Table of Contents


  1. Introduction
    1. Purpose
    2. HRPP Toolkit Library
    3. Human Research Protection Program
    4. Defining Human Participant Research
    5. Self Experimentation of Researchers
    6. Getting Help and Answers to Questions
  2. Researcher Requirements
    1. Study Team Member Engagement
    2. Who Can Serve as a Principal Investigator
    3. Principal Investigator Responsibilities
    4. Study Team Member Responsibilities
    5. Student Research, Advisor, & Course Instructor Responsibilities
    6. Training Requirements
    7. Financial Interests and Disclosures
  3. IRB Review Requirements and Application Types
    1. When IRB Review May Not Be Required
      1. Program Evaluation/Quality Improvement or Assurance Projects
      2. Case Reports
      3. Oral History
      4. Analysis of Publicly Available Datasets
    2. Human Research Requiring a Protocol
      1. Clinical Trials and More Than Minimal Risk Studies
      2. Registry and Repository Studies
      3. Studies Requiring Review by the ICTR Scientific Review Committee (SRC)
      4. Non-Exempt Studies for Which UW-Madison Will Serve as the Reviewing IRB for Other Sites
      5. Protocol Guidelines
    3. Human Research Not Requiring a Protocol
      1. Exempt Projects (including health care records research and not human research)
      2. Non-Exempt Minimal Risk Research (including community-based participatory research)
      3. International Research
    4. Other Types of Applications
      1. Umbrella Protocols, Training Grants, and Core Grants
      2. Analysis Center Applications
      3. Emergency/One-Time/Compassionate Use
      4. Expanded Access of Investigational Medical Products (non-emergency)
      5. Humanitarian Use Device (HUD/HDE)
      6. Proposal Development Activities
    5. Institutional Requirements
  4. Preparing Supporting Documents
    1. Writing a Consent Document
    2. Writing a HIPAA Authorization Form
    3. Preparing Recruitment Materials
    4. Other Subject-Facing Materials Requiring IRB Review
    5. Supporting Documents That Do NOT Require IRB Review
  5. Submitting IRB Applications
    1. Scientific Review Requirements
    2. General Submission Information
  6. IRB Review Process
    1. Regulatory Classifications for Human Participant Research
    2. IRB Approval Criteria
    3. IRB Review Decisions
      1. Types of Decisions
      2. Communication of IRB Decisions
      3. Disagreeing with IRB Decisions
    4. Accessing IRB Records and Rosters
  7. Conducting Human Participant Research
    1. Recruitment Guidelines
      1. General Recruitment Guidelines
      2. Initial Contact Guidelines
      3. Email Recruitment Guidelines
      4. Clinical Recruitment Guidelines
      5. Social Media Recruitment Guidelines
    2. Participant Remuneration and Compensation
    3. Consent Processes and Documentation
      1. Informed Consent Document
      2. Assent Process and Documentation
      3. Remote Consent Processes
      4. Documenting Consent Electronically
      5. Waivers of Signed Consent
      6. Enrolling Participants with Limited English Proficiency
    4. Research with Special Populations
      1. Participants with Impaired Decision-Making
      2. Prisoners
      3. Children
      4. Pregnant Persons and/or Neonates
      5. Other Special Populations
    5. Translation and Interpreter Requirements
    6. Privacy & Confidentiality
      1. Protecting Participant Privacy and Confidentiality
      2. Certificates of Confidentiality
    7. Identifiability
    8. Communicating with Participants
    9. Special Procedures
      1. Use of Video or Audio Recording
      2. Deception
      3. Radiation
      4. Controlled Substances
    10. Regulatory Information
      1. HIPAA Privacy and Security Rules
      2. Federal Educational Privacy Act (FERPA)
      3. FDA Regulations and IRB Review
    11. Conducting VA Research
      1. General Information
      2. VA Requirements
      3. Use of Preparatory to Research
      4. Special Populations
      5. Certificates of Confidentiality
      6. Collaborative Research
      7. Photography, Video and/or Audio Recording for Research Purposes
      8. International Research
      9. Posting Clinical Trial Consent Forms
    12. Different Types of Research
      1. Research in K-12 Settings
      2. Analysis Center Projects
      3. Research Registries and Repositories
      4. Decedent Research
      5. Technology and New Media Research
      6. Biomedical Interventions Conducted in Non-Clinical Settings
      7. Fetal Tissue Research
      8. Biospecimen and Data Research
        1. General Information
        2. IRB Review Requirements
        3. Informed Consent Requirements
        4. Storage
        5. Sharing Data, Specimens, or Images
  8. Post-Approval Responsibilities
    1. Researcher Responsibilities After IRB Approval
    2. Changes of Protocol
      1. General Change Requirements
      2. Editorial Changes to Subject-Facing Materials
      3. Changes to Research Determined to be Exempt
      4. Changes to Analysis Center Protocols
      5. Changes in Principal Investigator
    3. Continuing Reviews
    4. Reportable Events
      1. Reporting Requirements
      2. Reporting Requirements for VA Studies
      3. Guidance on what does not need to be reported
      4. Subject Deviations from the Study Protocol
      5. Changes to eliminate an apparent immediate hazard to subjects
      6. Corrective Action Plans
      7. Study Suspension or Termination
      8. IRB Reporting Obligations
    5. Reporting Clinically Relevant Information to Participants
    6. “Souvenir” Radiology Images
    7. Communicable Disease (Including HIV)
  9. Other Issues & Considerations
    1. Complaints or Concerns About a Study
    2. Record Retention
    3. Clinicaltrials.gov
    4. Institutional Certification for NIH Genomic Data Sharing
    5. General Data Privacy Regulation (GDPR)
    6. Investigator Responsibilities When Leaving UW-Madison
  10. Appendix A: Additional Research Requirements
    1. DHHS-Regulated Research
    2. FDA-Regulated Research
    3. Clinical Trials and ICH-GCP
    4. DOD Research
    5. DOE Research
    6. DOJ Research
    7. ED Research
    8. EPA Research
    9. Single IRB Basics
    10. EU GDPR
  11. Appendix B: Additional Resources
    1. Recruitment Elements & Scripts

