NRPM: Standards for Privacy of Individually Identifiable Health Information. 4. Minimum necessary use and disclosure. (§ 164.506(b))

11/03/1999

We propose that, except as discussed below, a covered entity must make all reasonable efforts not to use or disclose more than the minimum amount of protected health information necessary to accomplish the intended purpose of the use or disclosure, taking into consideration technological limitations.

Under this proposal, covered entities generally would be required to establish policies and procedures to limit the amount of protected health care information used or disclosed to the minimum amount necessary to meet the purpose of the use or disclosure, and to limit access to protected health information only to those people who need access to the information to accomplish the use or disclosure. With respect to use, if an entity consists of several different components, the entity would be required to create barriers between components so that information is not used inappropriately. The same principle applies to disclosures.

A “minimum necessary” determination would need to be consistent with and directly related to the purpose of the use or disclosure and take into consideration the ability of a covered entity to delimit the amount of information used or disclosed and the relative burden imposed on the entity. The proposed minimum necessary requirement is based on a reasonableness standard: covered entities would be required to make reasonable efforts and to incur reasonable expense to limit the use and disclosure of protected health information as provided in this section.

In our discussions of the minimum necessary requirement, we considered whether or not this should apply to all entities and whether or not it should be applied to all protected health information. We decided that the principle of minimum necessary disclosure is critical to the protection of privacy and that because small entities represent 83 percent of the health care industry, we would not exempt them from this provision without undermining its effectiveness.

We understand that the requirements outlined in this section do not create a bright line test for determining the minimum necessary amount of protected health information appropriate for most uses or disclosures. Because of this lack of precision, we considered eliminating the requirement altogether. We also considered merely requiring covered entities to address the concept within their internal privacy procedures, with no further guidance as to how each covered entity would address the issue. These approaches were rejected because minimizing both the amount of protected health information used and disclosed within the health care system and the number of persons who have access to such information is vital if we are to successfully enhance the confidentiality of people’s personal health information. We invite comments on the approach that we have adopted and on alternative methods of implementing the minimum necessary principle.