{"id":436,"date":"2023-12-22T12:54:13","date_gmt":"2023-12-22T17:54:13","guid":{"rendered":"https:\/\/www.rochester.edu\/ohsp\/?page_id=436"},"modified":"2026-09-09T17:43:12","modified_gmt":"2026-09-09T21:43:12","slug":"exemptions","status":"publish","type":"page","link":"https:\/\/www.rochester.edu\/ohsp\/irb-review\/exemptions\/","title":{"rendered":"Exemptions"},"content":{"rendered":"<p><a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Policy_301_RSRB_Scope_and_Authority.pdf\">OHSP policy<\/a> requires Institutional Review Board (IRB) review of all human subject research conducted or supported by employees or agents of the University of Rochester. This includes research that falls into one of the exemption categories defined by Department of Health and Human Service (HHS) regulation (<a class=\"u-link-external\" href=\"https:\/\/www.ecfr.gov\/on\/2018-07-19\/title-45\/subtitle-A\/subchapter-A\/part-46#46.104\">45 CFR 46.104<\/a>).<\/p>\n<p>Based on review requirements, &#8216;IRB exemption&#8217; does not mean that review by the University of Rochester&#8217;s Institutional Review Board is not required. Rather, &#8216;exempt&#8217; means that once the IRB confirms the research meets exemption criteria, further reporting to the IRB is not required (provided there are no changes to the research, nor reports of new information).<\/p>\n<p>For a description of IRB exemption categories, review our <a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/501a_GDL_Exempt_Status_Determination.pdf\">Exempt Status Guidance<\/a>.<\/p>\n<p>&nbsp;<\/p>\n","protected":false},"excerpt":{"rendered":"<p>OHSP policy requires Institutional Review Board (IRB) review of all human subject research conducted or supported by employees or agents of the University of Rochester. This includes research that falls&hellip;<\/p>\n","protected":false},"author":36,"featured_media":0,"parent":356,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"footnotes":"","_members_access_role":[],"_members_access_error":""},"class_list":["post-436","page","type-page","status-publish","hentry"],"acf":{"lead_in":"","display_title":"RSRB (IRB) Exemptions","subtitle":"","call_to_action":"","hero_image_placement":"no_image","hero_media":"images","hero_pattern_option":"","hero_video":"","hero_image_landing":"","hero_image_landing_two":"","hero_image_landing_three":"","content_modules":[{"acf_fc_layout":"accordion_new","anchor_id":"","classes":"","title":"<h2>IRB submission requirements and review process<\/h2>","description":"","background":"decorative","background_color":"#ffffff","style":"row_blank","expand":"yes","accordions":[{"acf_fc_layout":"accordion","accordion_title":"How to submit","icon":"","row_content":"All proposals must be submitted for review via <a href=\"https:\/\/www.rochester.edu\/ohsp\/click-irb\/\">Click IRB<\/a><em>.<\/em>\r\n\r\nThe Investigator submitting the research must meet the qualifications and requirements of Principal Investigator, as defined in <a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Policy_901_Investigator_Responsibilities.pdf\">OHSP Policy 901: Investigator Responsibilities<\/a>.\r\n\r\nFor student projects, faculty mentors must be included as study team members and be identified as <a href=\"https:\/\/www.rochester.edu\/ohsp\/click-irb\/#piproxy\">PI Proxy<\/a>.","accordion_anchor":""},{"acf_fc_layout":"accordion","accordion_title":"Materials required for submission","icon":"","row_content":"Minimally, all submissions must include a study protocol and completed <a href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Guideline_on_HSR_Research_Electronic_Data_Security_Assessment_Form.doc\">Data Security Assessment Form [icon name=\"file-word\" prefix=\"fas\"]<\/a>. Study protocol templates are available as follows:\r\n<ul>\r\n \t<li>For research involving a secondary analysis, specimens\/records review, or retrospective chart review, use the <a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/protocol_template_specimen_and_Record_Review.doc\">Specimen &amp; Record Review Protocol Template<\/a>.<\/li>\r\n \t<li>For all other research that falls into one of the exemption categories, use the <a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/protocol_template_exemption_requests.doc\">Exemption Request Protocol Template<\/a>. If you are unsure whether or not your research qualifies for exemption, use the <a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Protocol_Template_SocialBehavioralEducational.doc\">Social-Behavioral-Educational Research Protocol Template<\/a>.<\/li>\r\n<\/ul>\r\nAs applicable, submissions must also include:\r\n<ul>\r\n \t<li>All direct advertisements for potential subjects (i.e., recruitment materials intended to be seen or heard by potential subjects).