Notice

Because of a lapse in government funding, the information on this website may not be up to date, transactions submitted via the website may not be processed, and the agency may not be able to respond to inquiries until appropriations are enacted.

Updates regarding government operating status and resumption of normal operations can be found at USA.gov.

Decision Tree for Protection of Human Subjects from Research Risk

Table of Contents

See the main index of Decision Trees or Research Using Human Subjects

Graphical Flowchart

Decision Tree for Protection of Human Subjects 1
Credit: NIAID

Text Version of Flowchart

Step 1. Are human subjects involved? (even if exempted under 45 CFR Part 46)?

Step 2. Does the study claim an exemption to regulations?

Step 3. Does the study fit an allowed exemption?

Step 4. Are these issues adequately and appropriately addressed? Risk to subjects, adequacy of protection against risks, potential benefits of the research to subjects and others, importance of knowledge to be gained

  • If yes:
  • If no:
    • Concerns. Unacceptable risks and/or inadequate protections.
    • Negative impact on score, bar to award.
    • Human Subjects Code: 44.
    • End.

Summary of Codes

  • Human subjects protection codes
    • 10—Human subjects not involved (not clinical research)
    • 30—Human subjects involved, No Concerns (or only minor problems)
    • 44—Human subjects involved, Concerns
  • Exemption codes: Research involves...
    • E1—Instructional strategies in established educational settings
    • E2—Educational tests unlinkable to individuals, with no risks from disclosure
    • E3—Educational tests on public officials, or absolute confidentiality federally mandated
    • E4—Existing data/specimens, publicly available or unlinkable to individuals
    • E5—Demonstration projects concerning public benefit or service programs
    • E6—Taste and quality evaluation of foods without additives exceeding regulated levels
Content last reviewed on April 19, 2016