Disclosures of PHI as Permitted or Required by Law: Difference between revisions

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Policy No.: '''6304'''<br />
Policy No.: '''6304'''<br />
Effective Date: '''Draft 08/19/22'''<br />
Effective Date: '''Draft 10/28/22'''<br />
Revised Date: <br />
Revised Date: <br />
Revised Date: <br />
Revised Date: <br />
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To establish guidelines for the disclosure of PHI as permitted or required by law in accordance with HIPAA and University of Nebraska Medical Center (UNMC) policies.   
To establish guidelines for the disclosure of PHI as permitted or required by law in accordance with HIPAA and University of Nebraska Medical Center (UNMC) policies.   
==Policy==
==Policy==
UNMC shall disclose Protected Health Information (PHI) as permitted or required by law in accordance with the requirements of the Health Insurance Portability and Accountability Act of 1996 (HIPAA) and UNMC policies to maintain confidentiality of PHI and protect patient privacy.
UNMC shall disclose Protected Health Information (PHI) as permitted or required by law in accordance with the requirements of the [https://www.cdc.gov/phlp/publications/topic/hipaa.html Health Insurance Portability and Accountability Act of 1996 (HIPAA)] and UNMC policies to maintain confidentiality of PHI and protect patient privacy.
==Definitions==
===Individual===
The person who is the subject of the PHI. Personal representatives of the patient have the same rights as the Individual under HIPAA (i.e., they “step into the shoes” of the Individual). Personal representatives include the legal guardian and anyone else authorized by law to act on behalf of the Individual. See Nebraska Medicine Consents and Permits policy, MS14.
===Protected Health Information (PHI)===
Individually identifiable health information including demographic information, collected from an Individual, whether oral or recorded in any medium, that:
*is created or received by UNMC/Nebraska Medicine; 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 and identifies the Individual or with respect to which there is a reasonable basis to believe the information can be used to identify the Individual. 
PHI includes genetic information, which includes information about the following items (and excludes information about an Individual’s sex or age):
*an Individual’s genetic tests; 
*the genetic tests of an Individual’s family members; or
*the manifestation of a disease or disorder in such Individual’s family members (i.e., family medical history); or
*any request for, or receipt of, genetic services (e.g., genetic test, genetic counseling, genetic education), or participation in clinical research which includes genetic services by the Individual or any family member of the Individual.
PHI excludes:
*individually identifiable health information of a person who has been deceased for more than fifty (50) years.
*education records covered by the Family Educational Rights and Privacy Act (FERPA); and
*employment records held by UNMC in its role as employer.
===Qualified Protective Order (QPO)===
An order of a court or of an administrative tribunal or a stipulation by the parties to litigation or an administrative proceeding that:
*prohibits the parties from using or disclosing PHI for any purpose other than the litigation or proceeding for which such information was requested; and
*requires the return to UNMC or destruction of the PHI (including all copies made) at the end of the litigation or proceeding.
===Workforce===
Employees, medical staff, volunteers, trainees, and other persons whose conduct, in the performance of work for UNMC, is under the direct control of UNMC, whether or not they are paid by UNMC.
==Procedures==
==Procedures==
Disclosures of PHI may be made without a written Individual authorization for the following purposes. Any other disclosures not described below cannot be made unless specifically authorized by another UNMC policy, the Privacy Office, or General Counsel’s office. Unless otherwise provided by UNMC Policy No. 6057, [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information Use and Disclosure of Protected Health Information], all disclosures of PHI permitted by this policy or any other UNMC policy are limited to the minimum necessary to accomplish the intended purpose of the use, disclosure or request. All disclosures, regardless if a written Individual authorization is required or not for any given disclosure, must be documented in the EMR. If a written Individual authorization is required, such authorization must be included in the patient’s medical record.<br />
Disclosures of PHI may be made without a written Individual authorization for the following purposes. Any other disclosures not described below cannot be made unless specifically authorized by another UNMC policy, the Privacy Office, or General Counsel’s office. Unless otherwise provided by UNMC Policy No. 6057, [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information Use and Disclosure of Protected Health Information], all disclosures of PHI permitted by this policy or any other UNMC policy are limited to the minimum necessary to accomplish the intended purpose of the use, disclosure or request. All disclosures, regardless if a written Individual authorization is required or not for any given disclosure, must be documented in the EMR. If a written Individual authorization is required, such authorization must be included in the patient’s medical record.<br />


Disclosures '''required by law''', to the extent the disclosure complies with and is limited to the relevant requirements of such law. Examples of these types of disclosures include:  
Disclosures '''required by law''', to the extent the disclosure complies with and is limited to the relevant requirements of such law. Examples of these types of disclosures include:  
*reports of suspected or observed '''child abuse or neglect''' (See Nebraska Medicine policies: Reporting Abuse, Neglect or Injury policy, PE 03; Infant Drug Testing Guidelines for Providers policy, SH21, and Drug Testing Guidelines for Providers: Pregnant and Postpartum Patients policy, AD48);
*reports of suspected or observed '''child abuse or neglect''' (See Nebraska Medicine policies: Reporting Abuse, Neglect or Injury policy, PE 03; Infant Drug Testing Guidelines for Providers policy, SH21, and Drug Testing Guidelines for Providers: Pregnant and Postpartum Patients policy, AD48);
*“'''wounds of violence'''” – excluding sexual assaults (See Nebraska Medicine Reporting Abuse, Neglect or Injury policy, PE 03);
*“'''wounds of violence'''” – excluding sexual assaults (See Nebraska Medicine Reporting Abuse, Neglect or Injury policy, PE 03);
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****The party has requested a QPO from the court or administrative tribunal.
