Frequently Asked Questions
- My project involves minors. Is this subject to UTC policy SA0575 – Programs for Minors?
- The review process:
- Categories of review:
- How is the review category determined?
- What type of research is considered exempt?
- What type of research is considered expedited?
- What type of research requires full board review?
- What type of research qualifies for a classroom exemption?
- I completed the required Collaborative Institutional Training Initiative (CITI) training at another institution - does it meet the UTC requirement?
- How do I know if I should complete the Biomedical course or the Social/Behavioral course?
- I've completed the CITI Responsible Conduct in Research (RCR) course - does this meet the UTC requirement?
It could be. Please be sure to review the full UTC policy SA0575 on the Safety and Risk Management website and comply with all campus regulations.
The length of the review process depends on several factors including when the application is received by the Office of Research Integrity, the type of review, and the quality of the application. Exempt reviews generally take about 3-5 days. Expedited reviews are often completed in 2-3 weeks from receipt, and full board reviews are usually completed within 5 weeks of receipt. The IRB Chair and Committee at UTC are not full time staff. As such, submissions received prior to holidays and other times when faculty are very busy (Spring Break, midterms, finals) may experience delays.
Be advised that incomplete applications represent one of the main reasons applications are delayed. Be sure to fully complete all forms and applications, include appropriate attachments, and receive appropriate signatures prior to submission.
It's always frustrating when computer systems and software do not operate as expected. If you are having trouble accessing or completing the forms, please contact ORI and we will email you the document as an attachment.
Yes. Please indicate the preferred email address on the application form. Note that non-UTC email addresses occasionally get flagged by the UTC servers as "junk-mail" and may delay the processing of your application.
We prefer that all applications are submitted electronically. All follow-up correspondence with the IRB will be conducted via email. Should you not have a personal computer, the UTC Library has many computers designated for student and faculty/staff use.
There are five categories of review for projects involving human subjects in research settings. The categories include:
Full Board Review
Continuing or annual renewal
Generally speaking, new applications will qualify for Exempt or Expedited review. The investigator is responsible for reviewing the Exemption Category Definition Sheet and the Exemption Category Determination Flow Chart to determine whether or not his/her research project meets the qualifications for an Exemption designation. The investigator will then complete a Form A or a Form D, and ORI will review the application to ensure that the level of review selected is correct.
A small number of cases might qualify for Full Board Review. Applications that automatically require Full Board Review involve more than minimal risk to participants. Continuing or annual renewal applications apply only to projects that were previously approved under Full Board Review procedures, or were approved under Expedited procedures prior to July 19, 2018. Classroom assignment applications may only be submitted by faculty members on a limited basis for projects that are not necessarily research in nature but are designed to familiarize students (through assignments) with the process of research.
Please review the Exemption Category Definition Sheet to read the full text from the 45 CFR part 46.
Federal regulations, funding agencies, and UTC policy state that only the IRB Chair or his/her designee is allowed to designate research as Exempt. Therefore, investigators must submit a Form D and receive an official Exemption Designation letter prior to initiating their research.
Certain kinds of research with human subjects are not eligible for exempt determinations:
Prisoners: research involving prisoners as human subjects is not eligible for exemption. “Prisoners” are defined as “any individual involuntarily confined or detained in a penal institution." The term is intended to encompass individuals sentenced to such an institution under a criminal or civil statute, individuals detained in other facilities by virtue of statutes or commitment procedures which provide alternatives to criminal prosecution or incarceration in a penal institution, and individuals detained pending arraignment, trial, or sentencing. Detainees in administrative cases (such as immigration or deportation) are not considered detainees for this purpose, according to guidance obtained from DHHS. The only exception to this is if the research is "aimed at involving a broader subject population that only incidentally includes prisoners." 45 CFR 46.104(b)(2).
Children: Children are not allowed to be included in exempt categories 2 and 3, with limited exceptions. In category 2 (Research only includes educational test, surveys, interview, and public observation), children may only be included in observational studies when investigators do not participate in activities being observed and no identifying and potentially damaging information is recorded. There are no exceptions to including children in category 3 (benign behavioral interventions).
Service projects involving human subjects (including grants and programs that provide services and include an evaluative component that might be determined to be research) may not meet the Federal definition of research with human subjects. Investigators pursuing these types of projects are encouraged to contact ORI to ensure they do not require IRB approval.
