Standards for Privacy of Individually Identifiable Health Information. Final Privacy Rule Preamble.. Research Information Unrelated to Treatment

12/28/2000

Definition of Research Information Unrelated to Treatment

Comment: The majority of commenters, including many researchers and health care providers, objected to the proposed definition of research information unrelated to treatment, asserting that the privacy rule should not distinguish research information unrelated to treatment from other forms of protected health information. Even those who supported the proposed distinction between research information related and unrelated to treatment suggested alternative definitions for research information unrelated to treatment.

A large number of commenters were concerned that the definition of research information unrelated to treatment was vague and unclear and, therefore, would be difficult or impossible to apply. These commenters asserted that in many instances it would not be feasible to ascertain whether research information bore some relation to treatment. In addition, several commenters asserted that the need for distinguishing research information unrelated to treatment from other forms of protected health information was not necessary because the proposed rule's general restrictions for the use and disclosure of protected health information and the existing protections for research information were sufficiently strong.

Of the commenters who supported the proposed distinction between research information related and unrelated to treatment, very few supported the proposed definition of research unrelated to treatment. A few commenters recommended that the definition incorporate a good faith provision and apply only to health care providers, because they thought it was unlikely that a health plan or health care clearinghouse would be conducting research. One commenter recommended defining research information unrelated to treatment as information which does not directly affect the treatment of the individual patient. As a means of clarifying and standardizing the application of this definition, one commenter also asserted that the definition should be based on whether the research information was for publication. In addition, one commenter specifically objected to the provision of the proposed definition that would have required that research information unrelated to treatment be information "with respect to which the covered entity has not requested payment from a third party payor." This commenter asserted that patient protection should not be dependent on whether a health plan will pay for certain care.

Response: We agree with the commenters who found the proposed definition of research information unrelated to treatment to be impractical and infeasible to apply and have eliminated this definition and its related provisions in the final rule. Although we share concerns raised by some commenters that research information generated from research studies that involve the delivery of treatment to individual subjects may need additional privacy protection, we agree with the commenters who asserted that there is not always a clear distinction between research information that is related to treatment and research information that is not. We found that the alternative definitions proposed by commenters did not alleviate the serious concerns raised by the majority of comments received on this definition.

Instead, in the final rule, we require covered entities that create protected health information for the purpose, in whole or in part, of research that includes treatment of individuals to include additional elements in authorizations they request for the use or disclosure of that protected health information. As discussed in § 164.508(f), these research-related authorizations must include a description of the extent to which some or all of the protected health information created for the research will also be used or disclosed for purposes of treatment, payment, and health care operations. For example, if the covered entity intends to seek reimbursement from the individual's health plan for the routine costs of care associated with the research protocol, it must explain in the authorization the types of information that it will provide to the health plan for this purpose. This information, and the circumstances under which disclosures will be made for treatment, payment, and health care operations, may be more limited than the information and circumstances described in the covered entity's general notice of information practices and are binding on the covered entity.

Under this approach, the covered entity that creates protected health information for research has discretion to determine whether there is a subset of research information that will have fewer allowable disclosures without authorization, and prospective research subjects will be informed about how research information about them would be used and disclosed should they agree to participate in the research study. We believe this provision in the final rule provides covered entities that participate in research necessary flexibility to enhance privacy protections for research information and provides prospective research subjects with needed information to determine whether their privacy interests would be adequately protected before agreeing to participate in a research study that involves the delivery of health care.

The intent of this provision is to permit covered entities that participate in research to bind themselves to a more limited scope of uses and disclosures for all or identified subsets of research information generated from research that involves the delivery of treatment than it may apply to other protected health information. In designing their authorizations, we expect covered entities to be mindful of the often highly sensitive nature of research information and the impact of individuals' privacy concerns on their willingness to participate in research. For example, a covered entity conducting a study which involves the evaluation of a new drug, as well as an assessment of a new un-validated genetic marker of a particular disease, could choose to stipulate in the research authorization that the genetic information generated from this study will not be disclosed without authorization for some of the public policy purposes that would otherwise be permitted by the rule under §§ 164.510 and 164.512 and by the covered entity's notice. A covered entity may not, however, include a limitation affecting its right to make a use or disclosure that is either required by law or is necessary to avert a serious and imminent threat to health or safety.

The final rule also permits the covered entity to combine the research authorization under § 164.508(f) with the consent to participate in research, such as the informed consent document as stipulated under the Common Rule or the Food and Drug Administration's human subjects regulations.

Enhance privacy protections for research information

Comment: A number of commenters argued that research information unrelated to treatment should have fewer allowable disclosures without authorization than those that would have been permitted by the proposed rule. The commenters who made this argument included those commenters who recommended that the privacy rule not cover the information we proposed to constitute research information unrelated to treatment, as well as those who asserted that the rule should cover such information. These commenters agreed with the concern expressed in the proposed rule that patients would be reluctant to participate in research if they feared that research information could be disclosed without their permission or used against them. They argued that fewer allowable disclosures should be permitted for research information because the clinical utility of the research information is most often unknown, and thus, it is unsuitable for use in clinical decision making. Others also argued that it is critical to the conduct of clinical research that researchers be able to provide individual research subjects, and the public at large, the greatest possible assurance that their privacy and the confidentiality of any individually identifiable research information will be protected from disclosure.

Several commenters further recommended that only the following uses and disclosures be permitted for research information unrelated to treatment without authorization: (1) for the oversight of the researcher or the research study; (2) for safety and efficacy reporting required by FDA; (3) for public health; (4) for emergency circumstances; or (5) for another research study. Other commenters recommended that the final rule explicitly prohibit law enforcement officials from gaining access to research records.

