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POLICY NO: '''6057'''<br />
POLICY NO: '''6057'''<br />
EFFECTIVE DATE: '''03/17/03'''<br />
EFFECTIVE DATE: '''03/17/03'''<br />
REVISED DATES: '''02/04/2010''', '''05/29/2013'''<br />
LAST REVIEWED DATE: '''05/29/2013'''<br />
   
   
<big>'''Use and Disclosure of Protected Health Information Policy'''</big>
== Basis for Policy ==
To establish guidelines for the use and disclousre of protected health information (PHI) in accordance with HIPAA.  (45 CFR 164.502)<br />
NOTE: These guidelines are provided to assist UNMC workforce, including those in the patient treatment areas of the Munroe-Meyer Institute, the College of Medicine Optical Shop, the Lions Eye Bank and the College of Dentistry, as applicable, comply with HIPAA regulations. Those departments and clinics which fall under the jurisdiction of The Nebraska Medical Center and/or University Medical Associates should consult the policies and procedures of those entities for authoritative guidance.<br />  
<br />  


=== Basis for Policy ===
== Policy ==  
The University of Nebraska Medical Center (UNMC) shall use and disclose protected health information (PHI) in accordance with HEalth Insurance Portability and Accountability Act of 1996 (HIPAA) requirements and Executive Memorandum No. 27.<br />
<br />


It is the policy of the University of Nebraska Medical Center (UNMC) to use and disclose protected health information in accordance with Health Insurance Portability and Accountability Act of 1996 (HIPAA) requirements and Executive Memorandum No. 27.<br />
== Definitions ==
<br />  
<br />  
'''Treatment''' means the provision, coordination of management of healthcare and related services by one or more healthcare providers, including the coordination or management of healthcare by a healthcare provider with a third party; consultation between healthcare providers relating to a patient; or the referral of a patient for healthcare from one healthcare provider to another.


=== Policy ===
'''Payment''' means activities undertaken by a healthcare provider or health plan to obtain reimbursement for the provision of healthcare. Activities include determinations of insurance coverage, premiums, provision of benefits under a health plan, adjudication of health benefit claims, billing, collection activities, claims management, medical data processing, medical necessity determinations, utilization review activities including pre-certification and pre-authorization, disclosure to consumer reporting agencies related to collection of premiums or reimbursement, and healthcare data processing related to the above listed activities


Protected Health Information (PHI) may be used and disclosed by UNMC, The Nebraska Medical Center, UMA, and UDA (the entities) for treatment, payment and healthcare operations (as defined by HIPAA).
'''Healthcare operations''' means the following activities related to UNMC’s function as an affiliated healthcare provider and sponsor of a self-insured health plan:
      
      
* As affiliated covered entities, these entities may share PHI with one another without patient authorization to conduct business on behalf of the organizations
:#Quality assessment and improvement activities, including outcomes evaluation and development of clinical guidelines, provided that the obtaining of generalizable knowledge is not the primary purpose of any studies resulting from such activities; otherwise these activities may be classified as research if PHI is included
* Care providers may share medical information with the individual and other people the individual would like to be involved in his/her care (i.e. family members, other relatives, friends, etc.). If possible, care providers should obtain the individual’s permission to share information with others during the course of treatment. However, care providers may use their professional judgment and reasonably infer from the circumstances that an individual does not object to sharing information with others who may visit or call on the telephone. Only information relevant to such person’s involvement with the individual’s care should be shared.
:#Population-based activities relating to improving health or reducing health care costs
Authorizations for the use /disclosure of protected health information shall be obtained in accordance with HIPAA:
:#Protocol development
:#Contacting of health care providers and patients with information about treatment alternatives
:#Case management and care coordination
:#Risk assessment
:#Reviewing the competence or qualifications and accrediting/licensing of healthcare providers and plans
:#Training future healthcare professionals (students and residents)
:#Conducting or arranging for legal services
:#Business planning and development
:#Business management activities
:#General administrative and business functions
:#Conducting or arranging for medical review and auditing services
:#Insurance activities relating to the renewal of a contract of insurance
:#Evaluating healthcare provider and plan performance
:#Resolution of internal grievances
:#Fundraising
 
'''Protected Health Information (PHI)''' is individually identifiable health information. Individually identifiable health information is a subset of health information including demographic information, collected from an individual, whether oral or recorded in any medium that
      
      
::Health Information Use and Disclosure AuthorizationForm
:#Is created or received by ACE; and
::    Research Preparation Request
:#Relates to the past, present, or future physical or mental health or condition of an individual; the provision of healthcare to an individual; or the past, present, or future payment for the provision of healthcare to an individual.
::    Request for Protected Health Information


