Standards for Privacy of Individually Identifiable Health Information. Final Privacy Rule Preamble.. Section 164.510(b) - Uses and Disclosures for Involvement in the Individual's Care and Notification Purposes

12/28/2000

In cases involving an individual with the capacity to make health care decisions, the NPRM would have allowed covered entities to disclose protected health information about the individual to a next-of-kin, to other family members, or to close personal friends of the individual if the individual had agreed orally to such disclosure. If such agreement could not practicably or reasonably be obtained (e.g., when the individual was incapacitated), the NPRM would have allowed disclosure of protected health information that was directly relevant to the person's involvement in the individual's health care, consistent with good health professional practices and ethics. The NPRM defined next-of-kin as defined under state law.

Under the final rule, we specify that covered entities may disclose to a person involved in the current health care of the individual (such as a family member, other relative, close personal friend, or any other person identified by the individual) protected health information directly related to the person's involvement in the current health care of an individual or payment related to the individual's health care. Such persons involved in care and other contact persons might include, for example: blood relatives; spouses; roommates; boyfriends and girlfriends; domestic partners; neighbors; and colleagues. Inclusion of this list is intended to be illustrative only, and it is not intended to change current practices with respect to: (1) involvement of other persons in individuals' treatment decisions; (2) informal information-sharing among individuals involved in a person's care; or (3) sharing of protected health information to contact persons during a disaster. The final rule also includes new language stating that covered entities may use or disclose protected health information to notify or assist in notification of family members, personal representatives, or other persons responsible for an individual's care with respect to an individual's location, condition, or death. These provisions allow, for example, covered entities to notify a patient's adult child that his father has suffered a stroke and to tell the person that the father is in the hospital's intensive care unit.

The final rule includes separate provisions for situations in which the individual is present and for when the individual is not present at the time of disclosure. When the individual is present and has the capacity to make his or her own decisions, a covered entity may disclose protected health information only if the covered entity: (1) obtains the individual's agreement to disclose to the third parties involved in their care; (2) provides the individual with an opportunity to object to such disclosure and the individual does not express an objection; or (3) reasonably infers from the circumstances, based on the exercise of professional judgment, that the individual does not object to the disclosure. Situations in which covered providers may infer an individual's agreement to disclose protected health information pursuant to option (3) include, for example, when a patient brings a spouse into the doctor's office when treatment is being discussed, and when a colleague or friend has brought the individual to the emergency room for treatment.

We proposed that when a covered entity could not practicably obtain oral agreement to disclose protected health information to next-of-kin, relatives, or those with a close personal relationship to the individual, the covered entity could make such disclosures consistent with good health professional practice and ethics. In such instances, we proposed that covered entities could disclose only the minimum information necessary for the friend or relative to provide the assistance he or she was providing. For example, health care providers could not disclose to a friend or relative simply driving a patient home from the hospital extensive information about the patient's surgery or past medical history when the friend or relative had no need for this information.

The final rule takes a similar approach. Under the final rule, when an individual is not present (for example, when a friend of a patient seeks to pick up the patient's prescription at a pharmacy) or when the opportunity to agree or object to the use or disclosure cannot practicably be provided due to the individual's incapacity or an emergency circumstance, covered entities may, in the exercise of professional judgment, determine whether the disclosure is in the individual's best interests and if so, disclose only the protected health information that is directly relevant to the person's involvement with the individual's health care. For example, this provision allows covered entities to inform relatives or others involved in a patient's care, such as the person who accompanied the individual to the emergency room, that a patient has suffered a heart attack and to provide updates on the patient's progress and prognosis when the patient is incapacitated and unable to make decisions about such disclosures. In addition, this section allows covered entities to disclose functional information to individuals assisting in a patient's care; for example, it allows hospital staff to give information about a person's mobility limitations to a friend driving the patient home from the hospital. It also allows covered entities to use professional judgment and experience with common practice to make reasonable inferences of the individual's best interest in allowing a person to act on an individual's behalf to pick up filled prescriptions, medical supplies, X-rays, or other similar forms of protected health information. Thus, under this provision, pharmacists may release a prescription to a patient's friend who is picking up the prescription for him or her. Section 164.510(b) is not intended to disrupt most covered entities' current practices or state law with respect to these types of disclosures.

