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Reference for
Determining Exempt Categories
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Instructional Strategies in Educational Settings
Research conducted in established or commonly accepted educational settings,
involving normal educational practices, such as a) research on regular and
special education instructional strategies, or b) research on the
effectiveness of or the comparison among instructional techniques, curricula,
or classroom management methods
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Surveys/Interviews;
Standardized Educational Tests;
Observations of Public
Behavior
Research involving the use of educational tests (cognitive, diagnostic,
aptitude, achievement), if information taken from these sources is recorded in
such a manner that subjects cannot be identified, directly or through
identifiers linked to the subjects
Research involving survey or interview procedures, except where all of the
following conditions exist:
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Responses are recorded
in such a manner that the human subjects can be identified, directly or
through identifiers linked to the subjects;
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The subject’s
responses, if they became known outside the research, could reasonably
place the subject at risk of criminal or civil liability or be damaging to
the subject’s financial standing or employability; and
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The research deals
with sensitive aspects of the subject’s own behavior, such as illegal
conducts, drug use, sexual behavior, or use of alcohol.
Research involving the observation (including observation by participants) of
public behavior except where all of the following conditions exist:
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Observations are
recorded in such a manner that the human subjects can be identified,
directly, or through identifiers linked to the subjects;
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The observations
recorded about the individual, if they become known outside the research,
could reasonably place the subject at risk of criminal or civil liability
or be damaging to the subject’s financial standing or employability; and
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The research deals
with sensitive aspects of the subject’s own behavior, such as illegal
conduct, drug use, sexual behavior, or use of alcohol.
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Public Officials --
Surveys/Interviews; Educational Tests
Observations of
Public Behavior
All research involving survey or interview procedures is exempt, without
exception, when the respondents are elected or appointed public officials or
candidates for public office.
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Existing Data; Records Review;
Specimens
Research involving the collection or study of existing data, documents,
records, or specimens, if these sources are publicly available or if the
information is recorded by the investigator in such a manner that subjects
cannot be identified, directly or through identifiers linked to the subjects.
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