Exempt and Limited Review Categories

The categories for exempt level of review and exempt with limited review are listed below. These categories are taken from federal regulations put forth by the Department of Health and Human Services (HHS); see 45 CFR 46.101 for reference. Research which falls into one of these categories can be reviewed and approved by the IRB office if the study presents minimal or no risk to subjects. If your research does not fall into any of these categories, you may need to complete an application for expedited or full review. Most exempt and limited review research at UST will fall into categories 1-4. 

If you are unsure whether your project qualifies for using the Application for Exempt Research, please contact the IRB office to avoid completing the wrong application. 

Category 1: Normal Educational Practices and Settings

Research, conducted in established or commonly accepted educational settings, that specifically involves normal educational practices that are not likely to adversely impact students' opportunity to learn required educational content or the assessment of educators who provide instruction. This includes most research on regular and special education instructional strategies, and research on the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods. 

If identifiers are collected, limited review applies. 

Category 2: Research Including Educational Tests, Surveys, Interviews, or Observations with Limitations

Research that only includes interactions involving educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures, or observation of public behavior (including visual or auditory recording) if at least one of the following criteria is met:

(i) The information obtained is recorded by the investigator in such a manner that the identity of the human subjects cannot readily be ascertained, directly or through identifiers linked to the subjects;

(ii) Any disclosure of the human subjects' responses outside the research would not reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects' financial standing, employability, educational advancement, or reputation; or

(iii) The information obtained is recorded by the investigator in such a manner that the identity of the human subjects can readily be ascertained, directly or through identifiers linked to the subjects, and an IRB conducts a limited IRB review to make the determination required by 45 CFR 46.111(a)(7). Examples of identifiers include audio recordings, video recordings, names, email addresses, phone numbers, student ID, date of birth, etc. 

Category 3: Benign Behavioral Interventions

(i) Research involving benign behavioral interventions in conjunction with the collection of information from an adult subject through verbal or written responses (including data entry) or audiovisual recording if the subject prospectively agrees to the intervention and information collection and at least one of the following criteria is met:

     (A) The information obtained is recorded by the investigator in such a manner that the identity of the human subjects cannot readily be ascertained, directly or through identifiers linked to the subjects;

     (B) Any disclosure of the human subjects' responses outside the research would not reasonably place the subjects at risk or criminal or civil liability or be damaging to the subjects' financial standing, employability, educational advancement, or reputation; or

     (C) The information obtained is recorded by the investigator in such a manner that the identity of the human subjects can readily be ascertained, directly or through identifiers linked to the subjects, and the IRB conducts a limited IRB review to make the determination required by 45 CFR 46.111(a)(7).

(ii) For the purpose of this provision, benign behavioral interventions are brief in duration, harmless, painless, not physically invasive, not likely to have a significant adverse lasting impact on the subjects, and the investigator has no reason to think the subjects will find the interventions offensive or embarrassing. Provided all such criteria are met, examples of such benign behavioral interventions would include having the subjects play an online game, having them solve puzzles under various noise conditions, or having them decide how to allocate a nominal amount of received cash between themselves and someone else.

(iii) If the research involves deceiving the subjects regarding the nature or purposes of the research, this exemption is not applicable unless the subject authorizes the deception through a prospective agreement to participate in research in circumstances in which the subject is informed that he or she will be unaware of or misled regarding the nature or purposes of the research. 

Category 4: Secondary Research of Identifiable Information or Biospecimens

Secondary research for which consent is not required: Secondary research uses of identifiable private information or identifiable biospecimens, if at least one of the following criteria is met: 

(i) The identifiable private information or identifiable biospecimens are publicly available; 

(ii) Information, which may include information about biospecimens, is recorded by the investigator in such a manner that the identity of the human subjects cannot readily be ascertained directly or through identifiers linked to the subjects, the investigator does not contact the subjects, and the investigator will not re-identify subjects;

(iii) The research involves only information collection and analysis involving the investigator's use of identifiable health information when that use is regulated under 45 CFR parts 160 and 164, subparts A and E, for the purposes of "health care operations" or "research" as those terms are defined at 45 CFR 164.501 or for "public health activities and purposes" as described under 45 CFR 164.512(b); or