In addition, several commenters asserted that the rule should be revised to ensure that once protected health information was classified as research information unrelated to treatment, it could not be re-classified as something else at a later date. These commenters believed that if this additional protection were not added, this information would be vulnerable to disclosure in the future, if the information were later to gain scientific validity. They argued that individuals may rely on this higher degree of confidentiality when consenting to the collection of the information in the first instance, and that confidentiality should not be betrayed in the future just because the utility of the information has changed.

Response: We agree with commenters who argued that special protections may be appropriate for research information in order to provide research subjects with assurances that their decision to participate in research will not result in harm stemming from the misuse of the research information. We are aware that some researchers currently retain separate research records and medical records as a means of providing more stringent privacy protections for the research record. The final rule permits covered entities that participate in research to continue to provide more stringent privacy protections for the research record, and the Secretary strongly encourages this practice to protect research participants from being harmed by the misuse of their research information.

As discussed above, in the final rule, we eliminate the special rules for this proposed definition of research information unrelated to treatment and its related provisions, so the comments regarding its application are moot.

Comment: Some commenters recommended that the final rule prohibit a covered entity from conditioning treatment, enrollment in a health plan, or payment on a requirement that the individual authorize the use or disclosure of information we proposed to constitute research information unrelated to treatment.

Response: Our decision to eliminate the definition of research information unrelated to treatment and its related provisions in the final rule renders this comment moot.

Comment: A few commenters opposed distinguishing between research information related to treatment and research information unrelated to treatment, arguing that such a distinction could actually weaken the protection afforded to clinically-related health information that is collected in clinical trials. These commenters asserted that Certificates of Confidentiality shield researchers from being compelled to disclose individually identifiable health information relating to biomedical or behavioral research information that an investigator considers sensitive.

Response: Our decision to eliminate the definition of research information unrelated to treatment and its related provisions in the final rule renders this comment moot. We would note that nothing in the final rule overrides Certificates of Confidentiality, which protect against the compelled disclosure of identifying information about subjects of biomedical, behavioral, clinical, and other research as provided by the Public Health Service Act section 301(d), 42 U.S.C. 241(d).

Privacy protections for research information too stringent

Comment: Many of the commenters who opposed the proposed definition of research information unrelated to treatment and its related provisions believed that the proposed rule would have required authorization before research information unrelated to treatment could have been used or disclosed for any of the public policy purposes outlined in proposed § 164.510, and that this restriction would have significantly hindered many important activities. Many of these commenters specifically opposed this provision, arguing that the distinction would undermine and impede research by requiring patient authorization before research information unrelated to treatment could be used or disclosed for research.

Furthermore, some commenters recommended that the disclosure of research information should be governed by an informed consent agreement already in place as part of a clinical protocol, or its disclosure should be considered by an institutional review board or privacy board.

Response: Our decision to eliminate the definition of research information unrelated to treatment and its related provisions in the final rule renders the first two comments moot.

We disagree with the comment that suggests that existing provisions under the Common Rule are sufficient to protect the privacy interests of individuals who are subjects in research that involves the delivery of treatment. As discussed in the NPRM, not all research is subject to the Common Rule. In addition, we are not convinced that existing procedures adequately inform individuals about how their information will be used as part of the informed consent process. In the final rule, we provide for additional disclosure to subjects of research that involves the delivery of treatment as part of the research authorization under § 164.508(f). We also clarify that the research authorization could be combined with the consent to participate in research, such as the informed consent document as stipulated under the Common Rule or the Food and Drug Administration's human subjects regulations. The Common Rule (§__.116(a)(5)) requires that "informed consent" include "a statement describing the extent, if any, to which confidentiality of records identifying the subject will be maintained." We believe that the research authorization requirements of § 164.508(f) complement the Common Rule's requirement for informed consent.

The Secretary's Authority

Comment: Several commenters, many from the research community, asserted that the coverage of "research information unrelated to treatment" was beyond the Department's legal authority since HIPAA did not give the Secretary authority to regulate researchers. These commenters argued that the research records held by researchers who are performing clinical trials and who keep separate research records should not be subject to the final rule. These commenters strongly disagreed that a health provider-researcher cannot carry out two distinct functions while performing research and providing clinical care to research subjects and, thus, asserted that research information unrelated to treatment that is kept separate from the medical record, would not be covered by the privacy rule.

Response: We do not agree the Secretary lacks the authority to adopt standards relating to research information, including research information unrelated to treatment. HIPAA provides authority for the Secretary to set standards for the use and disclosure of individually identifiable health information created or received by covered entities. For the reasons commenters identified for why it was not practical or feasible to divide research information into two categories-research information related to treatment and research information unrelated to treatment-we also determined that for a single research study that includes the treatment of research subjects, it is not practical or feasible to divide a researcher into two categories-a researcher who provides treatment and a researcher who does not provide treatment to research subjects. When a researcher is interacting with research subjects for a research study that involves the delivery of health care to subjects, it is not always clear to either the researcher or the research subject whether a particular research activity will generate research information that will be pertinent to the health care of the research subject. Therefore, we clarify that a researcher may also be a health care provider if that researcher provides health care, e.g., provides treatment to subjects in a research study, and otherwise meets the definition of a health care provider, regardless of whether there is a component of the research study that is unrelated to the health care of the research subjects. This researcher/health care provider is then a covered entity with regard to her provider activities if she conducts standard transactions.