Federal regulations and institutional policy allow for expedited review of certain types of research that have been determined to place a human subject at minimal risk in a research setting (45 CFR 46.110 and 21 CFR). In practical application, research that does not qualify as exempt and has no more than minimal risk will most likely qualify for expedited review. (63 FR 60364-60367)
Any research that involves more than minimal risk to participants requires full board review. In most cases, the typical type of research conducted at UTC is eligible for exempt or expedited review. In some instances the IRB Chair or IRB members may feel that an application requires a full board hearing. In those instances, the IRB Chair will notify the principal investigator on the application and request additional information if needed.
In some instances, faculty members may wish to require students to complete research projects in order to learn about the process of conducting research. These projects do not meet the definition of research as outlined in the IRB policy; however, there is a need to ensure that these class assignments do not compromise any of the principles outlined in the UTC IRB policy. It also is essential that students be socialized to the ethical and procedural concerns associated with institutional review practices and the need to protect human subjects.
Student research projects may be exempt from IRB review if the assignment meets the criteria outlined below. This procedure applies only to class assignments and does not include independent study projects, honors projects, theses, or dissertations. These types of research require normal review according to the UTC IRB policy.
Faculty members may elect to use the procedure outlined in this section of the policy for student research projects that involve classroom assignments (at both the graduate and undergraduate level) when all of the criteria listed below can be met:
- the assignment is part of a regular class which meets weekly (by any format; i.e., in person or electronically);
- the assignment will be completed during the semester in which the student has registered for the course (and therefore has faculty supervision);
- the purpose of the assignment is for students to learn about the process of engaging in research and not to actually engage in research which would be used for publication, formal reports, or other formal means that would add to the body of knowledge in a particular field;
- the project is eligible for exempt or expedited review (i.e., no project requiring full board approval may be dealt with under this procedure); and
- the instructor has completed the on-line training and has filed their certificate of completion with the Chair of the IRB Board.
Faculty members who wish to use this procedure must:
- submit a Form C to the IRB at email@example.com indicating the course, the assignment, and a copy of their certificate of completion of training. This form must be approved by the IRB Chair prior to any projects proceeding;
- require students to submit Form A or Form D for approval by the instructor (instead of the IRB);
- review and approve the exempt and expedited review forms submitted by the student to the instructor; and
- monitor the ongoing projects for compliance to the submitted IRB applications and ensure ethical conduct.
These files must be maintained for no less than three years by the faculty member and may be periodically audited by the IRB Chair and/or his/her designee.
Continuing review is required for research approved under the full board review process annually on the project's anniversary date. It is also required for expedited protocols approved prior to July 19, 2018.
Continuing approval is not required for exempt or expedited projects approved after July 19, 2018.
I completed the Collaborative Institutional Training Initiatve (CITI) training at another institution. Does this meet the UTC requirement?
Many institutions across the country utilize CITI to provide online training for researchers. If you completed a CITI HSR BASIC course through another institution and that certification is still current (i.e., it hasn't expired), you may submit the certificate to the IRB. If the listed course modules are deemed sufficiently similar to the IRB HSR Basic Course by the Office of Research Integrity, that certificate will meet the UTC training requirement.
Choose the course based on your field of research, and not your research methods. For example, investigators in Nursing or Physical Therapy should complete the Biomedical course. Investigators in Criminal Justice or Education should complete the Social/Behavioral course. Note: The IRB will not typically evaluate whether or not the investigator is enrolled in the most appropriate course. Either CITI HSR Basic course will meet the UTC IRB training requirement.
I completed the CITI Responsible Conduct in Research (RCR) course. Does this meet my UTC IRB Training requirement?
No. In order to receive IRB approval on a submitted protocol, all investigators listed on the protocol must have completed an HSR Basic Course.
If you answer questions #2 - #11 on the "Select Curriculum" questionnaire, you may be enrolled in additional courses in Responsible Conduct of Research, Conflict of Interest, Laboratory Animal Research, Institutional/Signatory Official, Export Compliance, and Biosafety/Biosecurity. These courses may be required for other areas of research, but they are NOT required in order to receive IRB approval, nor will they be accepted as fulfillment of the IRB training requirement.