Waiver or Alteration of HIPAA Authorization

The following three criteria must be satisfied for an IRB to approve a waiver of authorization under the Privacy Rule:

1. The use or disclosure of protected health information involves no more than a minimal risk to the privacy of individuals, based on, at least, the presence of the following elements: 

• an adequate plan to protect the identifiers from improper use and disclosure; 
• an adequate plan to destroy the identifiers at the earliest opportunity consistent with conduct of the research, unless there is a health or research justification for retaining the identifiers or such retention is otherwise required by law; and 
• adequate written assurances that the protected health information will not be reused or disclosed to any other person or entity, except as required by law, for authorized oversight of the research project, or for other research for which the use or disclosure of protected health information would be permitted by this subpart;

2. The research could not practicably be conducted without the waiver or alteration; and

3. The research could not practicably be conducted without access to and use of the protected health information. 

• 45 CFR 164.512(i)(1)(i) and 45 CFR 164.512(i)(2)
• Office of Civil Rights main HIPAA site
  • Research and HIPAA Privacy Rule page. Heading: "Documented Institutional Review Board (IRB) or Privacy Board Approval."
• HIPAA Privacy Rule Information for Researchers from NIH
  • Waiver or Alteration of the Authorization Requirement
• U-MIC IRB Board Tip: The HIPAA Privacy Rule: Requirements and Waivers
• IRBMED Educational Course Offerings including "HIPAA Requirements and Waivers of Authorization"