CHECKLIST FOR WAIVER APPROVAL

There are certain specific conditions under which informed consent (written format and/or the requirement for a signature) can be waived. Use this checklist to consider whether or not the research may qualify under the conditions indicated for a waiver.

CATEGORY 1

46.116(c) An IRB may approve a consent procedure which does not include, or which alters, some or all of the elements of informed consent set forth at 45CFR46.116(a) and (b), or waive the requirement to obtain informed consent provided the IRB finds and documents that:


(1) the research or demonstration project is to be conducted by or subject to the approval of state or local government officials and is designed to study, evaluate, or otherwise examine: (i) public benefit or service programs; (ii) procedures of obtaining benefits or services under those programs; (iii) possible changes in or alternatives to those programs or procedures; or (iv) possible changes in methods or levels of payment for benefits or services under those programs; and


(2) the research could not practicably be carried out without the waiver or alteration.


OR

CATEGORY 2


46.116(d) An IRB may approve a consent procedure which does not include, or which alters, some or all of the elements of informed consent set forth in this section, or waive the requirements to obtain informed consent provided the IRB finds and documents that:


(1) the research involves no more than minimal risk to the subjects;



(2) the waiver or alteration will not adversely affect the rights and welfare of the subjects;



(3) the research could not practicably be carried out without the waiver or alteration; and



(4) whenever appropriate, the subjects will be provided with additional pertinent information after participation.
 


OR

CATEGORY 3

46.117(c) An IRB may waive the requirement for the investigator to obtain a signed consent form for some or all subjects if it finds either:


(1) That the only record linking the subject and the research would be the consent document and the principal risk would be potential harm resulting from a breach of confidentiality. Each subject will be asked whether the subject wants documentation linking the subject with the research, and the subject's wishes will govern; or


(2) That the research presents no more than minimal risk of harm to subjects and involves no procedures for which written consent is normally required outside of the research context.

In cases in which the documentation requirement is waived, the IRB may require the investigator to provide subjects with a written statement regarding the research.



If after completing this WAIVER CHECKLIST you find that you qualify for a waiver, return to the Submission Guidelines.



Last updated on December 23, 2005
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