Human Subjects Involvement Codes

See also: Human Subjects Inclusion Codes.

Scientific review group concerns of unacceptable risk or inadequate protection can result in a bar or restriction to award—see the Bars and Restictions to Grant Awards—Human Subjects SOP. If you see a code on your summary statement, read Know What a Summary Statement Means.

These codes reflect the status of human subjects involvement on summary statements of grant applications and on the grants management and program officer worksheets in IMPAC II:

  • Code 10—Award can be processed, no human subjects involved.
  • Codes E1-E8—Award can be processed, human subjects involved, designates an exemption.
    • Code E1—Exemption category 1—research is conducted in an educational setting involving normal educational practices.
    • Code E2—Exemption category 2—research uses cognitive, diagnostic, aptitude, or achievement tests; interviews; or observations of public behavior, unless subjects are identifiable and disclosure could place them at risk.
    • Code E3—Exemption category 3—research is covered by (2) and is not exempt, if the subjects are public officials or candidates or the law requires that confidentiality be maintained.
    • Code E4—Exemption category 4—research involves the collection or study of existing data, documents, records, or pathological or diagnostic specimens, if the sources are publicly available or the information is recorded so subjects cannot be identified.
    • Code E5—Exemption category 5—research involves research and demonstration projects to study public benefit or service programs.
    • Code E6—Exemption category 6—research evaluates taste and food quality or consumer acceptance of certain foods.
    • Code E7—Human subjects involved—multiple exemption categories designated.
    • Code E8—Human subjects involved—applicability of human subjects regulations waived by the Secretary, HHS.
  • Code 20—Award cannot be processed, human subjects involved and no appropriate exemption designated.
  • Code 30—Award can be processed, human subjects involved, no scientific review group (SRG) human subjects concerns*.
  • Code 35—For institutional training grant trainees working on mentored projects that involve human subjects, Federalwide Assurance required just-in-time.
  • Code 48—At time of award, restrictions will apply.
Content last reviewed on May 30, 2018