Standards for Privacy of Individually Identifiable Health Information. Final Privacy Rule Preamble.. Section 164.514(g) - Verification


Comment: A few commenters suggested that verification guidelines may need to be different as they apply to emergency clinical situations as opposed to routine data collection where delays do not threaten health.

Response: We agree, and make special provisions in §§ 164.510 and 164.512 for disclosures of protected health information by a covered entity without authorization where the individual is unable to agree or object to disclosure due to incapacity or other emergency circumstance.

For example, a health care provider may need to make disclosures to family members, close personal friends, and others involved in the individual's care in emergency situations. Similarly, a health care provider may need to respond to a request from a hospital seeking protected health information in a circumstance described as an emergency. In each case, we require only that the covered entity exercise professional judgment, in the best interest of the patient, in deciding whether to make a disclosure. Based on the comments and our fact finding, this reflects current practice.

Comment: A few commenters stated the rules should include provisions for electronic verification of identity (such as Public Key Infrastructure (PKI)) as established in the regulations on Security and Electronic Signatures. One commenter suggested that some kind of PKI credentialing certificate should be required.

Response: This regulation does not address specific technical protocols utilized to meet the verification requirements. If the requirements of the rule are otherwise met, the mechanism for meeting them can be determined by the covered entity.

Comment: A few commenters wanted more clarification on the verification procedures. One commenter wanted to know if contract number is enough for verification. A few commenters wanted to know if a callback or authorization on a letterhead is acceptable. A few commenters wanted to know if plans are considered to "routinely do business" with all of their members.

Response: In the final rule, we modify the proposed provision and require covered entities to have policies and procedures reasonably designed to verify the identify and authority of persons requesting protected health information. Whether knowledge of a contract number is reasonable evidence of authority and identity will depend on the circumstances. Call-backs and letterhead are typically used today for verification, and are acceptable under this rule if reasonable under the circumstances. For communications with health plan members, the covered entity will already have information about each individual, collected during enrollment, that can be used to establish identity, especially for verbal or electronic inquiries. For example, today many health plans ask for the social security or policy number of individuals seeking information or assistance by telephone. How this verification is done is left up to the covered entity.

Comment: One commenter expressed the need for consistency on verification requirements between this rule and the Security regulation.

Response: We will make every effort to ensure consistency prior to publishing the final Security Rule.

Comment: One commenter stated that the verification language in proposed § 164.518(c)(2)(ii)(B)(1) would have created a presumption that "a request for disclosure made by official legal process issued by a[n] administrative body" is reasonable legal authority to disclose the protected health information. The commenter was concerned that this provision could be interpreted to permit a state agency to demand the disclosure of protected health information merely on the basis of a letter signed by an agency representative. The commenter believed that the rule specifically should defer to state or federal law on the disclosure of protected health information pursuant to legal process.

Response: The verification provisions in this rule are minimum requirements that covered entities must meet before disclosing protected health information under this regulation. They do not mandate disclosure, nor do they preempt state laws which impose additional restrictions on disclosure. Where state law regarding disclosures is more stringent, the covered entity must adhere to state law.

Comment: A few commenters wanted the verification requirements to apply to disclosures of protected health information for treatment, payment and operations purposes.

Response: We agree. This verification requirement applies to all disclosures of protected health information permitted by this rule, including for treatment, payment and operations, where the identity of the recipient is not known to the covered entity. Routine communications between providers, where existing relationships have been established, do not require special verification procedures.

Comment: A few commenters were concerned that a verbal inquiry for next of kin verification is not consistent with the verification guidelines of this verification subsection and that verbal inquiry would create problems because anyone who purports to be a next of kin could easily obtain information under false pretenses.

Response: In the final rule in § 164.514, we require the covered entity to verify the identity and authority of persons requesting protected health information, where the identity and authority of such person is not known to the covered entity. This applies to next of kin situations. Procedures for disclosures to next of kin, other family members and persons assisting in an individual's care are also discussed in § 164.510(b), which allows the covered entity to exercise professional judgment as to whether the disclosure is in the individual's best interest when the individual is not available to agree to the disclosure or is incapacitated. Requiring written proof of identity in many of these situations, such as when a family member is seeking to locate a relative in an emergency or disaster situation, would create enormous burden without a corresponding enhancement of privacy, and could cause unnecessary delays in these situations. We therefore believe that reliance on professional judgment provides a better framework for balancing the need for privacy with the need to locate and identify individuals.

Comment: A few commenters stated that the verification requirements will provide great uncertainty to providers who receive authorizations from life, disability income and long-term care insurers in the course of underwriting and claims investigation. They are unaware of any breaches of confidentiality associated with these circumstances and believe the rule creates a solution to a non-existent problem. Another commenter stated that it is too burdensome for health care providers to verify requests that are normally received verbally or via fax.

Response: This rule requires covered health care providers to adhere to current best practices for verification. That is, when the requester is not known to the covered provider, the provider makes a reasonable effort to determine that the protected health information is being sent to the entity authorized to receive it. Our fact finding reveals that this is often done by sending the information to a recognizable organizational address or if being transmitted by fax or phone by calling the requester back through the main organization switchboard rather than through a direct phone number. We agree that these procedures seem to work reasonably well in current practice and are sufficient to meet the relevant requirements in the final rule.

Comments: One comment suggested requiring a form of photo identification such as a driver's license or certain personal information such as date of birth to verify the identity of the individual.

Response: These are exactly the types of standard procedures for verifying the identity of individuals that are envisioned by the final rule. Most health care entities already conduct such procedures successfully. However, it is unwise to prescribe specific means of verification for all situations. Instead, we require policies and procedures reasonably designed for purposes of verification.

Comment: One professional association said that the example procedure described in the NPRM for asking questions to verify that an adult acting for a young child had the requisite relationship to the child would be quite complex and difficult in practice. The comment asked for specific guidance as to what questions would constitute an adequate attempt to verify such a relationship.

Response: The final rule requires the covered entity to implement policies and procedures that are reasonably designed to comply with the verification requirement in § 164.514. It would not be possible to create the requested specific guidance which could deal with the infinite variety of situations that providers must face, especially the complex ones such as that described by the commenter. As with many of the requirements of this final rule, health care providers are given latitude and expected to make decisions regarding disclosures, based on their professional judgment and experience with common practice, in the best interest of the individual.

Comment: One commenter asserted that ascertaining whether a requestor has the appropriate legal authority is beyond the scope of the training or expertise of most employees in a physician's office. They believe that health care providers must be able to reasonably rely on the authority of the requestor.

Response: In the final regulation we require covered entities to have policies and procedures reasonably designed to verify the identify and authority of persons requesting health information. Where the requester is a public official and legal authority is at issue, we provide detailed descriptions of the acceptable methods for such verification in the final rule. For others, the covered entity must implement policies and procedures that are reasonably designed to comply with the requirement to verify the identity and authority of a requestor, but only if the requestor is unknown to the covered entity. As described above, we expect these policies and procedures to document currently used best practices and reliance on professional judgment in the best interest of the individual.

Comment: One commenter expressed concern that the verification/identification procedures may eliminate or significantly reduce their ability to utilize medical records copy services. As written, they believe the NPRM provides the latitude to set up copy service arrangements, but any change that would add restrictions would adversely affect their ability to process an individual's disability claim.

Response: The covered entity can establish reasonable policies and procedures to address verification in routine disclosures under business associate agreements, with, for example, medical records copy services. Nothing in the verification provisions would preclude those activities, nor have we significantly modified the NPRM provision on this issue.