Guidance on Research Involving Surveys, Interviews, and Focus Groups

Version Date: January 2019

Survey, interview, and focus group research can often qualify for exemption from IRB Review as defined in the federal Common Rule 45 CFR 46.104 (d)(2):

Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behavior (including visual or auditory recording).
NOTE: The exemption for survey and interview research does not apply to research in which the subjects are children, except for research involving educational tests (cognitive, diagnostic, aptitude, achievement) and observation of public behavior if the investigator does not participate in the activities being observed.
The following elements apply to survey, interview, and focus group research:
  1. Research involving only focus groups, interviews, and surveys cannot qualify for exemption if minors are included in the subject population.
  2. There is an institutional requirement that there be some kind of consent process for category 2 research, including focus groups.  In virtually all circumstances, the study team must provide consent information either orally via a script or in some written format, but signatures are not required from the subjects.  This consent information must address the required elements of informed consent [Informed Consent ] but need not be in the full consent template format.  For focus groups and interviews, the study team may either read a consent script at the beginning of the focus group or provide a consent information sheet at the time of recruitment or at the beginning of the focus group/interview or provide a consent information sheet at the time of recruitment or age the beginning of the focus group/interview. For surveys, an information sheet can be provided as the first page of the survey but should be available to print should subjects wish to keep it for their records.
Please note that focus group research differs from interview and survey research in the following ways:
  • In order to qualify for exemption under 45 CFR 46.104 (d)(2), or "category 2," if data is both sensitive (as described in point b above) and identifiable, limited review of the IRB application is required to ensure privacy and confidentiality measures are adequate.  Focus group research may not qualify for exemption if the discussion involves the subjects revealing sensitive information about themselves (e.g. substance abuse, HIV status, domestic violence, etc.), even if the study team does not link subject identifiers to the data.  This is because the study team cannot guarantee that the focus group members themselves will keep the information confidential.  It is possible that focus groups that involve professional subjects discussing sensitive topics (e.g. approaches to treating domestic abuse survivors) may qualify for exemption, but the professional subjects may not reveal identifiable patient information.
  • All focus group studies must include a reminder to the group to keep the discussion confidential.  This should be included in the consent information and in the facilitator's introduction to the group.  

Keywords:exemption, group interview   Doc ID:41769
Owner:Monica E.Group:Health Sciences IRBs
Created:2014-07-10 11:57 CSTUpdated:2019-01-24 08:35 CST
Sites:Health Sciences IRBs
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