Conducting Human Participant Research


  1. Recruitment Guidelines
    1. General Recruitment Guidelines
    2. Initial Contact Guidelines
    3. Email Recruitment Guidelines
    4. Clinical Recruitment Guidelines
    5. Social Media Recruitment Guidelines
  2. Participant Remuneration and Compensation
  3. Consent Processes and Documentation
    1. Informed Consent Document
    2. Assent Process and Documentation
    3. Remote Consent Processes
    4. Documenting Consent Electronically
    5. Waivers of Signed Consent
    6. Enrolling Participants with Limited English Proficiency
  4. Research with Special Populations
    1. Participants with Impaired Decision-Making
    2. Prisoners
    3. Children
    4. Pregnant Persons and/or Neonates
    5. Other Special Populations
  5. Translation and Interpreter Requirements
  6. Privacy & Confidentiality
    1. Protecting Participant Privacy and Confidentiality
    2. Certificates of Confidentiality
  7. Identifiability
  8. Communicating with Participants
  9. Special Procedures
    1. Use of Video or Audio Recording
    2. Deception
    3. Radiation
    4. Controlled Substances
  10. Regulatory Information
    1. HIPAA Privacy and Security Rules
    2. Federal Educational Privacy Act (FERPA)
    3. FDA Regulations and IRB Review
  11. Conducting VA Research
    1. General Information
    2. VA Requirements
    3. Use of Preparatory to Research
    4. Special Populations
    5. Certificates of Confidentiality
    6. Collaborative Research
    7. Photography, Video and/or Audio Recording for Research Purposes
    8. International Research
    9. Posting Clinical Trial Consent Forms
  12. Different Types of Research
    1. Research in K-12 Settings
    2. Analysis Center Projects
    3. Research Registries and Repositories
    4. Decedent Research
    5. Technology and New Media Research
    6. Biomedical Interventions Conducted in Non-Clinical Settings
    7. Fetal Tissue Research
    8. Biospecimen and Data Research
      1. General Information
      2. IRB Review Requirements
      3. Informed Consent Requirements
      4. Storage
      5. Sharing Data, Specimens, or Images

Appendix B: Additional Resources


  1. Recruitment Elements & Scripts