(iv) The research is conducted by, or on behalf of, a Federal department or agency using government-generated or government-collected information obtained for nonresearch activities, if the research generates identifiable private information that is or will be maintained on information technology that is subject to and in compliance with section 208(b) of the E-Government Act of 2002, 44 U.S.C. 3501 note, if all of the identifiable private information collected, used, or generated as part of hte activity will be maintained in systems of records subject to the Privacy Act of 1974, 5 U.S.C. 552a, and, if applicable, the information used in the research was collected subject to the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq

Category 5: Research and Demonstration Projects Conducted or Supported by a Federal Department or Agency

Research and demonstration projects that are conducted or supported by a Federal department or agency, or otherwise subject to the approval of department or agency heads (or the approval of the heads of bureaus or other subordinate agencies that have been delegated authority to conduct the research and demonstration projects), and that are designed to study, evaluate, improve, or otherwise examine public benefit or service programs, including procedures for obtaining benefits or services under those programs, possible changes in or alternatives to those programs or procedures, or possible changes in methods or levels of payment for benefits or services under those programs. Such projects include, but are not limited to, internal studies by Federal employees, and studies under contracts or consulting arrangements, cooperative agreements, or grants. Exempt projects also include waivers of otherwise mandatory requirements using authorities such as sections 1115 and 1115A of the Social Security Act, as amended. 

(i) Each Federal department or agency conducting or supporting the research and demonstration projects must establish, on a publicly accessible Federal Web site or other manner as the department or agency head may determine, a list of the research and demonstration projects that the Federal department or agency conducts or supports under this provision. The research or demonstration project must be published on this list prior to commencing the research involving human subjects. 

Category 6: Taste and Food Quality Evaluation and Consumer Acceptance Studies

Taste and food quality evaluation and consumer acceptance studies:

(i) If wholesome foods without additives are consumed; or

(ii) If a food is consumed that contains a food ingredient at or below the level for use found to be safe, or agricultural chemical or environmental contaminant at or below the level found to be safe by the Food and Drug Administration or approved by the Environmental Protection Agency or the Food Safety and Inspection Service of the U.S. Department of Agriculture.

Category 7: Storage or Maintenance for Secondary Research for which Broad Consent is Required

Storage or maintenance of identifiable private information or identifiable biospecimens for potential secondary research use if an IRB conducts a limited IRB review and makes the determinations required by 45 CFR 46.111(a)(8). 

Category 8: Secondary Research for which Broad Consent is Required

Research involving the use of identifiable private information or identifiable biospecimens for secondary research use, if the following criteria are met: 

(i) Broad consent for the storage, maintenance, and secondary research use of the identifiable private information or identifiable biospecimens was obtained in accordance with 45 CFR 46.111(a)(1) through (4), (a)(6), and (d); 

(ii) Documentation of informed consent or waiver of documentation of consent was obtained in accordance with 45 CFR 46.117; 

(iii) An IRB conducts a limited IRB review and makes the determination required by 45 CFR 46.111(a)(7) and makes the determination that the research to be conducted is within the scope of broad consent referenced in paragraph (d)(8)(i) of this section; and 

(iv) The investigator does not include returning individual research results to subjects as part of the study plan. This provision does not prevent an investigator from abiding by any legal requirements to return individual research results. 

Research Subject and Method
An online, anonymous survey of teachers who work with K-12 students. 
  
Why does this qualify for exempt review?
The population does not target a vulnerable population, the survey likely asks low-risk questions, and the survey method ensures the anonymity of all participants.

Research Subject and Method
An analysis of de-identified records from a housing agency to determine how many clients had positive experiences with the program. The records have been de-identified by agency officials before being given to the researcher.

Why does this qualify for exempt review? 
The existing data is from human subjects, but does not include any identifying information, making the subjects anonymous. The research poses minimal risk to the population since they are not being contacted in any way by the researcher. 

Research Subject and Method

The researcher will interview working professionals about their experience with their day-to-day activities in the workplace. The investigator is collecting private, identifiable information through interviews and is audio recording each interview. Interview questions are about daily tasks and are not sensitive; there isn't any risk of employer retaliation or loss of employment since the employer is on board with the research.

Why does this qualify for limited review? 

The investigator will be collecting private, identifiable information before transcribing and coding the data. There will be an interaction, through an interview with the investigator and individual participants, about daily activities. Since this does not exceed minimal risk, it can be reviewed at the expedited level of review.