The Privacy Rule gives research subjects the right to an accounting of disclosures of his/her protected health information. A disclosure of PHI means communicating that information to a person or entity outside of Boston University, BMC, BU Dental Clinic, BU Dental Health Plan, BU Dental Pathology Lab, and the BU Human Genetics Lab. Investigators who disclose PHI to colleagues at other institutions for the purpose of research, using either a Waiver of Authorization, Preparatory to Research or Decedent Research forms, must keep a record of disclosures. BMC is responsible for their own accounting of disclosures. (www.internal.bmc.org/hipaa/disclosures.asp.)
When an investigator receives an individual’s request,
the investigator must account for disclosures of that individual’s PHI made on
or after the compliance date,
An individual’s right to receive an accounting of disclosures (unless an exception applies) starts on the compliance date, April 14, 2003 and goes back 6 years from the date of the request, not including periods prior to the compliance date. The investigator must keep records of PHI disclosures for 6 years.
The Privacy Rule allows three methods for accounting for research-related disclosures that are made without the individual’s Authorization or other than a limited data set: 1) a standard approach, 2) a multiple-disclosures approach, and 3) an alternative for disclosures involving 50 or more individuals. Whatever approach is selected, the accounting is made in writing and provided to the requesting individual. Accounting reports to individuals may include results from more than one accounting method.
Standard Accounting
Standard accounting includes, for each disclosure, the following information:
§ The date the disclosure was made
§ The name and address of the person or entity receiving the PHI
§ A brief description of the PHI disclosed
§ A brief statement of the reason for the disclosure
Multiple Disclosures Accounting
Multiple disclosures accounting is permissible if the covered entity has made multiple disclosures of PHI to the same person or entity for a single purpose under Sections 164.502(a)(2)(ii) or 164.512 of the Privacy Rule. For each disclosure, the following must be included
§ The date the initial disclosure was made during the accounting period
§ The name and address of the person or entity receiving the PHI
§ A brief description of the PHI disclosed
§ A brief statement of the reason for the disclosure
§ The frequency or number of the disclosures made during the accounting period
§ The date of the last such disclosure during the accounting period
Alternative Accounting
If a covered entity has made disclosures regarding 50 or more individuals for a particular research project under Section 164.512(i) of the Privacy Rule, the accounting may be limited to the following information:
§ The name of the protocol or research activity
§ A plain-language description of the research protocol or activity, purpose of the research, and criteria for selecting particular records
§ A description of the type of PHI disclosed
§ The date or period of time during which the disclosure(s) occurred, including the date of the last disclosure during the accounting period
§ The name, address, and telephone number of the entity that sponsored the research and of the investigator who received the PHI
§ A statement that the individual’s PHI may or may not have been disclosed for a particular protocol or research activity
If the covered entity uses the alternative accounting method, it must, if requested to by the individual, assist the individual in contacting the research sponsor and the investigator. Such assistance, however, is limited to those situations in which there is a reasonable likelihood that the individual’s PHI was actually disclosed for the research protocol or activity.
(We refer to this as "tracking
disclosures" elsewhere on this Research Privacy web site.) Upon request, a covered entity must provide the individual with an accounting of each disclosure by date, the PHI disclosed, the identity of the recipient of the PHI, and the disclosure. However, where the covered entity has, during the accounting period, made multiple disclosures to the same recipient for the same purpose, the Privacy rule provides for a simplified means of accounting. In such cases, the covered entity need only identify the recipient of such repetitive disclosures, the purpose of the disclosure, and describe the PHI routinely disclosed. The date of each disclosure need not be tracked. Rather, the accounting may include the date of the first and last such disclosure during the accounting period, and a description of the frequency of such disclosures.
A covered entity is not required to account for all disclosures of PHI.
An accounting is not required for disclosures made: