NOTE: If you are experiencing problems downloading a form from our page, try using an alternate browser (e.g., Firefox, Chrome, IE).
NEW!!! INSTRUCTIONS FOR SUBMITTING PROTOCOLS TO firstname.lastname@example.org MAILBOX
Effective April 11, 2016, all new protocol submissions, modifications, adverse events, violations and continuation reviews may be submitted by e-mail.
To submit by e-mail, all IRB forms and study documents should be submitted as one PDF that is readable, searchable, and contains standardized bookmarks. See step-by-step instructions on how to prepare your Initial Expedited application submission: [PDF]
Only have Adobe Reader? To perform OCR and bookmark, download Adobe Pro.
Email completed PDF submissions to email@example.com. You will receive an automated notification of receipt by email. Please contact Heather Gozzard at Heather.Gozzard@uky.edu or Michelle Hill at Michelle.Hill@uky.edu with any questions.
There are seven sections to the IRB application. Depending on the nature of your research, some sections will apply to your research, some will not. Please review each section to determine applicability to your research, and include the Forms appropriate for your study in your IRB application submission. The number of copies required for submission of a complete application is noted below, and within the instructions for each section. When preparing your application, sort applicable materials alphabetically and then collate (e.g., each packet has applicable forms A-Z). Incomplete or inappropriately compiled applications are subject to being sent back to the PI.
Note: The Sections include a combination of Forms to fill out, and guidance/ instruction for documents you may need to provide copies of or that you may need to develop. Forms to fill out (when applicable to your research) are denoted by the option to download either a WORD or RTF document.
Note: The icon indicates a document that is a PDF E-form.
Core Application - completion of A, A-1, & B is required
|Form A-1||Expedited Certification Form - REQUIRED [WORD] [RTF] Revised 8/23/13||Form A-1 Instructions [HTML]|
|Form B||Research Description with Appendices [WORD] [RTF] 10/12/15||The WORD or RTF version may be saved to the location of your choice, and then used as a guideline while editing for your specific protocol.|
Informed Consent/Assent Process
You must select at a minimum, applicable item(s) from Form C - F.
*Mandatory if in HIPAA Covered Entity*
Form C Instructions [HTML]
HIPAA Authorization Regulations [PDF]
Issues and Sample Language for Specimen Studies [PDF]
Sample Research Repository Consent [PDF]
Form D Instructions [HTML]
Form E Instructions [HTML]
Form F Instructions [HTML]
|Form G||If Department of Health and Human Services (DHHS)-approved protocol (such as NIH-sponsored Cooperative Group Clinical Trial), attach the DHHS-approved Sample Informed Consent Form||Form G Instructions [HTML]|
|Form H||For recruitment of Non-English speaking subjects, attach translated consent document||
Form H Instructions & info pertaining to subjects from a foreign culture [HTML]
HIPAA (Health Insurance Portability and Accountability Act)
Visit ORI's Health Insurance Portability and Accountability Act (HIPAA) web page to determine if your research falls under the HIPAA Privacy Regulation.
Complete Form I if you plan to de-identify the data, however, if you retain a link the HIPAA Waiver of Authorization (Form K) applies.
|Form J||Effective 12/5/13, this form has been eliminated. If HIPAA Authorization is required for your research, you must use the Informed Consent/HIPAA Combined Template as a guide to develop your consent/authorization document.|
Waiver of Authorization Guidance [HTML]
Additional Study Materials
Complete/attach all of the below items that apply to your research.
Proposed advertisement(s) of any type for recruiting subjects
Form L Instructions [HTML]
|Form M||Proposed data collection instrument(s) (i.e., survey(s), questionnaire(s))||Form M Instructions [HTML]|
|Form N||Effective 8/28/13, this form has been eliminated. Applicable off-site questions have been incorporated into other parts of the IRB application. Please be sure to complete the most recent versions of Form A and Form B for your application submission.||
Off-Site Research - IRB Application Instructions [HTML]
Use of Any Drug* Being Tested in Research - Form *May include dietary supplements, or substances generally recognized as safe (GRAS) when used to diagnose, cure mitigate, treat or prevent disease
Form O Instructions [HTML]
|Form P||Use of Any Device Being Tested in Research - Form [WORD] [RTF] Revised 7/28/15||Form P Instructions [HTML]|
|Form Q||Use of Radioactive Materials (Radiation Safety Form) [WORD] [RTF] Revised 4/19/05||Form Q Instructions [HTML]|
|Form R||[previously for VA Form 10-1223] Click HERE for new information||
|Form S||Copy of the package insert or FDA approved label (PDR reference)||Include for drug or device studies using the FDA approved medication/device for approved medical indication.|
Complete all of the forms below that apply to your research.
Adults with Impaired Consent Capacity: Web-Based Tool [to determine research risk level and likelihood of consent impairment]
Form T Instructions [HTML]
Form U Instructions [HTML]
Form V Instructions & Suggested Consent Form Language [HTML]
Form W Instructions [HTML]
Materials for Primary Reviewer and Detailed Protocol/Grant Application Review
|Form X Form Y||Note "Form X" and "Form Y" for Disclosure of Financial Interest (DFI) have been replaced by a question in "Form A" and the Office of Sponsored Projects Administration (OSPA) online financial disclosure form.||
Instructions for OSPA's online financial disclosure form [PDF]
OSPA's Disclosure of Financial Interest Survey Sample [PDF]
Form Z Instructions [HTML]
Attach if seeking a grant or a grant received.
Sponsor's detailed drug protocol and/or the complete Department of Health and Human Services (DHHS)-approved protocol (such as NIH-sponsored Cooperative Group Clinical Trial)
|Attach if conducting research involving administration of drug(s).|
Attach if conducting research involving administration of drug(s)
|Form DD||Device/detail protocol proposal||Attach if conducting research involving the use of a device(s).|
NOTE: The Office of Research Integrity will forward to the University of Kentucky Hospital Investigational Drug Service (IDS) the detailed protocol and IRB application form per UK Hospital Policy on drug research. Please contact the IDS at 859-323-6969 for additional information. IDS may contact investigators directly if additional documentation is needed to meet Hospital policy.
Other Required Committee/Review Approvals
Institutional Biosafety Committee (IBC)
Form EE Instructions [HTML]
Radioactive Drug Research Committee (RDRC)
Form FF Instructions [HTML]
[previously for Markey Cancer Center (MCC) Protocol Review Committee (PRC)] -- 3/18/10: IRB Review is independent of PRC Review
See Other Review Committees Info: [HTML]
[previously for GCRC but no longer in use]
|Form II||Medical Center/College of Medicine||
[For involvement of Medical Center students and/or College of Medicine students as research subjects.]
Form II Instructions [HTML]
|Form JJ||[previously for Veterans Affairs Research & Development Committee (VA R&DC)] Click HERE for new information||
In accordance with federal regulations, a research study can be reviewed through an expedited review procedure if:
- the research activities involve no more than minimal risk;
- the only involvement of human subjects is in one or more of several specified categories.
In addition, the IRB may also use the expedited review procedure to review minor changes in previously-approved research during the period for which approval is authorized.
Under the expedited review mechanism, the review is carried out by an experienced member(s) of the IRB. The reviewer(s) may exercise all of the authorities of the IRB, except that he/she may not disapprove the research.
A summary of the expedited review procedures is provided below:
- The preliminary determination that a research project is eligible for expedited review is made by the investigator. The EXPEDITED CERTIFICATION FORM (Form A-1) serves as a guide in making this determination. In addition, questions of interpretation may be directed to the Office of Research Integrity (859-257-6071).
- The investigator prepares an application following the instructions as specified on the Expedited Review IRB application instructions page.
- The Expedited Certification Form (Form A-1) should be completed and included in the application submitted to the Office of Research Integrity at firstname.lastname@example.org. Applications may be submitted at any time. There are no deadline dates to meet as the review process is initiated upon receipt of the application.
- The application is sent to the designated reviewer upon receipt in the Office of Research Integrity. The investigator is not required to appear before the IRB.
- The review process takes approximately two weeks. The outcome of the review usually falls into one of the following categories:
- protocol approved as submitted;
- approval withheld pending submission of revisions and/or additional information;
- protocol requires full review.
- The Office of Research Integrity notifies the investigator in writing of all IRB decisions.
Note that all incomplete IRB applications will not be scheduled for review but returned to the PI. If you have questions concerning submission of a research protocol for IRB review, please call the Office of Research Integrity at 859-257-9428.