This provision is intended to allow disclosures directly related to a patient's current condition and should not be construed to allow, for example, disclosure of extensive information about the patient's medical history that is not relevant to the patient's current condition and that could prove embarrassing to the patient. In addition, if a covered entity suspects that an incapacitated patient is a victim of domestic violence and that a person seeking information about the patient may have abused the patient, covered entities should not disclose information to the suspected abuser if there is reason to believe that such a disclosure could cause the patient serious harm. In all of these situations regarding possible disclosures of protected health information about an patient who is not present or is unable to agree to such disclosures due to incapacity or other emergency circumstance, disclosures should be in accordance with the exercise of professional judgment as to the patient's best interest.

This section is not intended to provide a loophole for avoiding the rule's other requirements, and it is not intended to allow disclosures to a broad range of individuals, such as journalists who may be curious about a celebrity's health status. Rather, it should be construed narrowly, to allow disclosures to those with the closest relationships with the patient, such as family members, in circumstances when a patient is unable to agree to disclosure of his or her protected health information. Furthermore, when a covered entity cannot practicably obtain an individual's agreement before disclosing protected health information to a relative or to a person involved in the individual's care and is making decisions about such disclosures consistent with the exercise of professional judgment regarding the individual's best interest, covered entities must take into account whether such a disclosure is likely to put the individual at risk of serious harm.

Like the NPRM, the final rule does not require covered entities to verify the identity of relatives or other individuals involved in the individual's care. Rather, the individual's act of involving the other persons in his or her care suffices as verification of their identity. For example, the fact that a person brings a family member into the doctor's office when treatment information will be discussed constitutes verification of the involved person's identity for purposes of this rule. Likewise, the fact that a friend arrives at a pharmacy and asks to pick up a specific prescription for an individual effectively verifies that the friend is involved in the individual's care, and the rule allows the pharmacist to give the filled prescription to the friend.

We also clarify that the final rule does not allow covered entities to assume that an individual's agreement at one point in time to disclose protected health information to a relative or to another person assisting in the individual's care implies agreement to disclose protected health information indefinitely in the future. We encourage the exercise of professional judgment in determining the scope of the person's involvement in the individual's care and the time period for which the individual is agreeing to the other person's involvement. For example, if a friend simply picks up a patient from the hospital but has played no other role in the individual's care, hospital staff should not call the friend to disclose lab test results a month after the initial encounter with the friend. However, if a patient routinely brings a spouse into the doctor's office when treatment is discussed, a physician can infer that the spouse is playing a long-term role in the patient's care, and the rule allows disclosure of protected health information to the spouse consistent with his or her role in the patient's care, for example, discussion of treatment options.

The NPRM did not specifically address situations in which disaster relief organizations may seek to obtain protected health information from covered entities to help coordinate the individual's care, or to notify family or friends of an individual's location or general condition in a disaster situation. In the final rule, we account for disaster situations in this paragraph. Specifically, we allow covered entities to use or disclose protected health information without individual agreement to federal, state, or local government agencies engaged in disaster relief activities, as well as to private disaster relief or disaster assistance organizations (such as the Red Cross) authorized by law or by their charters to assist in disaster relief efforts, to allow these organizations to carry out their responsibilities in a specific disaster situation. Covered entities may make these disclosures to disaster relief organizations, for example, so that these organizations can help family members, friends, or others involved in the individual's care to locate individuals affected by a disaster and to inform them of the individual's general health condition. This provision also allows disclosure of information to disaster relief or disaster assistance organizations so that these organizations can help individuals obtain needed medical care for injuries or other health conditions caused by a disaster.

We encourage disaster relief organizations to protect the privacy of individual health information to the extent practicable in a disaster situation. However, we recognize that the nature of disaster situations often makes it impossible or impracticable for disaster relief organizations and covered entities to seek individual agreement or authorization before disclosing protected health information necessary for providing disaster relief. Thus, we note that we do not intend to impede disaster relief organizations in their critical mission to save lives and reunite loved ones and friends in disaster situations.