****The party has requested a QPO from the court or administrative tribunal.
**Disclosures of PHI pursuant to either of the options above must be limited to the requested information.
**Disclosures of PHI pursuant to either of the options above must be limited to the requested information.
**Forward any order of a court or administrative tribunal or any subpoena, discovery request, or other lawful process that is not accompanied by an order of a court or administrative tribunal to the Health Information Management department (HIM) for processing. For urgent requests that cannot wait for HIM, contact Risk (consult Web On Call or the hospital operator to reach on-call Risk staff) or General Counsel’s office with any questions.
**Forward any order of a court or administrative tribunal or any subpoena, discovery request, or other lawful process that is not accompanied by an order of a court or administrative tribunal to the Health Information Management department (HIM) for processing. For urgent requests that cannot wait for HIM, contact Risk (consult Web On Call or the hospital operator to reach on-call Risk staff) or General Counsel’s office with any questions.
Disclosures may be made to the following persons/entities for the following '''public health activities''', provided such disclosures fall within your job responsibilities:  
Disclosures may be made to the following persons/entities for the following '''public health activities''', provided such disclosures fall within your job responsibilities:  
*'''to a public health authority''' authorized by law to collect or receive PHI '''for the purpose of preventing or controlling disease, injury or disability''', including, but not limited to, the reporting of disease, injury, vital events such as birth or death and the conduct of public health surveillance, public health investigations and public health interventions (examples of public health authorities include: state and local health departments; the Food and Drug Administration (FDA); the Centers for Disease Control and Prevention; and the Occupational Safety and Health Administration (OSHA));  
*'''to a public health authority''' authorized by law to collect or receive PHI '''for the purpose of preventing or controlling disease, injury or disability''', including, but not limited to, the reporting of disease, injury, vital events such as birth or death and the conduct of public health surveillance, public health investigations and public health interventions (examples of public health authorities include: state and local health departments; the Food and Drug Administration (FDA); the Centers for Disease Control and Prevention; and the Occupational Safety and Health Administration (OSHA));  
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*Qualification for, or receipt of, public benefits or services when an Individual's health is integral to the claim for public benefits or services.
*Qualification for, or receipt of, public benefits or services when an Individual's health is integral to the claim for public benefits or services.
Disclosure about decedents to a '''coroner or medical examiner''' for the purpose of identifying a deceased person, determining a cause of death, or other duties as authorized by law.
Disclosure about decedents to a '''coroner or medical examiner''' for the purpose of identifying a deceased person, determining a cause of death, or other duties as authorized by law.
Disclosures to '''funeral directors''' as required by law as necessary to carry out their duties regarding decedents. In Nebraska, funeral directors in charge of the funeral of any person who dies in Nebraska are to cause a death certificate to be filled out. That form must include a statement of the cause of death made by the physician, physician assistant, or nurse practitioner who last attended the deceased.  
Disclosures to '''funeral directors''' as required by law as necessary to carry out their duties regarding decedents. In Nebraska, funeral directors in charge of the funeral of any person who dies in Nebraska are to cause a death certificate to be filled out. That form must include a statement of the cause of death made by the physician, physician assistant, or nurse practitioner who last attended the deceased.  
Disclosures for '''cadaveric organ, eye or tissue donation''' to organ procurement organizations.
Disclosures for '''cadaveric organ, eye or tissue donation''' to organ procurement organizations.
Disclosures to '''prevent or lessen a serious and imminent threat to the health or safety of a person''' or the public consistent with applicable law, when believed in good faith to be necessary as follows:   
Disclosures to '''prevent or lessen a serious and imminent threat to the health or safety of a person''' or the public consistent with applicable law, when believed in good faith to be necessary as follows:   
*to prevent or lessen a serious and imminent threat to the health or safety of a person or the public and such disclosure of PHI is to a person or persons reasonably able to prevent or lessen the threat (e.g., the target of the threat, family members, school administrators, risk management, and/or law enforcement). If law enforcement is to be contacted, first contact campus Public Safety (unless the threat is immediate, in which case law enforcement should be contacted immediately).   
