HIPPA Training
Transcription
HIPPA Training
"No, it's not a female Hippopotamus, anyone else know?" "You have 300 e-mails on HIPAA compliance questions. And you could use a haircut." "I haven't heard of HIPAA, but I can hip hop." Training is Required! All employees and members of your work force who have access to protected health information need HIPAA training! This PowerPoint presentation – and the many other features and information available on this web site – will assist you in satisfying the training requirement! The format… We’ll try to present the information in an easy to understand (and sometimes humorous) manner! So…. Let’s Get Started! By Now, You All Know what HIPAA is…right? Healthcare In Pain And Agony (again) The Big Picture HIPAA implementation of the standards does not have to be any type of major burden on the average HME/Re-hab provider, especially not an economic burden. You’ll be OK! The Privacy compliance date is now effective (April 14, 2003). Many providers are not yet compliant. You’ll be OK. There is, effectively, no enforcement (*). But, some of you may need to get moving NOW. (*) At this time, any OCR actions have been “patient complaint driver”, i.e., there is no formal HIPAA auditing procedure. There have been a relatively small amount of patient-initiated complaints (about 700 nationwide as of 7/17/03), most regarding a) patient denied access to his or her medical records, b) no notice of privacy practices provided to patients, and c) inadequate privacy safeguards in place in treatment settings Although health care organizations had more than 24 months to implement HIPAA… Much confusion and misunderstanding persists… Without doubt, there may be some real barriers and glitches in the law… But, at this stage it is important to clear up the glaring misconceptions!! To get us “warmed up” let’s look at a few common examples regarding “Myths” and the facts about what the law actually says. (We’ll have more examples later.) Myth One provider cannot send medical records of a patient to another provider without that patient's consent. Fact: No consent is necessary for one provider to transfer a patient's medical records to another provider's office for treatment purposes. The Privacy Regulation specifically states that a provider “is permitted to use or disclose protected health information” for “treatment, payment, or health care operations,” without patient consent. Myth A provider is prohibited from sharing information with the patient's family without the patient's express consent. Fact: FACT: Under the Privacy Rule, a provider may “disclose to a family member, other relative, or a close personal friend of the individual, or any other person identified by the individual,” the medical information directly relevant to such person's involvement with the patient's care or payment related to the patient's care. If the patient is present, the provider may disclose medical information to such people if the patient does not object. Myth A patient's family member can no longer pick up supplies from an HME provider or prescriptions from a pharmacy for the patient. Fact: Under the Regulation, a family member or other individual may act on the patient's behalf “to pick up filled prescriptions, medical supplies, X-rays, or other similar forms of protected health information.” The Regulation permits the provider to reasonably infer that doing so is in the patient's best interest and in accordance with professional judgment and common practice. Myth Patients will sue health care providers for not complying with the HIPAA Privacy Regulation. Fact: Even if a person is the victim of an egregious violation of the HIPAA Privacy Regulation, the law does not give people the right to sue. An individual's only federal recourse is to file a written complaint with the Office of Civil Rights, and it is then within the Secretary's discretion to investigate the complaint. (continued) And, According to the final rule, HHS “intends to seek and promote voluntary compliance” and “will seek to resolve matters by informal means.” Therefore enforcement “will be primarily complaint driven,” and civil penalties will only be imposed if the violation was willful, with the standard being even higher for imposing criminal penalties, so there is not a likelihood of strict enforcement or severe penalties. Myth Patients' medical records can no longer be used for marketing. Fact: Use or disclosure of medical information continues to be permitted for health related marketing. The 2000 version of the Privacy Rule required that patients be notified if the health care provider was paid to communicate about a health related product, be given the opportunity to opt out of future communications, and be informed of the identity of the source of the communication. The Bush Administration eliminated all of these requirements from the Regulation. Marketing, continued Currently, the only disclosure of medical information for marketing that requires prior authorization by the patient under the Privacy Rule is that in which the provider paid to recommend a product or service that is not related to health. The Privacy Regulation prohibits “marketing,” however marketing is narrowly defined so that any communication about health related products or treatment is permitted even if the health care provider is paid to encourage the patient to use the product or service. ??? The HIPAA Privacy Rule remains as a source of great confusion among providers and others within the health care community. We’ll review some of the more confusing issues in a minute! For governmental information on HIPAA…… e-mail your questions to askhipaa@cms.hhs.gov Call the CMS HIPAA HOTLINE 1-866627-7748 Log onto the CMS HIPAA web site: http://www.cms.hhs.gov/hipaa For Privacy inquiries only: Log check out: http://www.hhs.gov/ocr/hipaa Call : 1-866-627-7748 Let’s go back a little: What Do I Really Have To Do Now? At a minimum (if you haven’t done so yet!): 1. Appoint a Privacy Officer (a person responsible for seeing that the privacy and procedures are developed, adopted and followed) 2. Post a Notice of Privacy Practices and provide a copy to the patients about their privacy rights and how their information can be used and how it will be protected. And… 3. Create, adopt and implement your policies and procedures for your facility. 4. Train employees so they understand the new privacy procedures (Use the VGM PPT presentation!) 5. Secure patient records that contain protected health information so that they are not readily available to those who don't need them but are to those that do. And, remember the Transaction and Code Set Compliance date is coming up! You should now have begun testing your updated software internally (or make sure your clearinghouse or third party biller is doing so) to ensure your systems will be able to transmit standardized transactions correctly starting October 16,2003. October 13, 2003 “All covered entities must be ready to transmit and receive the covered transactions they conduct electronically in the new standardized HIPAA format. The law also requires all Medicare claims be submitted electronically in the HIPAA standard format starting October 16, 2003 (with the exception of those from small providers and under certain limited circumstances.)” Test, test and test. Test your systems early and often. Call you payers and determine when they will be ready to test with you (or your billing service or clearinghouse.) Continually monitor their progress until you are satisfied that you are compliant with the standards. Changes to your software may also affect your internal office procedures. Test your office systems and be certain to train your staff on any changes. Quick Review of the Basics! HIPAA Applies to Covered Entities (you all knew that, right??) Health Plans Health care Clearinghouses Health care Providers “TPO” “TPO” = Treatment, payment and certain health care operations The definition covers more than you might expect! Treatment “The provision, coordination, or management of health care and related services by one or more health care providers, including the coordination or management of health care by a health care provider with a third party; consultation between health care providers relating to a patient; or the referral of a patient for health care from one health care provider to another." Payment For health plans, to obtain premiums or to provide reimbursement to providers of health care services For health care providers, to obtain reimbursement for such services. Includes billing, claims management, collection activities, review of health care services with respect to medical necessity, coverage under a health plan, appropriateness of care, or justification of charges; and also… utilization review activities, including precertification and reauthorization of services, concurrent and retrospective review of services; and disclosure to consumer reporting agencies of any of the following protected health information relating to collection of premiums or reimbursement: name and address, date of birth, social security number, payment history, account number(s), and name(s) and address(s) of health care provider(s) and/or health plan(s). Health care operations HIPAA bundles a large number of functions into the term "health care operations." This expansive list is important for many reasons, most notably because HIPAA requires no permission from patients for uses Health care operations include: contacting of health care providers or patients with information about treatment alternatives case management and care coordination conducting quality assessment and improvement activities, including outcomes evaluation and development of clinical guidelines or protocols (but NOT general research) activities relating to improving public health or reducing health care costs and… reviewing the competence or qualifications of health care professionals evaluating practitioner and provider performance evaluating health plan performance conducting training programs for students, trainees, or practitioners (health or nonhealth) accreditation, certification, licensing, or credentialing activities and… conducting or arranging for medical review, legal services, auditing functions or other compliance programs business planning and development, costmanagement and planning-related analyses development or improvement of methods of payment or coverage policies business management and general administrative activities of the entity business activities relating to compliance with HIPAA Wow! That Includes a Lot! It sure does! So, you see that in most cases in dealing with your patients you do NOT need to worry about obtaining any consent. But…… Information uses and disclosures not falling within the TPO trio, and not otherwise exempted by other parts of the privacy regulations, require a supplemental authorization. Authorization For some "extra" activities, the patient must provide an authorization. There are four areas where authorizations are likely to come into use. The Four Areas The first is for psychotherapy notes, but these are probably not applicable to most HME/Re-hab providers! The second important area is research. HIPAA defines research as any "systematic investigation, including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge." Authorizations, cont’d The third major area for authorizations is a marketing activity that fails to meet certain criteria for exception. Under HIPAA regulations, marketing is defined as "making a communication about a product or service that encourages the recipients of the communication to purchase or use the product or service." Authorizations, cont’d The fourth area is in general requests for, and release of, protected health information, such as information required as part of an insurance coverage application. For HME/Re-hab providers, this area is the most likely in which you will need to obtain the authorization. Some Better News About Authorizations The final Privacy Rule eliminates the requirements to have separate and different authorization forms. A single authorization form is to be used for all authorization purposes. Other Important Features of the Final Privacy Rule Notice of Privacy Practices Must be presented at “time of first service” (usually for treatment) This does NOT mean providers have to mail the NPP to their entire patient data base (more discussion will follow…) Model Forms are readily available for specific HME, Home Care & Hospice applications! Tips on the NPP Use dual “layered” Notices (post a shorter version that briefly summarizes the individual's rights, as well as other information) “Revised” Notices must be redistributed to patients (Web site posting is OK!) Direct treatment providers must still hand out the full notice-with or without a summary-and obtain an acknowledgement of receipt in writing or make a good faith effort to obtain one. What about this NPP acknowledgement? HIPAA does NOT specify a format nor content to the Acknowledgement of the NPP, except that the document is "a written acknowledgement of receipt" or "documentation of good faith efforts to obtain such written acknowledgment". More NPP & Acknowledgment If the good faith effort fails to obtain an acknowledgment (e.g., the patient refuses to sign), the reason(s) why should also be documented in writing. A health care provider whose first treatment encounter with a patient is over the phone satisfies the requirements by mailing the notice to the individual no later than the day of that service delivery. More NPP & Acknowledgment Providers may include a tear-off sheet or other document with the notice that requests the acknowledgment be mailed back to the provider. In some cases, “electronic” (e.g. email) delivery is OK. Questions about the NPP? Pharmacy & NPP ? We just added DME to our pharmacy. Is our pharmacist permitted to have customers acknowledge receipt of the notice by signing or initialing the log book that they already sign when they pick up prescriptions?? Yes, provided that the individual is clearly informed on the log book of what they are acknowledging and the acknowledgment is not also used as a waiver or permission for something else that also appears on the log book (such as a waiver to consult with the pharmacist). The HIPAA Privacy Rule provides covered health care providers with discretion to design an acknowledgment process that works best for their businesses. Consent (Remember….now optional) • Providers may obtain patient consent prior to use or disclose PHI for treatment, payment or healthcare operations Individual (Patient) Rights, Training and Use & Disclosure Many providers don’t realize there is much more to the Privacy Rule than the NPP and Business Associate regs. You should be aware of (at least) these issues. Let’s review some of them! Individual (Patient) Rights Right to request restrictions on certain uses and disclosures Right to receive confidential communications of PHI Right to review and copy PHI Individual (Patient) Rights Right to amend and correct PHI Right to receive an accounting of how PHI has been used or disclosed Right to receive written notice of how PHI will be used and disclosed Training The regs require that you “provide training to members of the work force” This does NOT necessarily mean you have to expend many $$ for the many “tools” now on the market. Training Rather, the guidance states, it depends on your size and complexity of your operation. In many cases, the training can be simply having your staff read the appropriate sections of your compliance materials, and sign that they understand your policies and procedures (!) A Few Training Details On-going training is required New staff, volunteers and temporary hires are required to have HIPAA training Business Associates are an option For larger organizations, make training a part of orientation and reorientation Common Use & Disclosure Questions/Topics Use & Disclosure regulations are quite long (and some think very boring!) So, we’ll use some common Q&As and a few reallife situations to keep you a little more interested…Deal? Use & Disclosure Patient Medical Record: We have a patient's medical record that contains older portions of a medical record that were created by another/previous provider (such as a physician). Will the HIPAA Privacy Rule permit us to disclose a complete medical record even though portions of the record were created by other providers? Answer… Yes, the Privacy Rule permits a provider who to disclose a complete medical record including portions that were created by another provider, assuming that the disclosure is for a purpose permitted by the Privacy Rule, such as treatment. Use & Disclosure, cont’d Do patients have the right to access and/or amend their records that created prior to the effective date of the Privacy Rule (4/14/03)? Use & Disclosure YES! Use & Disclosure, cont’d Would an authorization be necessary for a patient to take records, for treatment reasons, to another provider? And/or, can a family member pick-up records for the patient for the same reason? Authorization is not be required under HIPAA but it may be required under your state law. Consider obtaining an authorization from the patient even if your state law does not require it. It is your proof that you allowed access to those records and your proof that you verified the identity of the person making the request for copies of the record. You could document all that information, which is time consuming, or you could have the patient complete an authorization and use that for your documentation. Use & Disclosure, cont’d (Actual VGM Question): “I HAD A PHONE CALL FROM ANOTHER DME SUPPLIER ASKING ABOUT A COMMON PATIENT. HOW DO I HANDLE SUCH A REQUEST AS IT PERTAINS TO HIPAA AND PHI DISCLOSURE? THANK YOU The final Privacy Rule (August 2002 amendments) eased many of the privacy regulations, including TPO Disclosures: “Clarifies disclosures from one provider to other providers for treatment are permitted, and the CE can disclose PHI to another CE to facilitate the recipient’s Payment and aspects of Health Care Operations, i.e., quality assurance, population based health activities, case management, training, accreditation, certification, licensing, or credentialing. Use & Disclosure, cont’d If my patient suggests that I am not complying with the Use and Disclosure regulations, and/or that his privacy rights have been violated, where would he submit a complaint? The Office of Civil Rights. However, CEs have until April 14, 2003, to comply with the HIPAA Privacy Rule. Activities occurring before April 14, 2003, are not subject to OCR enforcement actions. After that date, a person who believes a CE is not complying with a requirement of the Privacy Rule may file with OCR a written complaint, either on paper or electronically. This complaint must be filed within 180 days of when the complainant knew or should have known that the act had occurred. Use & Disclosure, cont’d If patients request copies of their medical records as permitted by the Privacy Rule, are they required to pay for the copies? The Privacy Rule permits you to charge reasonable, cost-based fees. The fee may include only the cost of copying (including supplies and labor) and postage, if the patient requests that the copy be mailed. If the patient has agreed to receive a summary or explanation of his or her PHI, the you may also charge a fee for preparation of the summary or explanation. The fee may not include costs associated with searching for and retrieving the requested information. Use & Disclosure, cont’d Can I FAX patient medical information to another provider’s office (such as the primary care physician)? Yes. Providers can disclose PHI to another health care provider for treatment purposes. This can be done by fax or by other means. You must have in place reasonable and appropriate administrative, technical, and physical safeguards to protect the privacy of PHI that is disclosed using a fax machine. Examples of measures that could be reasonable and appropriate in such a situation include the sender confirming that the fax number to be used is in fact the correct one for the other provider’s office, and placing the fax machine in a secure location to prevent unauthorized access to the information Use & Disclosure, cont’d The section concerning "Amendment of Health Information" gives no examples of what types of information a patient may want to amend in his/her PHI. What is this all about? I can see someone needing to change insurance information or similar items, but surely the actual medical condition or circumstances of the event cannot be changed! The government's intent with the Amendment rule is to make sure the record is complete and accurate. The Amendment rule limits those items to be amended to those in the designated record set, which is determined by the provider, usually the medical and billing record. It is not, however, meant for any correction to be made as medical records are legal documents. It is also not meant to be an administrative burden on the provider. So by checking and making sure records are complete and accurate, a provider can minimize the amount of "amending" needed to be done. The provider is also not responsible for records not originating within his office. The patient should be directed to the source of the record for those amendments. Use & Disclosure, cont’d I read that “incidental” use and disclosure is OK. I presume that means things like if I’m overheard discussing patient treatment with another therapist. What’s the actual definition? Customary communications and practices play an important and essential role in ensuring that patients receive prompt and effective health care. Due to the nature of the communications and the various environments, the potential exists for a patient’s PHI to be disclosed incidentally. HIPAA does not intend to impede these communications and practices and does not require that all risk of incidental use or disclosure be eliminated to satisfy the standards. Incidental uses and disclosures are permitted if they occur as a by-product of another permissible use or disclosure, as long as the CE has applied reasonable safeguards and implemented the minimum necessary standard. Use & Disclosure, cont’d How about collection agencies? Disclosure of PHI to a collection agency used by CEs is acceptable under HIPAA as a Business Associate arrangement. Under HIPAA rules the CE may disclose protected health information as necessary to obtain payment for health care, and does not limit to whom such a disclosure may be made SECURITY (If this doesn’t confuse you, nothing will!) Security Rule: FYI! The Security Rules were recently finalized and published in the Federal Register on February 21. Rules will be effective April 21, 2005. Security and Privacy Rules intertwine. Even with a 2005 compliance date, the time to prepare is now! What? There is “security” in the “Privacy Rule” ? Yes. There is there is a "minisecurity rule" (in section 164.530 for any HIPAA-nerds) that requires providers and their business associates to implement "appropriate administrative, technical and physical safeguards" for PHI in all forms, nonelectronic and electronic…requiring compliance by April 14, 2003 The Final Security Rule The final standards are defined in rather generic terms emphasize being “scalable, flexible, and generally addressable through various approaches or technologies”. So, the final rule is essentially a model for information security, with less specific guidance on how to implement it. What about some model forms like we have for the Privacy Rules??? Good question!. HHS has promised more specifics in the future and to provide model guidance documents. As the compliance date is not until 2005, we have some time. OK, in the meantime, what’s in this final Security Rule??? The new rules, just like the Privacy rules, have "standards" - what must be done; and "implementation specifications" - how to do it. The standards are separated into three groups - Administrative Safeguards, Physical Safeguards and Technical Safeguards. “Implementation Specifications” Most of the standards have “implementation specifications”, that describe the actions that should be taken to ensure compliance with the standards. However, only 13 of these implementation specifications are required; the majority of the specifications are termed "addressable." HHS introduced this concept of "addressable implementation specifications" (AIS) to provide you “additional flexibility with respect to compliance with the security standards.” “Addressable”?? “Addressable specifications” are variable approaches to meeting specific standards, any of which may not be relevant to you. For example, the Rule requires training on security issues for the workforce, but identifies training in passwords only as an "addressable" specification. So, “addressable” gives us a little wiggle room, huh? You might say that. But you still must be reasonable! What is reasonable? The decision about the “reasonable and appropriate” nature of these “addressable specifications” is up to you, the provider! It should be based on your overall technical environment and security framework. This decision may rely on many things, including the measures you already have in place, and the cost of implementing new measures. What’s “Required” “Required implementation” is just what is says - the provider will need to implement this specification to be in compliance. The list includes many workstation use and security procedures. Give me an example of some “required” workstation procedures! OK!: “Implement policies and procedures that specify the proper functions to be performed, the manner in which those functions are to be performed, and the physical attributes of the surroundings of a specific workstation or class of workstation that can access electronic protected health information.” That’s HIPAA-Babble and pretty vague, isn’t it? Yes, I agree. Again, we’ll be seeing plenty of “how to” security compliance manuals and tips. Remember the procedures will be scalable to the size and complexity of your provider organization. In the meantime, just try to understand the concepts! Let’s Be Reasonable: Flexible and Scalable Security Most important: Use common sense and reason securing your data, systems, facility and personnel! Many of the requirements are probably already in place (e.g., locks on the doors, fire and theft alarms for the facility…you get the idea, right?) Summary of the HIPAA Security Rules Establish and document policies and procedures relating to information security Establish physical safeguards of computer systems, equipment and buildings Technical security to protect the confidentiality and integrity of information and control and monitor access Safeguard systems against external threats The Bottom Line: Remember! “Scalability – the Privacy and Security rules are the same no matter what size the entity”…however implementation requirements for small providers are much less than what is expected from large providers Important! You should not panic and think Security is going to cost you a fortune. Think before you buy and let common sense and reason be your other guide! Fact or Fiction? Fact or Fiction? Patient: My respiratory therapist needs to discuss my treatment with other doctors. But the Privacy Rule prohibits doctors and other providers from discussing private health information if there is a possibility that someone will overhear. What if my therapist needs to discuss my condition with a doctor, or with me over the phone from someplace other than a private office? The privacy rule prevents these discussions! Fiction! False! The Privacy Rule is not intended to prohibit providers from talking to each other and to their patients. HHS has developed new regulatory language to clarify this issue. Fact or Fiction? Patient: The privacy rule will create a government database with all of my personal health information (including data from my home health care providers. Fiction! False! The rule does not require a provider or any other CE to send medical information to the government for a government database or similar operation. Fact or Fiction? Patient: My HME also has a pharmacy. But, the privacy rule prevents the pharmacist from filling my prescription before I show up and sign that consent. Now, instead of having the prescription waiting for me, I’ll have to come to the pharmacy, sign a consent, and then wait around while the prescription is filled. Fiction! False! The Privacy Rule allows permit CEs, including HMEs and pharmacists, to use identifiable health information for treatment, payment, or health care operations without prior patient consent. HHS developed new regulatory language to fix this potential problem. Fact or Fiction? HME or Re-hab Provider: The privacy rule requires me to monitor the activities of my business associates. Fiction! False! CEs are not required to monitor or oversee the means by which the business associate carries out safeguards or the extent to which the business associate abides by the requirements of the contract. Fact or Fiction? The Privacy Rule will require me to redesign my office. Fiction! False! The Privacy Rule does not require these types of structural changes be made to facilities. Under the proposed Security Rules, however, covered entities must have in place appropriate administrative, technical, and physical safeguards to protect the privacy of PHI. Fact or Fiction? All Providers: The privacy rule allows HME staff, therapists, practitioners, and others to review a patient’s entire medical record if they think they need it to do their jobs. Fact! True! The Privacy Rule does not prohibit use or disclosure of, or requests for an entire medical record. The CE must document in its policies and procedures that the entire medical record is the amount reasonably necessary for certain identified purposes Fact or Fiction? HME/Re-hab Provider: The privacy rule requires covered entities to purchase expensive computer equipment. Fiction! False! The Privacy Rule requirements do not require any particular technologies or types of technologies. They are flexible and scalable to the CE’s information needs and information systems. Fact or Fiction? Billing Service, Clearinghouse or Payer: How are we supposed to do business under this Rule? It would prohibit providers from faxing information to us, or to each other, or to their patients. Fiction! False! The Rule does not prohibit faxing of individually identifiable health information. Covered entities must have in place appropriate administrative, technical, and physical safeguards to protect the privacy of PHI. Fact or Fiction? The Privacy Rule is delayed by the Administrative Simplification Compliance Act (ASCA) that was passed in December 2001 and allowed for an extension to October of 2003 by submitting a compliance plan. Fiction! False! This law delays compliance with the Transaction and Code Set standards for covered entities that file a compliance plan. This law does not apply to the Privacy Rule. The compliance date for the Privacy Rule is still April 14, 2003. Fact or Fiction? Patient: When my family member comes to pick me up from my Re-hab facility, they will still be able to explain my condition and tell him what to expect when I return home. Right? Fact! True! The Rule permits providers to discuss a patient’s condition with family or friends involved in the person’s care, unless the patient objects. References Mark J. Higley, MBA Vice President - Development The VGM Group