<\/li>\r\n \t<li>All study measures that will be completed by, or include questions that will be asked to, subjects (such as questionnaires, assessments, interview scripts or subject diaries).<\/li>\r\n \t<li>Method for informing subjects of the research and obtaining voluntary consent to participate, when the research involves subject interaction (including electronic communications\/interactions).\r\n<ul>\r\n \t<li>Minimally, this process must include informing subjects that the activity involves research and that participation is voluntary, a description of study procedures, and the name\/contact information of the Principal Investigator.<\/li>\r\n \t<li>In<em> most <\/em>circumstances using one of the following Information Sheet templates is acceptable. All information sheets should be submitted on University of Rochester letterhead.\r\n<ul>\r\n \t<li><a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Information_Sheet_Template.doc\">Information Sheet<\/a><\/li>\r\n \t<li><a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Information_Sheet_Survey_Template.doc\">Information Sheet for Survey Studies<\/a><\/li>\r\n \t<li><a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Information_Sheet_MTurk_Template.doc\">Information Sheet for Studies Using MTurk<\/a><\/li>\r\n<\/ul>\r\n<\/li>\r\n<\/ul>\r\n<\/li>\r\n \t<li>Data collection sheet (or list of variables), when the research involves a secondary analysis\/records reviews.<\/li>\r\n \t<li>For a comprehensive study submission checklist, reference our <a href=\"https:\/\/www.rochester.edu\/ohsp\/irb-review\/submission-checklist\/\">IRB Submission Checklist page<\/a>.<\/li>\r\n<\/ul>","accordion_anchor":""},{"acf_fc_layout":"accordion","accordion_title":"Study team requirements","icon":"","row_content":"All individuals engaged in the research must be identified as study team members and complete (and maintain) <a href=\"https:\/\/www.rochester.edu\/ohsp\/training\/required-human-subject-protection-training\/\">Human Subject Protection (HSP) training<\/a>.\r\n\r\nMore information:\r\n<ul>\r\n \t<li><a href=\"https:\/\/www.rochester.edu\/ohsp\/irb-review\/team-members\/\">Identifying Study Team Members in IRB Submissions<\/a><\/li>\r\n<\/ul>","accordion_anchor":""}]},{"acf_fc_layout":"accordion_new","anchor_id":"","classes":"","title":"<h2>Post-IRB review need-to-knows<\/h2>","description":"","background":"plain","background_color":"#ffffff","style":"row_blank","expand":"no","accordions":[{"acf_fc_layout":"accordion","accordion_title":"Exemption Determination Letter","icon":"","row_content":"Read your exemption determination letter. This letter includes valuable information regarding compliance with <a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Policy_901_Investigator_Responsibilities.pdf\">OHSP Policy 901: Investigator Responsibilities<\/a>; all Investigators are responsible for complying with this policy. Compliance with other institutional policies pertaining to data security, privacy, and the Health Insurance Portability and Accountability Act (HIPAA) may also be required, based on the nature of the research.","accordion_anchor":""},{"acf_fc_layout":"accordion","accordion_title":"Post-Approval Consultations","icon":"","row_content":"Investigators are strongly encouraged to request a <a href=\"https:\/\/www.rochester.edu\/ohsp\/post-approval-consultation\/\">Post-Approval Consultation<\/a> prior to initiating their research.","accordion_anchor":""},{"acf_fc_layout":"accordion","accordion_title":"Modifications","icon":"","row_content":"Once a proposal has been deemed 'exempt' by the RSRB (IRB), the study team is permitted to conduct the research <strong>as defined by the study protocol and all supporting materials reviewed by the IRB, <\/strong>e.g., submission contents, surveys, information sheets, study team members, data security assessment form.\r\n\r\nWhen\/if modification to the study protocol and\/or any other supporting materials is necessary, a modification must be submitted for IRB review. This is required to confirm the research still meets exemption criteria given the proposed revisions; proposed revisions cannot be implemented until the IRB has completed their review.