*to prevent or lessen a serious and imminent threat to the health or safety of a person or the public and such disclosure of PHI is to a person or persons reasonably able to prevent or lessen the threat (e.g., the target of the threat, family members, school administrators, risk management, and/or law enforcement). If law enforcement is to be contacted, first contact campus Public Safety (unless the threat is immediate, in which case law enforcement should be contacted immediately).   
*for law enforcement authorities to identify or apprehend an Individual, either  
*for law enforcement authorities to identify or apprehend an Individual, either  
**because of a statement by an Individual admitting participation in a violent crime that staff reasonably believes may have caused serious physical harm to the victim (unless staff learns of this statement in the course of treatment to affect the propensity to commit the criminal conduct that is the basis for this disclosure, or counseling, or therapy (or through an Individual’s request to initiate or to be referred for such treatment, counseling or therapy), in which case such use or disclosure of PHI may NOT be made); or
**because of a statement by an Individual admitting participation in a violent crime that staff reasonably believes may have caused serious physical harm to the victim (unless staff learns of this statement in the course of treatment to affect the propensity to commit the criminal conduct that is the basis for this disclosure, or counseling, or therapy (or through an Individual’s request to initiate or to be referred for such treatment, counseling or therapy), in which case such use or disclosure of PHI may NOT be made); or
**where it appears from all the circumstances that the individual has escaped from a correctional institution or from lawful custody.
**where it appears from all the circumstances that the Individual has escaped from a correctional institution or from lawful custody.
**Unless there is a serious and imminent threat to the health or safety of a person or the public (in which case, see that section above), contact the Privacy Office, General Counsel’s office and/or Risk prior to making disclosures that are intended to enable law enforcement to identify or apprehend an Individual pursuant to the two bullets in this section above.
**Unless there is a serious and imminent threat to the health or safety of a person or the public (in which case, see that section above), contact the Privacy Office, General Counsel’s office and/or Risk prior to making disclosures that are intended to enable law enforcement to identify or apprehend an Individual pursuant to the two bullets in this section above.
Uses and disclosures for specialized government functions.
Uses and disclosures for specialized government functions.
To officials of the Department of State for the purpose of '''medical suitability determinations'''.
*To officials of the Department of State for the purpose of '''medical suitability determinations'''.
'''Note:''' Staff should not proactively alert military command authority regarding the voluntary treatment or admission of active military personnel unless the Individual presents a serious and imminent threat to the Individual or others (see the first bullet under serious and imminent threat section above for more details on this point).
<p>'''Note:''' Staff should not proactively alert military command authority regarding the voluntary treatment or admission of active military personnel unless the Individual presents a serious and imminent threat to the Individual or others (see the first bullet under serious and imminent threat section above for more details on this point).</p>
*'''National security and intelligence activities'''. Disclosure of PHI to authorized Federal officials for the conduct of lawful intelligence, counter-intelligence, and other national security activities authorized by the National Security Act (and its implementing authority.
*'''National security and intelligence activities'''. Disclosure of PHI to authorized Federal officials for the conduct of lawful intelligence, counter-intelligence, and other national security activities authorized by the National Security Act (and its implementing authority.
*'''Protective services for the President and others'''. PHI may be disclosed to authorized Federal officials for the provision of protective services to the President or other legally authorized persons.
*'''Protective services for the President and others'''. PHI may be disclosed to authorized Federal officials for the provision of protective services to the President or other legally authorized persons.
*Refer any questions about any of the above provisions and all other requests for government uses not clearly covered by this or another UNMC policy to the Privacy Office or General Counsel’s office.
*Refer any questions about any of the above provisions and all other requests for government uses not clearly covered by this or another UNMC policy to the Privacy Office or General Counsel’s office.
Disclosures for '''workers' compensation'''. UNMC may disclose PHI as authorized by and to the extent necessary to comply with laws relating to workers' compensation or other similar programs, established by law, that provide benefits for work-related injuries or illness without regard to fault.   Per state law, information disclosed should be limited to only that information relevant to the injury. A workers’ compensation plan’s request for “all medical records” should generally be denied unless the services to the Individual were limited to one episode of care related to the injury.
Disclosures for '''workers' compensation'''. UNMC may disclose PHI as authorized by and to the extent necessary to comply with laws relating to workers' compensation or other similar programs, established by law, that provide benefits for work-related injuries or illness without regard to fault. Per state law, information disclosed should be limited to only that information relevant to the injury. A workers’ compensation plan’s request for “all medical records” should generally be denied unless the services to the Individual were limited to one episode of care related to the injury.
