The Regulatory Citation and How It Applies:
“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.” [§46.104(d)(1)]
Definitions
Established or Commonly Accepted Educational Settings are where one would go in order to have an educational experience that is regularly offered in the location where the research will be conducted or that is commonly accepted in a specific culture or population. These settings could include but are not limited to:
- Schools and universities
- Workplace educational programs and sites
- Libraries (e.g., adult learning classes)
- Boy or Girl Scout meetings
- Education in applied settings such as grocery stores that offer cooking or nutrition classes; a bicycle shop that offers repair and maintenance classes; woodworking instruction in a “maker space”; craft classes in a craft store, etc.
- Professional development seminars or programs (e.g., Toastmasters)
Normal Educational Practices are activities that could occur in the specific educational setting regardless of whether the research is conducted. This includes a variety of activities that normally occur in the classroom or that are considered "best practice." Examples include established teaching methods (not considered to be experimental) or curriculum, and commonly accepted classroom management techniques that are planned and implemented by the classroom teacher.
Special Information
Family Educational Rights and Privacy Act (FERPA): FERPA protects personally identifiable information (PII) from students’ education records from unauthorized disclosure. If you are obtaining identifiable student records, FERPA regulations apply. For the use of identifiable student records, you must either obtain the direct, written permission of the student (if adults) or student’s parent (if minors), or you must obtain a written FERPA exception from the local educational agency who holds the records. FERPA defines education records as “records that are: (1) directly related to a student; and (2) maintained by an educational agency or institution or by a party acting for the agency or institution.” This includes records such as grades, test scores (from the course or standardized test scores), homework product, evaluations, etc.). FERPA also defines the term identifiable to mean student records that include direct identifiers (such as a student’s or other family member’s name) and indirect identifiers (such as a student’s date of birth, place of birth, or mother’s maiden name). For UAB education records, contact the UAB registrar at This email address is being protected from spambots. You need JavaScript enabled to view it. for information regarding the applicability of FERPA or to obtain an exception to FERPA. In all cases, include the approval from the appropriate registrar in your application to the IRB.
Protection of Pupil Rights Amendment (PPRA): If you are administering a questionnaire to minors that contains certain sensitive information, the Protection of Pupil Rights Amendment (PPRA) may apply, and the project should be submitted to the IRB via Expedited review. For more information on PPRA, contact the IRB at This email address is being protected from spambots. You need JavaScript enabled to view it. .
- Topics protected under PPRA include the following:
- Political affiliations;
- Mental and psychological problems potentially embarrassing to the student and his/her family;
- Sex behavior and attitudes;
- Illegal, anti-social, self-incriminating and demeaning behavior;
- Critical appraisals of other individuals with whom respondents have close family relationships;
- Legally recognized privileged or analogous relationships, such as those of lawyers, physicians, and ministers; or
- Income (other than that required by law to determine eligibility for participation in a program or for receiving financial assistance under such program).
Examples of Research Exempt under Category 1:
- A study evaluating the effectiveness of a commonly accepted science curriculum. For the study, researchers will observe classroom instruction and collect quizzes and class evaluations that are part of the curriculum and classroom practices.
- A study comparing two curricula that are currently being implemented (or one that is current but recently replaced an older version). Researchers will observe classrooms as well as interview instructors about their experiences implementing the instructional materials and collect class evaluations.
- A study comparing driver's education curricula offered by area driving schools. The researcher will observe classes and compare driving test scores at the end of the courses.
- A study involving interviews of 3rd Grade teachers regarding their experiences and techniques with implementing new math standards. Researchers will obtain lesson plans and ask the teachers to provide reflective journals for one week.
- A study evaluating homework stress by interviewing 8th grade students on the amount of homework they receive and surveying their parents about their perceived stress level and sleep habits of their children. No questions of sensitive nature.
- A study that randomizes students into two different class sessions that will utilize different teaching strategies.
Examples of Research NOT Exempt under Category 1:
- Research that falls under the Protection of Pupil Rights Amendment (PPRA).
- Research involving “high-stakes” research models that will affect the participant (e.g., testing methods to determine if children should be held back) or the school (e.g., analysis of data to determine success or failure of schools that could be used to determine school closings).
- Research involving pharmaceutical interventions or unusual medical tests (e.g., genetic testing of students reporting high math anxiety levels, MRI studies in individuals learning to read).
- Researchers are interested in developing a new assessment for math skills that involve both scoring of written prompts as well as responses involving use of manipulatives. It is expected that a new standard, norm-referenced product will result. According to the school, the planned assessment is aligned with current curriculum and will not require students to respond to questions that would be unfamiliar; however, the development process entails having students respond to more assessment items than would be expected. In addition, in order to validate the new assessment, additional tests not currently used in the school will be administered for comparison, thus extending total testing time and number of items beyond what would be considered normal educational practice.
FAQs Regarding Category 1 Exemption
Category 1 - What if my research involves student surveys?
A survey of minors may be permissible within the constraints of a Category 1 exemption if a researcher was surveying students regarding the normal educational practice being studied and the survey does not include topics covered by PPRA. For example, if a researcher was evaluating the reading curriculum and wanted to survey minor students about the books they read, this may fit into the evaluation of the normal educational practice. However, if the research only involved a survey of students’ fitness and after-school behavior, then it would not be permissible under Category 1 exemption.
Category 1: Since I’m an Education Masters student, do I automatically choose Category 1?
Not necessarily. As noted above, the criteria for Category 1 exemption are the key factors, not the ultimate use of the research outcomes.
Category 1: What if my research involves video/audio recording classroom lessons or observing teacher/student interactions?
The exemption criteria say nothing specific about video/audio recordings or teacher/student observations. These activities are permissible in a Category 1 exemption, so long as the research will be conducted in a commonly accepted educational setting and will be examining normal educational practices. Your application should address the minimization of data collection on the minors and address the final disposition of the recordings.
Consent documents must include permission to audio/video record participants, even if the school has obtained approval from parents for videotaping or audiotaping children.