The Regulatory Citation and How It Applies:

“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 in such 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. [§46.104(d)(5)]

Exemption Category 5 only applies to research on public benefit programs (e.g., Social Security) conducted by or subject to the approval of the federal government and is rarely applied to research at UAB.  Research and demonstration projects in general (e.g., state or city funded public service programs) do not fit under this exempt category.

As described in federal guidance, all of the following criteria must be satisfied.

• The program under study delivers a public benefit or service.
• The project must be conducted pursuant to specific federal statutory authority.
• There must be no statutory requirement that the project be reviewed by an IRB.
• The project does not involve significant physical invasions or intrusions upon the privacy of participants.
• The funding agency concurs with the exemption.

DEFINITIONS