Use and disclosure guidelines for psychotherapy notes (process notes) are outlined in UNMC Policy No. 6066, Psychotherapy Notes.  Guidelines for the use of PHI for fundraising purposes are outlined in Fundraising Procedures.<br />
Protected Health Information includes genetic information containing individual identifiers which are defined as:
<br />
:#Information about an individual's gentic tests; or
:#The genetic tests of family members of the individual; or
:#The manifestation of a disease or disorder in family members of such individual (i.e., family medical history)


=== Definitions ===
Protected health information excludes individually identifiable health information of a person who has been deceased for more than fifty (50) years.
<br />


'''Healthcare operations''' means the following activities related to UNMC’s function as an affiliated healthcare provider and sponsor of a self-insured health plan:
Protected health information excludes education records covered by the Family Educational Rights and Privacy Act (FERPA), and employment records held by UNMC in its role as employer.
   
* Quality assessment and improvement activities, including outcomes evaluation and development of clinical guidelines
*    Population-based activities relating to improving health or reducing health care costs
*    Protocol development
*    Contacting of health care providers and patients with information about treatment alternatives
*    Case management and care coordination
*    Risk assessment
*    Reviewing the competence or qualifications and accrediting/licensing of healthcare providers and plans
*    Training future healthcare professionals (students and residents)
*    Conducting or arranging for legal services
*    Business planning and development
*    Business management activities
*    General administrative and business functions
*    Conducting or arranging for medical review and auditing services
*    Insurance activities relating to the renewal of a contract of insurance
*    Evaluating healthcare provider and plan performance
*    Resolution of internal grievances
*    Fundraising


'''Payment''' means activities undertaken by a healthcare provider or health plan to obtain reimbursement for the provision of health care.  Activities include determinations of insurance coverage, premiums, provision of benefits under a health plan, adjudication of health benefit claims, billing, collection activities, claims management, medical data processing, medical necessity determinations, utilization review activities including pre-certification and pre-authorization, disclosure to consumer reporting agencies related to collection of premiums or reimbursement, and health care data processing related to the above listed activities.
'''Affiliated Covered Entity (ACE)''' means University of Nebraska Medical Center, The Nebraska Medical Center, UNMC Physicians, University Dental Associates, Bellevue Medical Center and The Nebraska Pediatric Practice Plan as one covered entity for the purpose of sharing PHI under HIPAA.
 
'''Protected Health Information (PHI)''' is individually identifiable health information.  Health information means any information, whether oral or recorded in any medium, that:
   
* is created or received by UNMC; and
* relates to the past, present, or future physical or mental health or condition of an individual; the provision of health care to an individual; or the past, present, or future payment for the provision of health care to an individual.


Records containing PHI, in any form, are the property of UNMC.  The PHI contained in the record is the property of the individual who is the subject of the record.  
'''Individual''' means the person who is the subject of the protected health information.  Personal representatives of the individual have the same rights as the individuals under HIPAA.  Personal representatives include the legal guardian and anyone else authorized by law to act on behalf of the individual.


Protected health information excludes education records covered by the Family Educational Rights and Privacy Act (FERPA), and employment records held by UNMC in its role as employer.
'''Marketing''' means to make a communication about a product or service that encourages recipients of the communication to purchase or use the product or service. See Use and Disclosure of PHI for Marketing


'''Treatment''' means the provision, coordination or management of health care and related services by one or more healthcare providers, including the coordination or management of health care by a health care provider with a third party; consultation between health care providers relating to a patient; or the referral of a patient for health care from one health care provider to another.
'''Research''' means a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalized knowledge.  Generalized knowledge is knowledge that can be applied to populations outside the population service by the ACE.  See Use and Disclosure of PHI for Research


For more detailed information, contact Sheila Wrobel, Privacy Officer, or The Nebraska Medical Center Medical Records at 559-4705 or seeUse and Disclosure of Protected Health Information Procedures.
'''Sale of Protected Health Information''' means disclosure of protected health information by a covered entity or business associate, if applicable, where the covered entity or business associate directly or indirectly receives remuneration from or on behalf of the recipient of the protected health information in exchange for the protected health information. See Sale of Protected Health Information


Use and Disclosure of Protected Health Information Procedures /
Fundraising Procedures /<br />


HIPAA Professional Health Care Education Procedures /
== Procedures ==
Health Information Use and Disclosure Authorization Form / <br />
<br />


Request for Protected Health Information Form / <br />


Research Preparation Request /Data Use Agreement<br />


This is a new UNMC policy.<br />


This page updated on Monday, February 16, 2004, by dkp.
This page updated on Monday, February 16, 2004, by dkp.
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