Click here for a spreadsheet listing all of the questions and logic in the Application, AE/ORIO and SCR forms with Release 1.5 changes highlighted in yellow.
- New logic in the forms may require that study teams enter additional information on submissions currently in process.
- The option of selecting "Not Available Electronically," to indicate that hard copy documents will be provided to the IRB, has been removed in the following sections:
- 1-1 Standard Study Information
- 1-1.4.1 IRB documentation outlining the previous review outcome
- 1-5 HUD
- 1-5.12 Humanitarian Device Exemption (HDE) documentation
- 1-6 PRC documents
- 1-6.0 Scientific Protocol
- 2 Sponsor Information
- 2.4 Supporting documentation - external
- 2.7 Supporting documentation - internal
- 3-1 Performance Sites
- 3-1.8 Site approval documentation
- 5.1 Scientific Protocol
- 11-2 Confidentiality
- 11-2.1 Certificate of Confidentiality
- 27. Deception
- 29 Survey
In the Standard Study Information section:
- Questions 1-1.3 and 1-2.1 now default to the PI's department instead of the person who created the application.
- Question 1-1.4 - question reworded for clarification - "Has this study been previously disapproved by any UM or non-UM IRB?" instead of "Has this study been previously submitted to this or any other UM or non-UM IRB for approval?"
- Question 1-2.2 - question reworded for clarification - "Affirm that separate IRB approval will be obtained for any research study or activity directly involving human subjects (or their identifiable information)" phrase in parentheses was changed from "conducted under the purview of this application."
In the PRC/CPC PRC Information section:
- Question 1-6.3 - Changed question to: "Does this trial require Cancer Center Resources (patients, space, CTO, biostatistics, IDS, CCCores)?" and added upload question for CTRAC application.
In the External Sponsor Detail section:
- The word "Support" has been changed to "Sponsor/Support" throughout the form for clarity.
- Question 2.2. - Changed Column Head in External Sponsor Table search results to "Sponsor ID" from "ID".
- Question 2.2.4 - Added "(if assigned)" to question.
- Question 2.4 - question reworded for clarification - Upload all of the following documents that apply:
- Grant (- question added - required for "Government - Federal" sponsor types)
- Contract application (- question added - required for "Government - Federal" sponsor types)
- Sponsor budget (- question added - required for use of GCRC resources)
- Sponsor application
- PAF
- Most recent competing renewal application
In the University of Michigan Study Functions section:
- Question 3.1 - the selection "Observation" was changed to "Observation of behavior (direct or indirect)".
In the Research Design section:
- Question 5-1.4 - Changed text to: "Briefly outline the special expertise and qualifications of the PI, Co-Investigators, and/or Faculty Advisors to conduct and/or oversee the particular procedures or activities involved in this particular study."
- Question 5.2 - reworded and moved from Section 8 for better flow and branching logic - "Will the involvement of ANY subjects in this study be limited to analysis of their existing data or specimens (other than any potential informed consent process, there will be no DIRECT interaction/intervention with these subjects. Involvement for these subjects is limited to analysis of subject data in existing databases, data sets, medical records, and/or specimens from banks or repositories?"
- Question 5.3 - moved from Section 8 for better flow and branching logic - "Will the study involve recruitment and/or participation of subjects in order to produce new data (e.g., surveys, interaction, and intervention)? [Require sections 8-3 and 11-3]"
- Questions 5-1.1 through 5-1.6 - Objective, Specific Aims, Background, Study Team Expertise, Methodology, Statistical Design questions all moved from the first page of Section 5 to Section 5-1. By splitting Section 5, certain users (Cancer Center) will be allowed to skip Section 5-1.
In the Benefits and Risks section:
- Question 6.3 - changed wording of first paragraph to read: "Provide a description of the foreseeable risks to the subjects. (Rarely is a study completely risk-free. Consider physical, psychological, social/reputation, legal, financial, privacy risks, etc.)"
In the Special Considerations section:
- Section 7 - Questions have been reordered and grouped into three sections: Section 7, Section 7-1, and Section 7-2. Splitting this section allows Data Analysis Only users to skip certain questions (see table below).
