Protection of Human/Animal Subjects and the
Institutional Review Board Process
Every doctoral candidate must obtain approval to do research from UTC’s Institutional Review Board (IRB), without exception (link: Institutional Review Board). Candidates engaged in any research, regardless of venue or academic requirement, must ensure that they comply with the policies and procedures established by the review boards. As of January 1, 2017, all UTC students conducting research with human subjects or human subject data are required to complete the Human Subjects Research (HSR) BASIC online training course through the Collaborative Institutional Training Initative (CITI) prior to receiving IRB approval. For details, please visit the IRB Training website (link: IRB Training). Scroll down to access the tutorials with screen shots for existing or first time CITI users. Note: The numbered instructions provided on the web page do not include critical steps in the registration process, therefore, candidates are strongly encouraged to refer to the tutorials with screenshots provided as links on the IRB Training web page.
Once the researcher’s Dissertation Proposal has been approved, the candidate should submit the IRB Form (link: IRB Forms) to the Dissertation course space. The application form should include the candidate’s name and UTC email address (Principal Investigator), the Chair’s name and UTC email address (Faculty Advisor), and the Learning and Leadership Program Office (Other Investigator) and email address (email@example.com). Upon review and approval, the Chair will submit the IRB application electronically to the IRB office, copying the Program Office (firstname.lastname@example.org).
Doctoral candidates are not permitted to collect research data until the Proposal has been approved and the IRB office has issued an IRB approval number. Disregard of board policies and procedures may result in forfeiture of any data collected and disciplinary action.
Historically, the purpose of the Dissertation has been to allow the candidate to demonstrate that s/he has acquired a sufficient knowledge base in his/her academic field and that s/he has attained the research skills prerequisite to the status of academic scholar. Therefore, it is incumbent upon all doctoral candidates to conduct Dissertation research in a way that maintains the academic integrity of the endeavor. Any actions or omissions on the part of the candidate that might jeopardize that integrity will be monitored by the Dissertation Chair, committee members, and university administration. The following issues should be considered carefully:
- Plagiarism - The university maintains policies regarding plagiarism; the candidate should be
familiar with these policies. Candidates should be aware of the rules of academic
citation. As plagiarism can occur without intent, candidates should ensure that proper
credit is given for work from others.
- Failure to Obtain IRB Approval - Once a candidate's Dissertation Proposal is approved by the Dissertation committee,
the candidate, in conjunction with the Chair, will complete an application for IRB
approval for research involving human subjects. Receiving IRB approval is a necessary
prerequisite to data collection. If this policy is violated by data collection prior
to IRB approval, all data collected to that point will be invalidated and the candidate
may be required to develop a new Proposal. The candidate could face dismissal, dependent
upon the severity of the violation.
- Work for Hire - All aspects of the Dissertation are expected to be the original work of the candidate. Hiring outside individuals for data collection, data analysis, or writing of the Dissertation is prohibited. However, candidates may seek assistance in the form of editing or statistical data analysis with the approval of the Chair and the Methodologist. Candidates are expected to understand the distinction between hiring an outside individual for assistance and compensating an individual for completing components of the Dissertation which are to be strictly the candidate’s original work.
Relationships with Agencies that Provide Data
Obtaining the cooperation of agencies in research projects poses the potential to be challenging in light of previous relationships with other researchers. It is essential that candidates treat all personnel in participating organizations or institutions with respect, cordiality, and openness. Prior to data collection, candidates should be aware of potential issues faced by agencies cooperating in research projects, including:
being asked to do more than they had agreed to do
being asked to give the project an inordinate amount of time
contributing to research but not receiving any useful information from it
being identified in research reports in unflattering ways and/or
being treated in ways that they consider disrespectful of their organization, institution or personnel
Some outside institutions have their own research-review procedures; candidates must follow these in addition to all procedures set forth by UTC. Study participants must know exactly what will and will not be expected of them and must be assured that that they will receive all desired information regarding the study in a timely fashion. A wise way to approach data collection with outside participants is as follows: Leave it as you found it, if not better. Consideration not only to current participants but also to potential future researchers hoping to utilize the same location is important. Further, participants ought to be cognizant of the reality that throughout the entire data collection process, they represent not only themselves but also UTC and the Learning and Leadership program, and should act accordingly.