\r\n\r\nInstructions for submitting modifications are included in the <a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/ClickIRB_StudyStaffManual.pdf\">Click IRB Study Staff User Guide<\/a>.","accordion_anchor":""},{"acf_fc_layout":"accordion","accordion_title":"Watermarked Materials","icon":"","row_content":"Once a proposal is determined to be exempt, the IRB applies an 'IRB Approved' watermark to all consent forms, information sheets, and\/or recruitment materials. Study teams are required to use the watermarked version of these materials when engaging with (or recruiting) potential subjects. For more information, reference our <a href=\"https:\/\/www.rochester.edu\/ohsp\/click-irb\/watermarked-documents\/\">Watermarked Documents page<\/a>.","accordion_anchor":""},{"acf_fc_layout":"accordion","accordion_title":"RSRB (IRB) Reporting","icon":"","row_content":"Investigators are required to report all research events, as defined by <a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Policy_801_Reporting_Research_Events.pdf\">OHSP Policy 801: Reporting Research<\/a> and the corresponding <a class=\"u-link-pdf\" href=\"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/801a_GDL_Reporting_Research_Events.pdf\">OHSP Guideline for Reporting Research Events<\/a>.","accordion_anchor":""},{"acf_fc_layout":"accordion","accordion_title":"Continuing Review","icon":"","row_content":"Continuing reviews (i.e., progress reports and\/or study closure) are not required for research deemed exempt.","accordion_anchor":""}]},{"acf_fc_layout":"card_grid","anchor":"","css_class":"max-text-center","title":"<h2 style=\"text-align: center;\">Related resources<\/h2>","description":"","background_color":"#f4f4f4","width":"width-large","columns":"3","cards":[{"card_title":"<h5>Getting started guide<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"Getting Started Guide","url":"https:\/\/www.rochester.edu\/ohsp\/getting-started\/","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""},{"card_title":"<h5>IRB review process<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"Review Process","url":"https:\/\/www.rochester.edu\/ohsp\/irb-review\/process\/","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""},{"card_title":"<h5>IRB submission checklist<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"IRB Submission Checklist","url":"https:\/\/www.rochester.edu\/ohsp\/irb-review\/submission-checklist\/","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""},{"card_title":"<h5>Post-approval consultations<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"Post-Approval Consultation","url":"https:\/\/www.rochester.edu\/ohsp\/post-approval-consultation\/","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""},{"card_title":"<h5>Find your IRB Coordinator<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"Who\u2019s My IRB Coordinator?","url":"https:\/\/www.rochester.edu\/ohsp\/irb-review\/coordinator\/","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""},{"card_title":"<h5>A<span class=\"ILfuVd\" lang=\"en\"><span class=\"hgKElc\">\u2013<\/span><\/span>Z resources<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"Resources","url":"https:\/\/www.rochester.edu\/ohsp\/resources\/","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""}]},{"acf_fc_layout":"card_grid","anchor":"","css_class":"max-text-center pt-0","title":"","description":"<h4 style=\"text-align: center;\">Documents and policies<\/h4>","background_color":"#f4f4f4","width":"width-large","columns":"3","cards":[{"card_title":"<h5>OHSP Policy 301: Research Subject Review Board (RSRB) Scope and Authority<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"","url":"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Policy_301_RSRB_Scope_and_Authority.pdf","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""},{"card_title":"<h5>OHSP Policy 501: Levels of Review<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"","url":"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Policy_501_Levels_of_RSRB_Review.pdf","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""},{"card_title":"<h5>OHSP Guideline for Exempt Status Determination<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"","url":"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/501a_GDL_Exempt_Status_Determination.pdf","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""},{"card_title":"<h5>OHSP Policy 901: Investigator Responsibilities<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"","url":"https:\/\/www.rochester.edu\/ohsp\/wp-content\/uploads\/2024\/01\/Policy_901_Investigator_Responsibilities.pdf","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""},{"card_title":"<h5>Templates<\/h5>","card_text":"","card_background_color":"#FFFFFF","card_hover_color":"#283faf","card_link":{"title":"Templates","url":"https:\/\/www.rochester.edu\/ohsp\/templates\/","target":""},"card_hover_arrow":"hover_arrow","card_image":"","card_image_size":"","card_image_placement":"","card_image_hover_state":"hover_fade","card_image_link":""}]}]},"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v28.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>RSRB (IRB) Exemptions - Office for Human Subject Protection - 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