Section 7 Reordering - (Analysis Only Sections highlighted in yellow)
Category |
Old Question # |
New Question# |
Requires Section # |
Specimens |
7.3 |
7.1 |
18 |
Genetic Analysis |
7.4 |
7.2 |
20 |
Secondary Data Analysis |
7.5 |
7.3 |
24 |
HIPAA |
7.6 |
7.4 |
25 |
Epidemiological |
7.7 |
7.5 |
26 |
Foreign |
7.11 |
7.6 |
30 |
Commercial Development |
7.13 |
7.7 |
|
Payments |
7.1 |
7-1.1 |
13 |
Health-care |
7.2 |
7-1.2 |
14 |
Deception |
7.8 |
7-1.3 |
27 |
Internet |
7.9 |
7-1.4 |
28 |
Survey |
7.10 |
7-1.5 |
29 |
Audio-visual |
7.12 |
7-1.6 |
31 |
Drugs |
7-1.1 |
7-1.7 |
15 |
Placebo |
7-1.3 |
7-1.8 |
17 |
Stem Cells |
7-1.4 |
7-1.9 |
19 |
DSMP |
7-1.8 |
7-1.10 |
32 |
Devices |
7-1.2 |
7-2.1 |
16 |
Radiation |
7-1.5 |
7-2.2 |
21 |
Transplants |
7-1.6 |
7-2.3 |
22 |
Gene Transfer |
7-1.7 |
7-2.4 |
23 |
- Question 7-1.2 - Reworded text of question to read: "Will subjects undergo healthcare-related treatments or procedures (standard of care and/or experimental) as part of the study intervention?"
- IRB Flint studies are no longer routed to skip Section 7-1.
In the Subject Recruitment section:
- Question 8-3.1 - four new selection options added to subject pools used for recruitment:
- UM Human Research Recruiting Registry (e.g., Engage - http://www.med.umich.edu/engage/)
- Department or unit-specific research recruiting registry (provide UM IRB project number below)
- Patients or their medical records from the UM Health System or any other UM health care provider (e.g., School of Dentistry, University Health Service, University Center for Language and Literacy)
- M-CARE, M-CAID, MHIC or MHMC members. Patients of non-UM physicians, dentists, or other health care providers or facilities
- Also a new text field has been added for users to provide related UM IRB project number or subject pool description.
- New Question 8-3.6 - "If Web pages will be used, provide the Web address (URL) for the location where the pages will be posted (also upload the content of the pages below)"
Section 9-1 and subsequent detail pages for vulnerable populations will be skipped when users indicate that they're not interacting with subjects in question 5.2 .
In the Subject Populations section:
- Question 9-1.1 - selection option added to Subject Populations: "Unknown unspecified population".
- Updated text in Section 9-1 about what sections are required (see table below):
Old Selection Wording |
New Selection Wording |
Children (Minors under the age of 18) [Require Sections 33 and 41] |
Children (Minors under the age of 18) [Require Sections 33 and 41 or Section 33-1 for analysis only studies ] |
Viable neonates [Require Sections 33 and 41] |
Viable neonates [Require Sections 33 and 41 or Section 33-1 for analysis only studies .] |
Neonates of uncertain viability and/or non-viable neonates [Require Section 34] |
Neonates of uncertain viability and/or non-viable neonates (do not check this box if the research is solely retrospective. For retrospective research regarding neonates of uncertain viability, check the box for 'children'. See Help for additional information.) [Require Section 34 . ] |
Individuals and/or Products Involving Human In Vitro Fertilization |
Individuals and/or products involving human in-vitro fertilization |
Pregnant women and/or fetuses [Require Sections 35 and 41] |
Pregnant women and/or fetuses [Require Sections 35 and 41or Section 35-1 for analysis only studies ] |
Lactating women [Require Section 36] |
Lactating women [Require Section 36 studies involving interaction/intervention .] |
Women of child-bearing potential [Require Section 37] |
Women of child-bearing potential [Require Section 37 studies involving interaction/intervention ] |
Prisoners (If the research includes a study population that is likely to become incarcerated during the conduct of the research, also select this category) [Require Sections 38 and 41] |
Prisoners (If the research includes a study population that is likely to become incarcerated during the conduct of the research, also select this category) [Require Section 38 for all studies. Require Sections 38 and 41 for studies involving interaction/intervention ] |
Cognitively impaired adults [Require Sections 39 and 41] |
Cognitively impaired adults [Require Sections 39 and 41 studies involving interaction/intervention .] |
College students [Require Sections 40 and 41] |
College students [Require Sections 40 and 41 for direct interaction studies ] |
Economically or educationally disadvantaged persons [Require Section 41] |
Economically or educationally disadvantaged persons [Require Section 41 for direct interaction studies .] |
Patients of the study team [Require Section 41] |
Patients of the study team [Require Section 41 for direct interaction studies ] |
Employees, students or trainees of the study team [Require Section 41] |
Employees, students or trainees of the study team [Require Section 41 studies involving interaction/intervention .] |
Family members of the study team [Require Section 41] |
Family members of the study team [Require Section 41 studies involving interaction/intervention ] |
In the Informed Consent section:
- Question 10-1.4 - selection option added to anticipated costs to subject: "Cost of routine health care that would be incurred for this condition if the subject were not participating in the research study".
