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Libraries Administration:
Library Human Subjects Departmental Review Committee

Guidelines for Research Projects Involving Human Subjects

It is important that researchers be sensitive to privacy and other legal and ethical issues involving human subjects. The University is bound by federal law and adheres to the principles outlined in the Belmont Report for the ethical treatment of human subjects.

Most library research projects involving human subjects are commonly conducted as email surveys, paper surveys, interviews, and focus groups. Regardless of the method used, all research involving individuals, must have prior approval. The UT Libraries has created a Departmental Review Committee (DRC) and the following guidelines to assist with the approval process.

Library Human Subjects Departmental Review Committee (DRC)

Deb Thomas, Chair     Anne Bridges     Ellie Read

For complete university regulations, policies, and forms, see:http://research.utk.edu/humansubjects/

For more information about the DRC, see Role of the Departmental Review Committee.

Procedures for the Libraries DRC:

It is the responsibility of the DRC to review all research projects involving human participants initiated by Libraries’ faculty and staff for compliance with legal, regulatory, and ethnical provisions for the protection of the rights of human subjects. In addition, the DRC provides advice and support in navigating the university regulations. It is the responsibility of the researcher to carefully review the information presented by the university in the link above.

Depending on the nature of the research, one of three Forms must be used. Each form has its own procedure.

• Form A applies to research in which anonymity of subjects can be guaranteed. No formal university approval must be given except that outlined below.
• Form B expedited is for research in which a subject might be identified or when minors are involved. Form B expedited research will be reviewed carefully in the Office of Research to ensure that it does not need a more extensive review by the Institutional Review Board (IRB).
• Form B is reserved for research that does not fall under the exempt categories and must be reviewed by the IRB.

The following procedures must be followed:

1. Forms and other documentation including copies of survey instruments should be sent electronically to the chair of the committee. The Chair will forward the material to the other committee members.
2. Normally, the chair will inform the researcher of the Committee’s decision and any revisions that must be made within five business days. Delays can occur if substantial changes must be made to the documentation.
3. Once the DRC has approved all the paperwork, the researcher delivers to the DRC chair a signed paper copy printed on one side only.
4. The chair will sign the forms, procure the signature of the Dean (or an Associate/Assistant Dean in the absence of the Dean), and bring the forms to Brenda Lawson, Office of Research within one week of DRC approval. The chair also files the original documentation in the Libraries Administrative Office files.
5. Lawson will notify the researcher of final approval. No research may begin until final approval is granted. Once final approval is granted, research that was submitted and approved on Form A or Form B expedited may begin.
6. Research that requires a Form B must await review by the IRB. No research can be conducted until this final step is completed.