [1] The Purpose of the Research (Objectives), [2] The Scientific or Scholarly Rationale (Research Plan), [3] Procedures to be Performed (Methods), [4] A Description of What Procedures Were Being Performed Already for Diagnostic or Treatment Purposes (if any), [5] Risks and Potential Benefits of the Research (include safeguards provided), and [6] Complete Inclusion/Exclusion Criteria.

PART III, page 8

  1. Training:  As a requirement for the submission of this application, all personnel directly involved with this research protocol MUST complete the CITI Educational training BEFORE submitting this protocol to the MU IRB for review. Please follow the instructions carefully.  The CITI site is located on the Education page of the ORI website.
  2. MU ORI Educational Coordinator :  The Marshall University ORI educational coordinator is Bruce Day. He is available from 8 a.m. to 4:30 p.m., Monday through Friday. Mr. Day can be reached at 304.696.4303 or

PART IV, page 8

  1. Type of Review Requested:  Please review attachments A and B, which list the criteria for Exempt and Expedited review. Please indicate which type of review you believe your protocol should receive. If this protocol does not meet the criteria for Exempt or Expedited review, the protocol must receive a full board review. The IRB chairperson or their designee will make the Exempt or Expedited determination. Exempt: If you request Exempt, then complete the Exempt Checklist on page 10 and 11. Expedited:  If you request Expedited, you must complete and include the Expedited Protocol Assessment Form and the Expedited Checklist on Page 12. Convened:  You must complete and include the Initial Protocol Assessment FormCIRB: If you are requesting a review from the CIRB, then you must complete and include the Initial Protocol Assessment Form.
  2. Fees:  Please read this section on applicable fees and waivers.

PART V, page 9 

  1. Certification and Assurance:  As the principal investigator for this research, you are required to electronically sign this verification and assurance of the following:  (1) all training has been completed, (2) all co-investigators and research staff have completed the required training and signed the Attachment C, (3) all information presented in this application is accurate and correct, (4) you will notify the IRB of ANY proposed changes to the protocol, (5) you have reviewed the Standard Operating Procedures, (6) you will abide by the informed consent process, and (7) YOU WILL PROTECT THE RIGHTS AND WELFARE OF EACH SUBJECT TO THE BEST OF YOUR ABILITY.
  2. Protocol Submission Deadlines:  The protocol application, Initial Protocol Assessment Form (if requesting full board review), funding information, training certificates, co-investigators/research staff training certificates, copies of all research personnel CVs and licensure information, and all other protocol-related information must be submitted at least 30 days in advance of the next scheduled IRB meeting. Submission dates and meeting dates can be located on the ORI website. In preparation for submission of the initial protocol information to the ORI, the following must be submitted for the appropriate category of review required. (Complete packets include: initial application, principal investigator/co-principal investigator/research staff CVs, study protocol, consents/assents (if applicable), advertising materials, surveys, study abstract, Initial Assessment Form (if applicable), sponsor contract (if applicable), signed Attachment C forms and training documentation for all research staff.) To comply with the ORI/IRB deadlines, it is very important that the principal investigator take the responsibility to review the Exempt and Expedited criteria checklists thoroughly to ensure the correct type of review is selected and the correct documentation is submitted for review. The IRB chairperson or his/her designee will make the Exempt or Expedited determination. In the event that a principal investigator’s request for exempt or expedited review is not accepted by the IRB chairperson or his/her designee, the investigator will be notified immediately to complete the Initial Assessment Form for submission to ORI/IRB. This process may delay the review of the submitted protocol on the meeting date desired.
  3. MU IRB Coordinator:  The Marshall University IRB #1 coordinator is Trula Stanley. She is available from 8 a.m. to 4:30 p.m., Monday through Friday. Mrs. Stanley can be reached at 304.696.7320 or

ATTACHMENT A, pages 10, 11

  1. Exempt Status:  This checklist delineates all the categories that qualify a protocol for exempt review. A study must fall into one of these categories to qualify as exempt. If a protocol receives exempt status, it will be reported and documented at the next IRB meeting.


  1. Expedited Review Criteria:  This checklist describes all of the categories that qualify a protocol for expedited review. In order for a protocol to qualify for this type of review, it must pose no more than minimal risk and fall into one of the 7 categories. If a protocol receives expedited approval, it will be reported and documented at the next IRB meeting.

ATTACHMENT C, pages 13, 14

  1. Co-Investigators/Research Staff Information and Certification:  This is the verification form that is used by the co-investigators and research staff that assures they have completed all required training, all conflicts-of-interest have been revealed, and that they will protect the rights and welfare of each subject to the best of their ability. This form must be completed by all individuals listed as research staff for this protocol.


  1. Protocol Submission:  If the protocol application and all requested additional documents have been received on time at ORI, a notification will be sent to the reviewer that the study is ready for review. A file will be created on IRBNet, which will include all documents associated with the protocol.
  2. Chairperson Review:  The IRB chairperson or their designee will review the protocol and make the final determination if it qualifies for Exempt Status, Expedited Review or a Full Board Review. If the protocol qualifies for Exempt or Expedited Review, a notification stating (1) approval, (2) approval with changes or (3) disapproval, will be sent to the principal investigator from the IRB chairperson. The notification will include information concerning the status of the protocol and when the protocol will be due for continuing review, if applicable. If the protocol requires a Full Board Review, the Primary and Secondary Reviewers will determine if the principal investigator will be required to attend the next scheduled IRB meeting to present additional information about their study protocol. The ORI will contact the principal investigator of this request to present at the meeting and schedule an appointment.
  3. Full Board Review Process:  After the meeting, a notification will be forwarded to the principal investigator stating that the protocol was (1) approved with no changes, (2) approvable with minor changes, (3) approvable with substantial changes, (4) deferred pending receipt of additional substantive information or (5) disapproved. If a consent/assent and Parental Permission Form will be used, it will be electronically stamped with the date of its approval. ONLY this stamped informed consent/assent or Parental Permission Form may be used to make copies for subjects. The consent is available on IRBNet.


  1. Continuing Review:  The Board will determine the frequency for continuing review for each protocol that is approved. It is the principal investigator’s responsibility to ensure their protocol does NOT exceed the expiration date for their protocol. If this occurs, the study will be closed automatically and the investigator will have to re-submit the protocol as a new submission. This process will take place for every continuing review for the duration of the protocol. If at any time the protocol is CLOSED, please inform the ORI immediately through IRBNet and the protocol will be closed. For more information about Continuing Review, please refer to the Continuing Review Application Instructions located on the ORI website.
  2. Ensuring Prompt Reporting of Unanticipated Problems Involving Risks to Participants or Others:  All unanticipated problems involving risks to participants or others must be submitted to the IRB as soon as possible. To submit these problems, the principal investigator must complete an AE/SAE/Problem Report Form. You can also read more information concerning this subject in chapter 12 of the SOP. The form must be completed and electronically signed by the principal investigator. The completed form and all information concerning the AE/SAE must be submitted online to ORI.
  3. Periodic Study Subject Surveys:  ORI conducts random surveys of ACTIVE study subjects for all ACTIVE protocols. The use of these surveys will generate the following types of information:  (1) Did the subject understand the study, (2) Was the subject given sufficient information about risks and benefits to be able to reach an informed decision, and (3) Did the subject understand that they were being asked to volunteer to participate and that they had the right not to participate. There will also be random surveys for recently closed protocols.