 
==Definitions==
===Individual===
The person who is the subject of the PHI. Personal representatives of the Individual have the same rights as the Individual under HIPAA (i.e., they “step into the shoes” of the Individual). Personal representatives include the legal guardian and anyone else authorized by law to act on behalf of the Individual. (See Nebraska Medicine Consents and Permits policy, MS14.)
===Protected Health Information (PHI)===
Individually identifiable health information including demographic information, collected from an Individual, whether oral or recorded in any medium, that:
*is created or received by UNMC/ACE; 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 and identifies the Individual or with respect to which there is a reasonable basis to believe the information can be used to identify the Individual.
PHI includes genetic information, which includes information about the following items (and excludes information about an Individual’s sex or age):
*an Individual’s genetic tests; 
*the genetic tests of an Individual’s family members; or
*the manifestation of a disease or disorder in such Individual’s family members (i.e., family medical history); or
*any request for, or receipt of, genetic services (e.g., genetic test, genetic counseling, genetic education), or participation in clinical research which includes genetic services by the Individual or any family member of the Individual.
PHI excludes:
*individually identifiable health information of a person who has been deceased for more than fifty (50) years.
*education records covered by the Family Educational Rights and Privacy Act (FERPA); and
*employment records held by UNMC in its role as employer.
===Qualified Protective Order (QPO)===
An order of a court or of an administrative tribunal or a stipulation by the parties to litigation or an administrative proceeding that:
*prohibits the parties from using or disclosing PHI for any purpose other than the litigation or proceeding for which such information was requested; and
*requires the return (to UNMC) or destruction of the PHI (including all copies made) at the end of the litigation or proceeding.
===Workforce===
Employees, medical staff, volunteers, trainees and other persons whose conduct, in the performance of work for Nebraska Medicine/UNMC, is under the direct control of Nebraska Medicine/UNMC, whether or not they are paid by Nebraska Medicine/UNMC.
==Additional Information==
==Additional Information==
*Contact the [mailto:privacy@nebraskamed.com Privacy Office] or at 402-559-5136.
*Contact the [mailto:privacy@nebraskamed.com Privacy Office] or at 402-559-5136.
*Contact [https://support.security.unmc.edu Office of Information Security] or 402-559-2545.
*Contact [https://support.security.unmc.edu Office of Information Security] or 402-559-2545.
*Risk (consult Web On Call or the hospital operator to reach on-call Risk staff)  
*Risk (consult Web On Call or the hospital operator to reach on-call Risk staff)  
*General Counsel’s o0ffice (Hospital or University??)
*General Counsel’s Office (Hospital or University??)
*UNMC Policy No. 6045, [https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]
*UNMC Policy No. 6045, [https://wiki.unmc.edu/index.php/Privacy/Confidentiality Privacy, Confidentiality and Security of Patient and Proprietary Information]
*UNMC Policy No. 6051, [https://wiki.unmc.edu/index.php/Computer_Use/Electronic_Information Computer Use/Electronic Information]
*UNMC Policy No. 6051, [https://wiki.unmc.edu/index.php/Computer_Use/Electronic_Information Computer Use/Electronic Information]
*UNMC Policy No. 6057, [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information Use and Disclosure of Protected Health Information]
*UNMC Policy No. 6057, [https://wiki.unmc.edu/index.php/Use_and_Disclosure_of_Protected_Health_Information Use and Disclosure of Protected Health Information]
*UNMC Policy No. 6304, [[Disclosure of PHI for Law Enforcement Purposes]
*UNMC Policy No. 6304, [[Disclosure of PHI for Law Enforcement Purposes]]
*Procedure for UNMC Policies No. 6051 and 6057, [https://info.unmc.edu/its-security/policies/procedures/electronic-comm-phi.html Electronic Communication of Protected Health Information]
*Procedure for UNMC Policies No. 6051 and 6057, [https://info.unmc.edu/its-security/policies/procedures/electronic-comm-phi.html Electronic Communication of Protected Health Information]
Nebraska Medicine Policy Reporting Abuse, Neglect or Injury policy, PE 03;  
*Nebraska Medicine Consents and Permits policy, MS14.
Nebraska Medicine Policy Infant Drug Testing Guidelines for Providers policy, SH21
*Nebraska Medicine Reporting Abuse, Neglect or Injury policy, PE 03;  
Nebraska Medicine Policy Drug Testing Guidelines for Providers: Pregnant and Postpartum Patients policy, AD48
*Nebraska Medicine Infant Drug Testing Guidelines for Providers policy, SH21
*Nebraska Medicine Drug Testing Guidelines for Providers: Pregnant and Postpartum Patients policy, AD48
*[https://www.cdc.gov/phlp/publications/topic/hipaa.html Health Insurance Portability and Accountability Act of 1996 (HIPAA)]


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