In the Confidentiality/Security section:
- Section 11 - Confidentiality/ Security - Questions have been reordered and grouped into five sections for better flow and branching logic:
- Section 11 - Confidentiality/ Security
- Section 11-1 - Identifiable Data
- Section 11-2 - Certificate of Confidentiality
- Section 11-3 - End of Subject Participation
- Section 11-4 - Bank/Repository Detail
- New Question 11-1.4 - Will individually identifiable sensitive data be accessed, collected, used, maintained, or disclosed in the study? Sensitive data is defined in the University's Standard Practice Guide, SPG #601.12. It includes personal identifiable information about employees, students, and patients of the University.
- 11-1.4.1 - Will a continuous, periodic, or automatic feed of sensitive data be set up to provide data directly from any University information system (e.g., M-Pathways, U-M Data Warehouse, CareWeb)?
If yes, list each of the systems involved and briefly describe the data feed and reasons it is needed.
- 11-1.4.2- Will sensitive data be accessed by individuals who are not University employees?
- 11-1.4.3- Will sensitive data be stored on or accessed from computer equipment that is not maintained and supported by a University IT services provider (e.g., MAIS, MCIT, MSIS) - such as home computers, grant-funded computers, etc.?
- 11-1.4.4 - Will sensitive data be stored on portable devices (e.g., laptops, PDAs, flash drives) in unencrypted form?
- Question 11-3.1 - moved from 6.7 for better flow - "What specific criteria will be used to prematurely end a particular subject's participation in the study (e.g., predetermined safety endpoints, unexpected clinically significant findings, situations of distress or adverse events)? (If covered in attached document, indicate specific location. Failure to do so may result in delays in the review process or return of the application.)."
- New Question - 11-3.2 - If a participant withdraws from the research, what is the plan to use, disclose, store, or destroy the participant's data?
- New Question - 11-4.5 - Is the subject required to participate in the bank or repository as a condition of participating in the research?
- If yes, provide a justification for conditioning participation in the research on inclusion of data or specimens in the bank or repository. If the information is included in the attached protocol, please indicate section.
- Question 11.2 - question reworded for clarification - "How will the research records and data be protected against inappropriate use or disclosure, or malicious or accidental loss or destruction? Records and data include informed consent documents, case report forms or study flow sheets, survey instruments, database or spreadsheet, screening logs or telephone eligibility sheets, web based information gathering tool, audio/video/photo recordings of subjects, labeled specimens, data about subjects, subject identifiers, etc. Select all that apply:
- Locked office
- Locked cabinet or storage unit
- Restricted access
- Destruction of source data immediately after data collection (e.g., to preserve anonymity of a vulnerable population)
- Restrictions on copying study-related materials
- Access rights terminated when authorized users leave the project or unit
- Secure laptop
- Individual ID plus password protection
- Routine electronic back up
- Disaster recovery plan
- Encryption of digital data
- Network restrictions
- No non-UM devices are used to access project data, or any that are used to access project data use secure connections to communicate with U-M services (e.g. VPN - "virtual private network")
- Security software (firewall, anti-virus, anti-intrusion) is installed and regularly updated on all servers, workstations, laptops, and other devices used in the project
- Safe disposition/destruction of data or devices, as appropriate (e.g., shredding paper documents, destroying disks or thumb drives, secure erasure of electronic media)
- Additional protective measures or special circumstances
In the Drugs, Biologics, Nutritional Supplements or Other Products section:
- Question 15.3.14 - Added "concomitant medical use" to list of FDA- approved agents used "off-label" (i.e., in an unapproved dose, route of administration, population, disease, in concomitant medical use, etc.)
In the Devices section:
- Removed Question 16.2.10.1 - Has this device been designated as a "510(k) device?"
- Removed Question 16.2.20.1 - Has this device been designated as a "510(k) device?"
- New Question 16.2.24 - FDA Approved Devices - Upload any supporting documentation here.
In the Biological Specimens section:
- Question 18.1.4 - question reworded for clarification - "Non-blood specimens obtained directly from subjects for the purpose of this research study (NOT from specimens removed for medically indicated reasons)"
- Question 18.1.7 - question reworded for clarification - Who will collect the biological specimens from the subjects? Specify source name and primary contact (e.g., directly from physician, UMHS clinical pathology labs, UMHS delivery rooms, remote institutions, etc.)
- Question 18.1.11 - selection option added for biological specimen repositories: "Pathology Department Paraffin Archive" and an additional question: "If 'Pathology Department Paraffin Archive' is selected, describe the study team's arrangement to use the archive for the purposes of this research."
In the Genetic Analysis section:
- Typos and incorrect logic in the validations rules on questions in section 20 have been fixed.
In the RDRC/SHUR Information section:
- Questions 21-2.1 - answering "0" as the number of patients no longer requires you to answer 21-2.1.1 about their age.
- New Question 21-3.1.2 - Has an Investigational New Drug (IND) application been filed for this radiopharmaceutical? If yes, provide answers to the following:
- 21-3.1.2.1 Indicate the IND number:
- 21-3.1.2.2 Indicate the Institution:
- New Question 21-3.1.3 - Indicate the Active Ingredient and Quantity (milligrams) to be administered.
- New Question 21-3.1.4 - Indicate the total activity of each radioisotope per administration (injection, IV, oral, etc).
- New Question 21-3.1.5 - Indicate the total activity of each radioisotope to be administered.
- New Question 21-3.1.6 - What, if any, toxic or pharmacological effects may occur? (NOTE: If study is being performed under 21-1.3(c), evidence must be presented that there will be no pharmacological effect in human subjects. In addition, references for pharmacological dose data must be listed below.)
- New Question 21-3.1.7 - Attach pharmacological dose calculations based on data available from published literature or from other valid human studies.
- New Question 21-3.1.8 - Route of Administration: Submit data for other absorbed radiation doses that result from this experimental protocol [fluroscopic or radiographic x-rays, transmission scans, cat scans (CT), bone densitometer (Dexa Scan), etc]. (Exclude absorbed radiation doses resulting from clinically indicated procedures. In selecting experimental subjects, investigators should consider all previous exposures.)
- New Question 21-3.1.9 - Submit data for other absorbed radiation doses that result from this experimental protocol [fluroscopic or radiographic x-rays, transmission scans, cat scans (CT), bone densitometer (Dexa Scan), etc). (Exclude absorbed radiation doses resulting from clinically indicated procedures. In selecting experimental subjects, investigators should consider all previous exposures.)
- 21-3.1.9.1 - Fluroscopic or radiographic dose (mrem):
- 21-3.1.9.2 - Transmission scan dose or cat scan (CT) dose (mrem):
- 21-3.1.9.3 - Bone densitometer (Dexa Scan) dose (mrem):
- 21-3.1.9.4 Other:
- 21-3.1.9.5 - Indicate the total number of doses to be administered to the same patient: The doses listed for this radioisotope will be administered over a period of ___ weeks.
- New Question 21-3.1.10 - Add the Detail File (DF) for this radiopharmaceutical.
- New Question 21-3.3 Add the dosimetry table for each radiopharmaceutical to be received by subjects.
In the HIPAA U-M Covered Components section:
- Section 25 - HIPAA U-M Covered Components - Questions have been reordered and grouped from four sections into six sections for better flow and branching logic:
- Section 25 - HIPAA U-M Covered Components - New Question determines which HIPAA questions must be answered
- Section 25-1 - Protected Health Information (PHI) / HIPAA - Moved from Section 25
- Section 25-2 - HIPAA Authorization Waiver Request - Moved from Section 25-1
- Section 25-3 - Certification for Review of Data Preparatory to Research - New Section
- Section 25-4 - Limited Data Set - Moved from 25-3 and reworded
- Section 25-5 - Deidentified Data Set - New Section
In the Protected Health Information/HIPAA section:
- New Question 25.1 - Is any investigator, co-investigator, or other member of the research team who may access identifiable data affiliated with any of the following entities, or will any research data be contributed by one of the following entities?
Select all that apply:
- University of Michigan Health System (including hospitals and health centers, medical school, M-CARE, MVN, MHC, joint ventures)
- School of Dentistry
- School of Nursing Nurse-Managed Centers
- UM-Flint Urban Health and Wellness Center
- University Health Service
- Institute for Human Adjustment
- UM Autism and Communication Disorders Center
- UM Employee Benefits (only those units that manage UM health benefit plans, including medical, dental, vision, and healthcare FSAs)
- None of the above
- Removed Section 25-2 - Certification for Research on Decedents' Information
- Removed Question 25-2.1 - Affirm that the study team will maintain documentation verifying the subjects were deceased at the start of the study.
- Removed Question 25-2.2 - Will data containing PHI be shared outside of the covered entity?
- Removed Question 25-2.2.1 - If yes, affirm that disclosures of PHI outside the covered entity will be tracked and reported according to guidelines published by institutional privacy officials.
- New Sub-Section 25-3 - Certification for Review of Data Preparatory to Research. Completion of this section is required based on the response provided to question 25-1.3.2.
- New Question 25-3.1 - Affirm that the PHI will be used only for one or more of the following purposes:
- To determine whether the proposed project is feasible, or to assist in the design of the project. In either case, the study team will not record any PHI reviewed for this purpose into a dataset that may later be used for the project itself.
- To ask potential subjects whether they want to consider participating in the study. In this case, the study team will record only name and contact information and will not use this information for any other activity.
- New Question 25-3.2 - Confirm that no PHI will be removed from the U-M covered component during this review preparatory to research. This information may not be sent off-site to anyone, even a sponsor or consultant or vendor helping with or monitoring the study. Note: individuals outside the U-M covered component, including sponsors, consultants, and monitors, may review the information on-site.
- New Question 25-3.3 - Will individuals outside the U-M covered component review the information on-site?
- New Question 25-3.3.1 - If yes, affirm that disclosures of PHI outside the U-M covered component will be tracked and reported according to guidelines published by the U-M HIPAA privacy office.
- New Question 25-5.1 - Affirm that the deidentified data set will NOT include ANY of the following information about subjects, or their relatives, employers or household members:
- Names
- Address, city, and other geographic information smaller than state (3-digit zip code is acceptable if it includes more than 20,000 people; otherwise, use "000")
- Telephone, fax numbers, e-mail addresses, web URL addresses, IP addresses
- Social security number, medical record number, health plan beneficiary number, any account number, certificate, or license number
- Vehicle identifiers and serial numbers, including license plate numbers
- Device identifiers and serial numbers
- Biometric identifiers (e.g., fingerprints, voice prints) DNA is not considered a biometric identifier for HIPAA purposes of HIPAA
- Full-face photographs and any comparable images
- Any other unique identifying number, characteristic, or coded
In the Internet / Email section:
- Question 28.4.1 - "Explain consultation over the Internet or via email," is now required.
In the Survey Research section:
- Question 29.13 - moved from 11.4 for better flow - Will the research involve the use of focus groups?
- Moved the following phrase to just before 29.14 - "If any material is likely to be disturbing, please answer the following:"
- Question 29.3 - reworded to: "Is the design or development of this survey instrument dependent on receipt of funding or hiring of personnel?"
- Question 29.3 - changed "contacts" to "interactions."
In the Vulnerable Subjects Details section:
- In sections 33, 33-1, 35, 35-1, and 38, the following text was added: "Final approval of this application may require additional approval at the federal level. Contact the IRB office for more information."
- New Sub-Section 33-1 - Children Regulatory Categories - Allows Data Analysis Only users to fill out only required questions.
- New Sub-Section 35-1 - Pregnant Women and/or Fetuses Regulatory Categories - Allows Data Analysis Only users to fill out only required questions.
- Question 35.7 - removed the word "placenta" from the question.
In the GCRC Information section:
- New Question 42.0 - Select your study type:
- Category A - Research Subjects
- Stays or visits are solely for research purposes
- Research was initiated by the investigator
- GCRC grant or PI's research grant is responsible for all hospitalization costs
- Includes rare diseases/orphan studies
- Category B - Research Service Subjects
- Subjects require visits or stays for diagnosis or treatment and are participating in research
- Subject or insurance is responsible for cost of standard of care services (i.e. non-research care)
- Ancillary services that are performed solely for research are charged to the GCRC and do not appear on the subject's hospital bill
- Category A & B - For Multi-Arm studies only, where at least one arm is category A and at least one arm is category B (see above definitions)
- Category D - Industry-Initiated Research
- Research was initiated by industry
- Industry is responsible for all charges
- Study account has its own 7000 account number, project/grant number and short code
- Removed Question 42.1.9--The following options have been eliminated from the list of possible answers to this question:
- Internet posting for recruitment
- SPSS
- BioDBx
- End of Application - now labeled Section 44 for consistency.
- On the Conflict of Interest form, question C.1 regarding income over $1000, if the PI answers yes, C.1.1 is now required.
- On the Amendment form, the list of AE/ORIOs in AME 1.6.1 no longer displays AE/ORIOs that are in a state of "withdrawn".