Partners in Practice: Archivists and Researchers ...
Partners in Practice: Archivists and Researchers Collaboratively Improving Access to Health Collections Processing Collections with Protected Information: A Comparison of HIPAA and NonHIPAA Covered Entities Emily R. Novak Gustainis, Head, Collections Services Center for the History of Medicine, Countway Library, Harvard Medical School [email protected] Society of American Archivists Annual Meeting 2014 Washington, D.C. 14 August 2014
What governs access protection? The Center: A Non-HIPAA Covered Entity Hopkins: HIPAA-covered Entity Health information is access-protected per institutional policy and is dependent on the risk tolerance of the institution. Records are restricted 80 years from the date of record creation.
Health information about individuals containing specific identifiers is access protected; applies to any institution that is deemed a HIPAAcovered entity or Business Associate. Records open after 50 years from the date of death of the individual. Must adhere to state medical records laws depending on the provenance of records or whether records are on deposit Must adhere to state medical records laws; the more restrictive law applies
Other restrictions may apply: Institutional mandate (50 or 80 years) FERPA (for academic institutions) Donor/Depositor (Variable) United States government records found in manuscript collections (Variable) Local policy (50 or 80 years) Personally identifying information that could enable identity theft or fraud Like records restrictions Other restrictions may apply:
Institutional mandate FERPA (for academic institutions) Donor/Depositor United States government records found in manuscript collections Local policy So how does this affect processing practice? FRANCIS A. COUNTWAY LIBRARY OF MEDICINE Center for the History of Medicine Request for Access to Records
Containing Protected Information The Countway Library of Medicine is the repository for certain records of physicians and patients containing individually identifiable health information and other evaluative information, including personnel and medical files or other materials and data re lating to specifically named individuals, the disclosure of which may constitute an unwarranted invasion of personal privacy. Permission to access the personal or evaluative information of living individuals for research purposes is permitted only through approval fromthe Privacy Board of Harvard Medical School. Collection/ Series title: Collection/ Series number: HOLLIS number: Creator:
Records contain: ____ Personal or evaluative information _____ Information on decedents ________________________________________________________________________ Name [Please print] ________________________________________________________________________ Aff iliation ________________________________________________________________________ Address
1. State the purpose of your research and explain your need to use records containing personal or evaluative information. 2. Provide a brief description of the personal or evaluative information and dates of records required for your research. 3. Explain how your research could not be conducted without access to and use of personal or evaluative information. 4. Explain your research methodology and the safeguards which will be employed to protect sensitive information and the privacy of individuals. 5.
Describe the benefits of your research and intended final product. I am seeking access to the restricted records identified in this application for the legitimate research purpose described in the attached statement. I accept responsibility for maintaining the confidentiality of these records. I agree to hold harmless and indemnify the Francis A. Countway Library of Medicine and the Harvard Medical School and its off icers against any loss of damage arising out of the use of such records. _____________________________________________________________________________ Signature of Applicant ___________________ 2014 Date
Records may be used under the following conditions: _____ No restrictions on access and use _____ No reproduction or distribution permitted _____ Other: ________________________________________________________________________ __________________________________ Phone ________________________________ E-mail Please attach a statement addressing the following aspects of your projected use of the records
containing protected information. __________________________________________________________ Jack Eckert, Countway Library of Medicine ___________________ Date ______________________________________________________________________________ Representative of the Privacy Board of Harvard Medical School ___________________ Date Variables
What are the most useful formats for archivists to identify? 1. Patient histories (91.67%) 2. Case files 3. Correspondence 4. Patient questionnaires 5. Patient summaries 6. Consultation files 7. Family medical histories 8. Admission/registration record
9. Diagnostic indices 10.Photographs/medical imaging 11.Informed consent records (43.75%) 12. Autopsy records (40.43%) 13.Lab notebooks 14.Prescription books/logs 15.Research protocols 16.Hospital policies 17. Graphs and charts
18. Surgical logbooks 19. Microscope slides/specimens 20. Billing information 21. Genetic testing records 22. Immunization records 23. Insurance records (12.5%) Example 1: Lindemann finding aid Example 2: Harken papers
Example 3: Polk finding aid Thank you! Center for the History of Medicine, Countway Library [email protected] Alan Mason Chesney Medical Archives of the Johns Hopkins Medical Institutions [email protected]
Kelly Lange. Insurance Lead. Investments should be aligned across payers. Voting. Leah Fullem/Tyler Gauthier . ACO Lead. Vermont's health care reform goals rely heavily on ACOs. Voting. Michael Costa. Chair. Agency designated program sponsor for HIE/HIT. Voting.
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