section
stringclasses 4
values | filename
stringlengths 6
32
| text
stringlengths 104
10.3M
| lang
stringclasses 44
values |
|---|---|---|---|
markdown
|
725687
|
# Presentation: 725687
## Workforce Development Information Systems in Florida
**The Florida Education and Training Placement Information Program (FETPIP)...**
**The Workforce Development Information System (WDIS)...**
**The Workforce Development Education Funding process (WDEF)...**
## Slide 2
## Automated Follow-up - FETPIP
**S. 229.8075, Florida Statutes...**
**Designates FETPIP as the state’s primary follow-up resource for all workforce development and related education programs...**
**References S.443, FS regarding Unemployment Compensation**
## Follow-up data collection
- _Purpose:_ To find out what happens to students or program participants after they leave a particular activity...
- _Findings:_ Usually focus on employment- related events after an exit...
- _Method:_ Exit Interviews, Survey-based “tracer study”... electronic data sharing.
## FETPIP-Primary Participants
***FETPIP-******Primary****** Participants***
**68 School Districts**
**Secondary and Postsecondary**
**28 Community Colleges**
**Associate degrees and certificates**
**10 State Public Universities**
**Bachelors, Masters, PHDs**
**Department of Education**
**Vocational Rehabilitation, Blind Services, Dropout Prevention, Apprenticeships**
**24 Regional Workforce Boards**
**150 Private Vocational & Technical Schools**
**Department of Labor and Employment Security**
**WIA, veterans, older workers, workers comp.**
**Department of Corrections**
**All state system releases**
**Department of Children & Families**
**TANF. Food Stamps, Food Stamps Employment, WAGES**
- 360 “Applications”, 3.5 million former students/participants
## FETPIP RECORD LINKAGES
**Quarterly**** **linkages between various participant records, wage records, & welfare records - primarily for WIA, welfare-to-work, ad hocs...
**Annual** linkages between 360 applications, each w/former students/participants and 11 state & federal administrative databases...
## Cooperating Agencies: Follow-up Resources
**Cooperating Agencies: Follow-up Resources**
**National Resources:**
- U.S. Postal Service
- U.S. Dept. of Defense
- U.S. Office of Personnel Mgt.
- WRIS...
- NSLC
**Florida Departments: **
- Education
- Agency for Workforce Innovation
- Workforce Florida, Inc.
- Revenue
- Corrections
- Children & Families
- Management Services
## Data Items Collected
** ****Employment**
- **Florida employment via state UC wage records**
** ****Industry, size-of-firm, occupation, location, earnings**
** ****Federal employment, postal employment, military service**
** ****WRIS for out-of-state employment**
** ****Postsecondary Education**
**Florida public via enrollment record systems, private via tuition vouchers**
** ****Educational level, institution, major or fields of study**
**NSC for out-of-state private and public, possibly in-state private**
** ****Florida Public Assistance**** **
**TANF, Foodstamps**** **
** ****Corrections**
**Incarcerations, Releasees**
## MAJOR USES OF FETPIP DATA
- Workforce Education Performance Funding
- Performance-Based Program Budgeting
- WIA Performance Measurement
- ITA Provider Lists
- Perkins Performance Goal Measurement
- School District Accountability
- University System Program Reviews
- Legislative Performance Reviews
- Workforce Estimating Conference
- Occupational Supply and Demand
- Career Counseling, consumer and Guidance Information
## Benefits: FETPIP
**Common core set of outcome measures across many programs, operations...**
**An accurate count of labor market supply by occupation from vocational programs...**
## Benefits: FETPIP
**Relatively inexpensive while providing more detailed, thorough information with high response levels...**
**Uses existing data..**
**Objective - non judgmental resource**
## Criticisms of the FETPIP approach...
- It’s too slow...
- Quarterly (or annual) is not frequent enough...
- It misses some types of employment...
- It misses some types of postsecondary education...
## Important start-up features: FETPIP
**Legislative Requirement - a guarantee of cooperation ...**
**Understand what the data resources are designed to do, what they are for, owner-concerns...**
**Work with owners to design an approach - if possible, reduce burdens associated with their participation...**
***more...***
## Important start-up features: FETPIP
**Start with a limited scope, create ‘fans’...**
**As you expand, listen to participants, try to accommodate their concerns...**
**Initially, try to avoid high stakes - or provide program folks with an ‘out’...**
**Have short term and long term visions for the effort...**
## Lessons Learned: FETPIP
**Recognize purposes and ownership of data resources...**
**Identify the strengths and weaknesses of data resources...**
**Surpass all requirements, expectations regarding data security...**
**Deliver on-time and honestly...**
**Get empowerment - Statutory authority and $$$ helps...**
***more...***
## Lessons Learned: FETPIP
**When people need stuff, be there...**
**Anticipate roles that the system can play in accountability, performance measurement, cost return analysis, assisting new activities in meeting evaluation needs...**
**Initially, do not try to force common data elements, definitions...**
***more...***
## Lessons Learned: FETPIP
**Work with participating agencies to detect and correct data element anomalies...**
**Correct or eliminate suspect data, including ‘bad’ SSNs...**
## Costs of Operation: FETPIP
**Year 1: ~$60,000; Year 2,3: ~$186,000; Year 4 - 8 ~$350,000; Current ~$600,000...**
**State ~$400,000, Perkins ~$60,000, WIA ~$140,000.**
**Staffing: Director, 3 Senior DBAs, 4 analyst/programmers, research assistant, clerical... **
**Mainframe costs ~$25,000 /year; postage ~$18,000;**
## Workforce Development Information System (WDIS)
**School district reporting for secondary vocational...**
**School district for reporting postsecondary vocational...**
**School district reporting for adult general education including ABE, Co-enrolled, GED, prep programs, ESOL...**
**Rx with community colleges...**
## Automated Student Data Bases
**Individually identifiable student data with SSNs or optional ID ...**
**Demographic, course, and teacher formats...**
**Approximately 75 Data Elements including derived elements...**
**Postsecondary - primarily end-of term reporting (3 Xs year)**
**Secondary - part of the overall k-12 reporting schema - enrollment surveys and an annual wrap-up survey**
**Tables for course information, standards...**
## Automated Student Data Bases
**Reporting via statewide computer network - FIRN...**
**214 edits, including 70 fatal edits...**
**referential integrity...**
**Reporting and technical assistance services...**
**Data review processes for changes...**
## Overview of the Workforce Development Education Reporting Systems
***Overview of the Workforce Development Education Reporting Systems***
## Performance Funding: WDEFF
**Combines adult general education and adult vocational education in school districts and community colleges into workforce development education...**
**Allocates $720 million in state $$$ based on a base amount, performance completions, performance placements, several targeted services, and several ‘adjustments’ for local conditions...**
**Operates performance $$$ on a competitive - ‘at risk’ basis- local entities can gain or loose money based on performance...**** **
**Eliminates categorical funding****...**
## Data That Drives the formula
- 2000-2001 Appropriation
- 1998-99 Completions
- 1997-98 Completions placed in 98-99
**2001-2002 Appropriation**
**1999-2000 Completions**
**1998-1999 Completions placed in 99-00**
- 2002-2003 Appropriation
- 2000-2001 Completions
- 1999-2000 Completions placed in 00-01
## Formula Weights...
- Vocational, Standard Length, OCP to OCP...
- AGE, Educational Difficulty, LCP to LCP...
- AS Degrees, Degrees and College Credit Certificates...
- Targeted Populations, educational Difficulty plus Combinations...
- Targeted Occupations & Placement Levels...
## Why Some LEAs Gain Money...
**Sustain or exceed performance share by-**
**Recruiting and counseling targeted students...**
**Retaining students through completion...**
**Assuring high level placements...**
**Manage data...**
**Emphasize programs that perform, fix or eliminate programs that don’t...**
## Why some LEAS lose...
**Not sustaining or reaching their share of performance...**
**Not reporting thoroughly or accurately...**
**Funding emphasis differences between the original funding methods and the new workforce development education performance method...**
## Example: Computer Systems Analyst
**70% annual growth**
**~2000 permanent annual openings**
**$15.42 Entry Wage**
**$24.25 Average Wage**
**Approximately 30,000 employed statewide**
**354 Completions (98-99 WDIS)**
**156 targeted**
**3,333 Cmpltn Points**
**212 Placements (FETPIP)**
**145 Level III Placements**
**1678 Placement Points**
**5011 Total Performance Pts @ $171.44 per point, generated ****$859,085**** in performance dollars**
**2.91% of the AS performance dollars**
**WEC 2001 - The Number 1 Florida Job**
**Completions - WDIS**
**Placements - FETPIP**
**Funding - WDEFF**
## Additional Information
- For more information please contact
- Jay Pfeiffer, Brian Savon, or Duane Whitfield
- (850) 487-0900
- Fax (850) 488-2405
- [email protected]
- [email protected]
- [email protected]
- Web: www.firn.edu/doe search on FETPIP or WDEFF
|
en
|
all-txt-docs
|
040280
|
___________________________________________________________
DISMISSED FOR LACK OF AN INTERESTED PARTY: June 30, 1993
___________________________________________________________
GSBCA 12411-P
COMTEL INDUSTRIES, INC.,
Protester,
v.
DEPARTMENT OF JUSTICE,
Respondent,
and
EXECUTONE INFORMATION SYSTEMS, INC.,
Intervenor.
Larry G. McCarty, Vice President and General Manager of
ComTel Industries, Inc., Homewood, AL, appearing for Protester.
James Roby and Harry Gastley, Office of General Counsel,
Justice Management Division, Department of Justice, Washington,
DC, counsel for Respondent.
Richard A. Alderson, Director of Federal Marketing of
EXECUTONE Information Systems, Inc., Fairfax, VA, appearing for
Intervenor.
Before Board Judges BORWICK, NEILL, and VERGILIO.
BORWICK, Board Judge.
On May 3, 1993, protester, ComTel Industries, Inc. (ComTel),
protested the placing of two purchase orders with EXECUTONE
Information Systems, Inc. (EXECUTONE), for a telephone system by
respondent, Department of Justice (DOJ), to satisfy the
requirements of the United States Attorney's Office, Miami,
Florida. The first purchase order of $291,963.42 was for a
supply of 584 telephone sets and installation of 344 of those
sets with riser cable. DOJ issued the purchase order through
EXECUTONE's GSA nonmandatory ADP schedule contract. At the same
time, DOJ issued a second purchase order on an "open market"
basis for installation of the remaining 240 phones to be
connected to existing riser cable. That purchase order was
issued for $24,754.60. The maximum order limitation (MOL) for
EXECUTONE's GSA nonmandatory ADP schedule contract was $300,000.
ComTel responded to a synopsis that DOJ had placed in the
Commerce Business Daily (CBD) announcing DOJ's intent to place an
order with EXECUTONE under the schedule contract unless a more
advantageous comparable source responded. In its response,
ComTel offered supplies and services under its own GSA Purchase
of Telephone and Services (POTS) contract.
Upon learning that DOJ had issued two purchase orders to
EXECUTONE--the larger just below the maximum order limitation of
EXECUTONE's GSA nonmandatory ADP schedule contract and the
smaller as an "open market" order--ComTel filed an agency protest
accusing DOJ of illegally splitting requirements to avoid the
maximum order limitation of the schedule contract. ComTel sought
cancellation of the purchase orders and requested that DOJ place
an order for the system under ComTel's POTS contract. After the
denial of the agency protest, ComTel filed a protest at this
Board restating its allegations.
DOJ has filed a motion to dismiss, arguing that ComTel lacks
a direct economic interest in the procurement because its
offering under the POTS contract did not meet all the
requirements for DOJ's telephone system as stated in the CBD
synopsis. As the parties agreed to submit the case on the record
pursuant to Rule 11, we allowed ComTel to reply to DOJ's motion
as part of its record submission. We conclude that ComTel lacks
a direct economic interest in this procurement as its POTS
offering did not meet DOJ's stated requirements. Therefore, we
dismiss the protest.
Findings of Fact
On March 3, 1993, DOJ issued a synopsis in the CBD
announcing its intended purchase of a telephone system from
EXECUTONE's telecommunications schedule contract, to service the
requirements of the United States Attorney's Office in Miami,
Florida. Protest File, Exhibit 3. The synopsis provided in
pertinent part:
The Miami [Florida] U.S. Attorney's Office intends to
purchase a fully digital integrated voice/data hybrid
key telephone system to include all on-premises
equipment . . . from EXECUTONE Information Systems Inc.
under GSA Contract GS00K91AGS0566-PS02. The system
must be equipped with 8 integrated CRT based operator
consoles. The operator consoles must provide a
directory by name and extension along with automatic
transfer capability. The console must also indicate
extension status between available OUT, BUSY, DND, or
FWD to voice mail. . . . The vendor will be
responsible for riser cable between the 7 floors
occupied. The vendor will be responsible for tone,
test and installing station cabling from the station
termination appearances for each station location
through customer provided modular furniture. No other
premises cabling is required. No contract award will
be made on the basis of any response to the notice
since the synopsis of intent to place an order against
a GSA schedule is not considered a request for
offers/proposal. All responsible sources may submit
written responses which identify their interest and
technical capability to respond to the requirements.
Written responses should include . . . [a] full
technical proposal showing ability to meet all
requirements. . . . If there is no affirmative
response to the effect that a comparable source is
available and that it is more advantageous to the
Government than acquiring from GSA schedule 58, an
order will be paced with EXECUTONE Information Systems
Inc. under the terms and conditions of their GSA
contract.
The synopsis described a system initially wired for 218 twenty-
nine key digital display telephones, with wiring accommodating
253 twenty-eight key digital speaker phones, 84 seventeen key
digital telephones, and 21 six key digital wall mounted
telephones. Protest File, Exhibit 3.
EXECUTONE's schedule contract provides for delivery and
installation of telecommunications equipment. The contract
defines installation as including one hundred fifty feet of
standard four pair station cable for each installed station and
station termination for each installed station. Protest File,
Exhibit 17, at C-9. The maximum order limitation is $300,000.
Id. at A-2, at 12.a.
On March 17, 1993, ComTel responded to the CBD synopsis
stating that "ComTel is the GSA POTS contractor for Florida and
all equipment and labor costs will be in accordance with
negotiated GSA POTS Contract . . . ." Protest File, Exhibit 4.
Attached to the letter was a "site/survey quote" for supply and
installation of 255 speaker phones and 255 six button sets for
$291,963.42. Protest File, Exhibit 4. ComTel also complained
that "[w]ith respect to the U.S. Department of Justice's desire
to sole source this equipment with EXECUTONE Information Systems
Inc., it should be noted that the equipment and labor
requirements, as outlined in the [synopsis], would exceed the
$300,000 sole source limit specified in the GSA Schedule 58
guidelines." Id. ComTel's submission did not offer the CRT
consoles on the eight attendant stations specified in the
synopsis; rather, ComTel offered conventional attendant consoles.
Protest File, Exhibit 4.
By telephone call of March 22, 1993, protester's Vice
President informed the COTR that protester could install the
standard attendant console and upgrade to directory based console
at a later date. The COTR never agreed to such a solution.
Affidavit of the Contracting Officer's Technical Representative
dated June 11, 1993 (Press Affidavit), 7. Later that day,
protester's representative informed the COTR that a directory-
based console would be available in April of 1993. ComTel never
submitted pricing for the directory-based console before or after
March 24, the date for responding to the synopsis. Press
Affidavit, 8. In fact, the COTR later learned from the
manufacturer that the directory-based console referenced by
ComTel is in beta test and would only be commercially available
in September of 1993, at the earliest. Press Affidavit, 9.
On March 17, EXECUTONE offered telephone sets in the
quantities specified in the synopsis. The offer included
installation of 344 phones including riser cable to the D-Mark.
The unit price (per phone) for the installation was $172.50.
EXECUTONE included a second "open market" order for installation
of 240 phones for locations "not requiring riser cable." The
unit price for installation without riser cable was $82.00 The
open market order was for $24,754.60. Protest File, Exhibit 4.
The Contracting Officer's Technical Representative (COTR)
determined that ComTel's POTS offering did not meet the synopsis
requirements for the CRT console. The COTR determined that "the
EXECUTONE System should be immediately purchased to insure that
installation of the telephone system does not delay the scheduled
move." Protest File, Exhibit 5. As part of DOJ's record
submission the COTR states in an affidavit that the move was
scheduled for late April of 1993. Press Affidavit, 2. The
COTR notes, as part of the record submission, that ComTel did not
offer the specified number of phone sets. Press Affidavit, 2.
ComTel maintains that the requirement for the CRT console was
waived in a telephone conversation but the COTR denies the
waiver. Press Affidavit, 6. We find as fact that the
requirement was not waived.
On April 5, 1993, ComTel filed an agency protest, stating
its understanding that DOJ intended to place two orders, one for
less than $300,000 against EXECUTONE's schedule contract and an
open market order for less than $25,000. ComTel maintained that
since the total of the two orders was more than $300,000, DOJ had
violated the maximum order limitation of ComTel's schedule
contract. ComTel sought DOJ's cancellation of any purchase
order to EXECUTONE and an order from ComTel's POTS contract.
Protest File, Exhibit 7.
On April 19, DOJ denied the agency protest, stating, with
respect to the open market purchase, that, "Because all necessary
cabling was supplied through the GSA schedule, the remaining 240
installations could be accomplished without charging for cabling
and accordingly was proposed as an open market purchase for under
$25,00." Protest File, Exhibit 12.
On May 3, ComTel filed a protest at this Board, referenced
its agency protest and DOJ's denial, and alleged that DOJ
violated the $300,000 purchase order limit of EXECUTONE's
schedule contract. ComTel maintained that "allowing agencies to
manipulate the guidelines . . . would be very harmful to the
viability of the [POTS] contract program." Protest Letter. On
May 14, ComTel amended its protest to seek recovery of
$249,501.12 for "lost profits," presumably the profits it would
have recovered under its POTS contract. Protest Amendment.
Discussion
Respondent filed a motion to dismiss, arguing that ComTel is
not an interested party because it failed to meet the
requirements of the CBD synopsis, and thus lacks the requisite
"direct economic interest" in the procurement. 40 U.S.C.
759(f)(9)(B) (1988).[foot #] 1 We agree. In its
agency protest and before this Board, ComTel sought cancellation
of the purchase orders to EXECUTONE and subsequent award by DOJ
under the POTS contract. However, the equipment ComTel was
prepared to offer under the POTS contract did not meet DOJ's
requirements as stated in the synopsis. In late March, the
ComTel Vice President did discuss with the COTR the possibility
of offering directory based consoles under its POTS submission,
but never submitted pricing for those consoles. Furthermore, the
availability of the consoles was unclear. ComTel has not
demonstrated it was in a position to satisfy the stated
requirements and thus lacked the requisite direct economic
interest. As ComTel has not demonstrated that it could satisfy
the requirement for the equipment needed by the Government, it is
not prejudiced by alleged splitting of part of the installation
services necessary to install that equipment.
----------- FOOTNOTE BEGINS ---------
[foot #] 1 DOJ also argues that the protest is untimely.
During a prehearing conference on this protest, a ComTel official
stated that upon reviewing the CBD synopsis, using EXECUTONE's
price list, he determined the requirement could not be performed
for $300,000 or less. DOJ argues that the protest should have
been filed no later than ten calendar days after that
determination. DOJ misfocuses the protest, which concerns an
alleged splitting of requirements by DOJ, not the propriety of
the CBD synopsis. DOJ issued the purchase orders to EXECUTONE on
March 30. ComTel filed a timely agency protest on April 9, and
timely filed here on May 3 after DOJ's denial of that protest on
April 19. Rule 5(b)(3)(iii). ComTel did add another ground of
protest in its record submission of June 10--the specification of
riser cable in the CBD synopsis. Protester maintains that
installation of riser cable in not within the scope of
EXECUTONE's schedule contract. This issue is untimely, as it
would have had to have been raised on or about March 23, some ten
calendar days after the publication of the CBD synopsis. Rule
5(b)(ii). This allegation is dismissed.
----------- FOOTNOTE ENDS -----------
The FIRMR prohibits splitting of requirements to avoid a
maximum order limitation of a schedule contract. 41 CFR 201-
39.803-3(d) (1992). When there is no appropriate schedule
contract meeting Government requirements at the lowest overall
cost, the contracting officer may elect to issue a solicitation.
41 CFR 201-39.803-3(b). ComTel might have been an interested
party had it sought a competitive solicitation for the
requirements stated in the CBD synopsis and demonstrated its
willingness to submit a bid or proposal on those requirements.
ComTel did not show that it was willing to provide what the
Government needed.
Decision
This protest is DISMISSED FOR LACK OF AN INTERESTED PARTY.
________________________________
ANTHONY S. BORWICK
Board Judge
We concur:
_________________________
EDWIN B. NEILL
Board Judge
_____________________________
JOSEPH A. VERGILIO
Board Judge
|
en
|
converted_docs
|
137387
|
PUBLIC COMMENT TO NATIONAL MATH PANEL
Sept 6-7, 2007, St. Louis
By
J. Martin Rochester
University of Missouri-St. Louis
Thank you for the opportunity to comment on the work of the National
Math Panel and the issues at stake in this project. I am a professor at
the University of Missouri-St. Louis. I should note that I am a
political scientist, not a mathematician, but nonetheless I am someone
who has spent over 30 years as a professional educator, and also as a
parent, observing one failure after another in K-12 education, as every
so-called "progressive" fad presented as a magic bullet has only added
to our shooting ourselves in the feet. I have written about this in my
book *Class Warfare* as well as in *Education Week*, *Phi Delta Kappan*,
and other publications.
Fuzzy math (or integrated math, or whatever you want to call Everyday
Math, Core-Plus and the other reform math curricula now dominant in
K-12) has been driven by the same constructivist paradigm and same
dumbing-down, populist impulses that gave us the now discredited
"whole-language" pedagogy in English. That is, in place of the old maxim
"no pain, no gain," we now have the new maxim in K-12, "if it ain't fun,
it can't be done." Under the guise of "critical thinking" and
"problem-solving," which are ubiquitous buzzwords in every discipline in
today's schools, fuzzy math is trying to make math more "interesting,"
i.e., enjoyable and entertaining and accessible to the masses, to the
bottom, to the lowest common denominator. The new math deemphasizes and
devalues direct instruction, drill and practice, basic computation
skills, and getting it right -- getting precise, correct answers. Forget
rigor -- the key concern here is to alleviate boredom and drudgery for
mathphobes and those who suffer from math anxiety. Never mind we are
inflicting this stuff on mathphobes and mathphiles alike, doing a
disservice to both. And never mind Isaac Newton's admonition that "there
is no royal road to geometry," meaning no easy path, although some
reformers seem to have found it.
Most of the math professors I have spoken to at my university are
appalled at the lack of basic computation skills students now bring to
campus from K-12. Not surprisingly, parents are having to enroll their
kids increasingly in Kumon math tutoring courses to compensate for the
failure of our schools to provide a solid foundation. In my own school
district of Clayton, one of the richest and best in the state of
Missouri, dozens of parents, including the president of the school board
(a Harvard MBA), have resorted to Kumon math for their kids ever since
fuzzy math was introduced into the district.
As a college professor, I can tell you that our K-16 education system in
America is becoming dysfunctional as we are turning the precollegiate
and collegiate levels upside down. K-12 teachers pretentiously aspire to
teach "critical thinking" in kindergarten, even though little Johnny
cannot even find the potty by himself, while we in higher ed are left to
clean up the mess, having to do more and more remediation -- in English
having to teach grammar and where to put the comma, in history having to
teach basic historical facts such as who Lenin was (that's Vladimir, not
John), and \-- yes -- in math having to teach what 2 plus 2 is.
There is an Emperors Clothes quality to the claims made by the math
reformers. I respectfully urge you to examine these claims more
carefully, since they are cut out of the same cloth as all the other
failed K-12 reforms of the recent past. Thank you.
J. Martin Rochester, Ph.D.
Curators' Distinguished Teaching Professor of Political Science
University of Missouri- St. Louis
|
en
|
converted_docs
|
477122
|
##### U.S. Department of Education September 2003
**2003-2004 *No Child Left Behind---Blue Ribbon Schools Program***
**Cover Sheet**
Name of Principal [Mr. Gregory N. Woodcock]{.underline}
(Specify: Ms., Miss, Mrs., Dr., Mr., Other) (As it should appear in the
official records)
Official School Name [Morgantown Elementary School]{.underline}
(As it should appear in the official records)
School Mailing Address [210 West Cemetery Street PO Box 337]{.underline}
(If address is P.O. Box, also include street address)
[Morgantown KY 42261-0337]{.underline}
City State Zip Code+4 (9 digits total)
Tel. [(270 ) 526-3361]{.underline} Fax [( 270 ) 526-2868]{.underline}
Website/URL [(District)]{.underline}
[www.butler.k12.ky.us](http://www.butler.k12.ky.us/) E-mail
[[email protected]]{.underline}
I have reviewed the information in this application, including the
eligibility requirements on page 2, and certify that to the best of my
knowledge all information is accurate.
Date\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
(Principal's Signature)
Name of Superintendent [Mr. Larry K. Woods]{.underline}
(Specify: Ms., Miss, Mrs., Dr., Mr., Other)
District Name [Butler County School District]{.underline} Tel. [( 270 )
526-5624]{.underline}
I have reviewed the information in this application, including the
eligibility requirements on page 2, and certify that to the best of my
knowledge it is accurate.
Date\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (Superintendent's
Signature
Name of School Board
President/Chairperson \_\_\_\_[Mr. Gary
Southerland]{.underline}\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
(Specify: Ms., Miss, Mrs., Dr., Mr., Other)
I have reviewed the information in this package, including the
eligibility requirements on page 2, and certify that to the best of my
knowledge it is accurate.
Date\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
(School Board President's/Chairperson's Signature)
*\*Private Schools: If the information requested is not applicable,
write N/A in the space.*
**[PART I ‑ ELIGIBILITY CERTIFICATION]{.underline}**
**\[Include this page in the school's application as page 2.\]**
The signatures on the first page of this application certify that each
of the statements below concerning the school\'s eligibility and
compliance with U.S. Department of Education, Office of Civil Rights
(OCR) requirements is true and correct.
1. The school has some configuration that includes grades K-12.
(Schools with one principal, even K-12 schools, must apply as an
entire school.)
2. The school has not been in school improvement status or been
identified by the state as \"persistently dangerous\" within the
last two years. To meet final eligibility, the school must meet the
state's adequate yearly progress requirement in the 2003-2004 school
year.
3. If the school includes grades 7 or higher, it has foreign language
as a part of its core curriculum.
4. The school has been in existence for five full years, that is, from
at least September 1998.
5. The nominated school or district is not refusing the OCR access to
information necessary to investigate a civil rights complaint or to
conduct a district‑wide compliance review.
6. The OCR has not issued a violation letter of findings to the school
district concluding that the nominated school or the district as a
whole has violated one or more of the civil rights statutes. A
violation letter of findings will not be considered outstanding if
the OCR has accepted a corrective action plan from the district to
remedy the violation.
7. The U.S. Department of Justice does not have a pending suit alleging
that the nominated school, or the school district as a whole, has
violated one or more of the civil rights statutes or the
Constitution\'s equal protection clause.
8. There are no findings of violations of the Individuals with
Disabilities Education Act in a U.S. Department of Education
monitoring report that apply to the school or school district in
question; or if there are such findings, the state or district has
corrected, or agreed to correct, the findings.
**[PART II ‑ DEMOGRAPHIC DATA]{.underline}**
**All data are the most recent year available.**
**DISTRICT** (Questions 1‑2 not applicable to private schools)
1\. Number of schools in the district: [4]{.underline} Elementary
schools
[1]{.underline} Middle schools
[0]{.underline} Junior high schools
[1]{.underline} High schools
> [1]{.underline} Other (Briefly explain)
>
> Green River Youth Development Center
[7]{.underline} TOTAL
2\. District Per Pupil Expenditure: [\$ 6769]{.underline}
Average State Per Pupil Expenditure: [\$ 7033]{.underline}
**SCHOOL** (To be completed by all schools)
3\. Category that best describes the area where the school is located:
> \[ \] Urban or large central city
>
> \[ \] Suburban school with characteristics typical of an urban area
>
> \[ \] Suburban
>
> \[ X \] Small city or town in a rural area
>
> \[ \] Rural
4\. [4]{.underline} Number of years the principal has been in her/his
position at this school.
If fewer than three years, how long was the previous principal at this
school?
5\. Number of students enrolled at each grade level or its equivalent in
applying school:
----------- --------- ----------- ---------- --------- -- ----------- --------- ----------- ---------
**Grade** **\# of **\# of **Grade **Grade** **\# of **\# of **Grade
Males** Females** Total** Males** Females** Total**
**K** 45 47 **92** **7**
**1** 46 54 **100** **8**
**2** 38 44 **82** **9**
**3** 50 56 **106** **10**
**4** 42 37 **79** **11**
**5** 37 39 **76** **12**
**6** Other 4 0 4
**TOTAL 539
STUDENTS
IN THE
APPLYING
SCHOOL →**
----------- --------- ----------- ---------- --------- -- ----------- --------- ----------- ---------
6\. Racial/ethnic composition of [99 %]{.underline} White
the students in the school: [.2 %]{.underline} Black or African American
[.3 %]{.underline} Hispanic or Latino
[.3 %]{.underline} Asian/Pacific Islander
[.2 %]{.underline} American Indian/Alaskan Native
**100% Total**
7\. Student turnover, or mobility rate, during the past year:
[\_\_\_16\_\_\_]{.underline}%
> (This rate includes the total number of students who transferred to or
> from different schools between October 1 and the end of the school
> year, divided by the total number of students in the school as of
> October 1, multiplied by 100.)
----------- ---------------------------------- ------------------------
**(1)** Number of students who transferred 46
***to*** the school after October
1 until the end of the year.
**(2)** Number of students who transferred 38
***from*** the school after
October 1 until the end of the
year.
**(3)** Subtotal of all transferred 84
students \[sum of rows (1) and
(2)\]
**(4)** Total number of students in the 536
school as of October 1
**(5)** Subtotal in row (3) divided by .1600
total in row (4)
**(6)** Amount in row (5) multiplied by 16
100
----------- ---------------------------------- ------------------------
8\. Limited English Proficient students in the school:
[\_\_\_\_0]{.underline}\_\_\_%
\_\_\_\_[1\_\_\_]{.underline}Total Number Limited English Proficient
Number of languages represented: \_\_\_[1\_\_\_\_\_]{.underline}
Specify languages: [Spanish]{.underline}
9\. Students eligible for free/reduced-priced meals:
\_\_\_[57\_\_\_]{.underline}%
[\_\_\_308\_\_]{.underline}Total Number Students Who Qualify
> If this method does not produce a reasonably accurate estimate of the
> percentage of students from low‑income families or the school does not
> participate in the federally‑supported lunch program, specify a more
> accurate estimate, tell why the school chose it, and explain how it
> arrived at this estimate.
10\. Students receiving special education services:
\_\_\_[15.8]{.underline}\_%
\_\_\_\_[85\_]{.underline} Total Number of Students Served
> Indicate below the number of students with disabilities according to
> conditions designated in the Individuals with Disabilities Education
> Act.
[\_\_4\_]{.underline} Autism [\_\_1\_\_]{.underline} Orthopedic
Impairment
[\_\_0\_]{.underline} Deafness [\_\_2\_\_]{.underline} Other Health
Impaired
[\_\_0\_]{.underline} Deaf-Blindness [\_\_13\_]{.underline} Specific
Learning Disability
[\_\_1\_]{.underline} Hearing Impairment [\_\_22\_]{.underline} Speech
or Language Impairment
[\_\_10]{.underline} Mental Retardation [\_\_\_0\_]{.underline}
Traumatic Brain Injury
[\_\_3\_]{.underline} Multiple Disabilities [\_\_\_0\_]{.underline}
Visual Impairment Including Blindness
[29]{.underline} Developmentally Delayed
11. Indicate number of full‑time and part‑time staff members in each of
the categories below:
**Number of Staff**
**[Full-time]{.underline}** **[Part-Time]{.underline}**
Administrator(s) [\_\_\_\_3\_\_\_]{.underline}
[\_\_\_\_1\_\_\_\_]{.underline}
Classroom teachers [\_\_\_\_27\_\_]{.underline}
[\_\_\_\_0\_\_\_\_]{.underline}
Special resource teachers/specialists [\_\_\_\_8\_\_\_]{.underline}
[\_\_\_\_5\_\_\_\_]{.underline}
Paraprofessionals [\_\_\_ 13\_\_]{.underline} \_\_\_\_\_\_\_\_
> Support staff [\_\_\_ 11\_\_]{.underline} \_\_\_\_\_\_\_\_
>
> Total number [\_\_\_62\_\_]{.underline}\_
> [\_\_\_\_6\_\_\_]{.underline}
12\. Average school student-"classroom teacher" ratio:
[\_\_\_14:1\_\_\_]{.underline}
13\. Show the attendance patterns of teachers and students as a
percentage. The student dropout rate is defined by the state. The
student drop-off rate is the difference between the number of entering
students and the number of exiting students from the same cohort. (From
the same cohort, subtract the number of exiting students from the number
of entering students; divide that number by the number of entering
students; multiply by 100 to get the percentage drop-off rate.) Briefly
explain in 100 words or fewer any major discrepancy between the dropout
rate and the drop-off rate. (Only middle and high schools need to supply
dropout rates and only high schools need to supply drop-off rates.)
------------------------ ----------- ----------- ----------- ----------- -----------
2002-2003 2001-2002 2000-2001 1999-2000 1998-1999
Daily student attendance 95.41 95.43 95.10 94.54 93.9
Daily teacher attendance 95.50% 94.23% 92.66% 94.97% 95.66%
Teacher turnover rate 0% .09% .06% 4.6% 28%
Student dropout rate N/A N/A N/A N/A N/A
Student drop-off rate N/A N/A N/A N/A N/A
------------------------ ----------- ----------- ----------- ----------- -----------
**[PART III -- SUMMARY]{.underline}**
Morgantown Elementary School in Morgantown, Kentucky is situated in a
small town, rural setting nestled on the banks of the Green River. When
you step into the front doors of our school, you face the school's
vision statement emblazoned for all to see: "All who enter these
hallways make a commitment to [C]{.underline}ooperate with those they
encounter, exhibit a positive [A]{.underline}ttitude, act
[R]{.underline}esponsibly by putting forth a maximum
[E]{.underline}ffort towards success and achievement." That
mission/vision statement encompasses Morgantown Elementary's belief that
everyone is a stakeholder and that everyone is held accountable for the
success of our students. Establishing pride daily through our motto
"Patriots C.A.R.E." is a motivational point for our students in carrying
out the decrees set by the mission statement. The motto is posted in
every room and used as a daily means of communicating high academic and
behavioral expectations.
The geographic boundaries include both rural and city areas. The
population that the school serves has a range of socioeconomic family
units. Morgantown Elementary serves all of the city population with a
vast amount of the student population coming from a concentrated area
within the city consisting of 180 subsidized housing units. It also
serves another fourth of the county population. 57% of our students
participate in the federally funded free/reduced lunch program. From the
late 1990's to present the area has suffered a major economic blow
caused by the relocating of three major industrial plants. The
unemployment rate skyrocketed to 16.2% in January 2003 (highest in the
state of Kentucky). Educational standards were not allowed to suffer as
the economy of the area plummeted. This can be evidenced by the
continued climb of state and national test scores, (top 10% in the
state), and the absence of statistical gaps within **any** subgroups in
the No Child Left Behind analysis done by the federal government. This
can only indicate a tenacious determination on the part of our parents,
community and educators to not allow adversity to be a controlling
factor in their children's future. We have worked diligently and will
continue to work in order to sustain positive attitudes, responsible
behavior and lifelong learning for our students so that they can be
successful not only in the classroom but throughout their lives.
How has Morgantown Elementary been successful in meeting the needs of
our 500+ students? Continued growth has been accomplished through
community vision and teamwork on the part of all stakeholders. Our
Parent -Teacher Organization (PTO) plays an important role in
decision-making and developing partnerships with community agencies. Our
staff qualifications and professionalism are unsurpassed. Rigorous
curriculum planning, instructional and behavioral goal setting, and
on-going assessment of programs are integral components of our success.
Focused professional development and teacher training in the areas of
curriculum-mapping, research-based instructional strategies, and meeting
the needs of children in poverty are a crucial attribute of our success.
######
######
######
######
###### PART IV -- INDICATORS OF ACADEMIC SUCCESS
1\. In Kentucky, we believe all children can learn at high levels, given
time, effort and opportunity. We are not willing to leave any student
behind regardless of the challenges and barriers he or she might face in
school. The Commonwealth Accountability Testing System was designed to
improve this teaching and student learning in Kentucky. It includes:
- The CTBS 5-Survey Edition - A multiple-choice test that enables us
to compare our students to their peers nationally in language arts,
reading, and math.
- The Kentucky Core Content Tests -- A mixture of multiple-choice and
open-response (essay-like) questions in reading, science,
mathematics, social studies, arts and humanities, and practical
living/vocational studies.
- Writing Portfolio -- A collection of a student's best writing over
time.
- Writing Prompts -- Writing tests that measure skills developed from
writing instruction.
- Alternate portfolio -- A collection of the best works of students
with severe to profound disabilities.
The Kentucky Board of Education designed the Commonwealth Accountability
Testing Systems to accurately and reliably measure public school
progress in educating students. Each school in Kentucky is expected to
reach proficiency (100 on a 140-point scale) by the year 2014.
Professional test scorers working on behalf of Kentucky's testing
contractor, CTB-McGraw Hill, grade the tests. Each student's work in an
academic subject is identified as fitting into one of four categories:
novice, apprentice, proficient or distinguished.
- Novice work is defined as showing a minimal understanding of core
concepts and/or incorrect knowledge. A novice student also
demonstrates ineffective communication skills with answers being
unclear or ineffective.
- Work at the apprentice level demonstrates a basic knowledge of core
concepts and skills. This knowledge is conveyed however, without
consistency, substance, or detail.
- A proficient student demonstrates an understanding of major concepts
and can apply them, make connections, and solve problems.
Communication skills are accurately supported with sufficient
details.
- Student work at the distinguished level, demonstrates sophisticated
application of core concepts and processes, innovative and efficient
problem-solving strategies, effective communication and insightful
interpretations or extensions.
Testing at Morgantown Elementary is a community-supported activity.
During the two-week testing window, every effort is made to set up an
optimal testing environment for students. Because of this co-operative
spirit, our students have successfully completed state assessments with
zero exclusions. While our school's racial groups do not comprise
sufficient numbers to be statistically significant, our school's high
percentage of students who receive free/reduced lunch services make this
subgroup not a minority but the **majority.** This majority, as shown in
Part VII, Tables 1 and 2, solidly performs at proficient and
distinguished levels on the state assessment. Even our special education
population achieves high scores. This is a group that typically does not
perform well on the state assessment as evidenced by the state scores
recorded under this subgroup in Part VII, Tables 3 and 4. Additionally,
students whose tested CSI (Cognitive Skills Index) is 85 or below do not
normally experience academic success. However, at Morgantown Elementary
these students are superceding anticipated test scores as per Part VII,
Tables 5 and 6. Our school and community, while struggling with economic
setbacks, know that education is the key to Butler County's triumphant
entry into the 21^st^ century and that every student at Morgantown
Elementary can contribute to that success.
2\. In early 2000, Morgantown Elementary School volunteered to be
audited by the Kentucky Department of Education's Region 2 Service
Center personnel using the Standards and Indicators for School
Improvement document. After participating in the scholastic audit, our
staff gained insight into the value of data analysis and how it can
improve student achievement. Since then, a responsibility that was once
owned by the school administration and district office, has shifted to
classroom teachers and resource staff. The facilitative role of
administration has helped empower teachers to analyze and use data in a
way that directly impacts individual classroom practices and student
achievement.
One day a year is dedicated solely to the purpose of training staff in
evaluating school, grade level, classroom, subgroups and individual
student data. Test formatting issues, content mastery issues, attendance
and school schedules are examined to see their effect on assessment.
From this annual data disaggregating session, a *School Improvement
Plan* containing short term and long-term goals, strategies and
activities to be implemented, and evaluation/monitoring is presented to
the School Based Decision-Making Council for approval. This council is
comprised of two parents, three teachers, and one administrator. The
council's role is to monitor school-wide programs and policies that
affect student achievement.
Analysis of state (Kentucky Core Content Test) and national tests
(CTBS/McGraw-Hill)
helps to guide our staff in planning curriculum and instruction,
monitoring student achievement, identifying gaps and developing teacher
professional growth plans. Additionally, on-going assessment in
teachers' classrooms (anecdotal records, writing samples, and rubrics)
helps the teachers adjust to student's individual needs on a daily
basis.
3\. Our school's mission statement anchors our community to
accountability for student achievement. The news media, including radio
and newspaper, are communication partners in spotlighting student
performance. Communication plays a major role in Morgantown Elementary's
student success. The media provides coverage of both classroom and
school-wide recognition of student achievement. There is a variety of
communication methods our school uses. The following activities allow
for communication with stakeholders:
- Honor roll published each grading period
- Awards ceremonies held throughout the year
- Students with exemplary [A]{.underline}ttendance,
[B]{.underline}ehavior, and [C]{.underline}oursework recognized and
rewarded (ABC club)
- School Based Decision Making Council and Board of Education reports
to the community on student performance
- State and national assessment results published in comparison to
other schools
- Progress reports given to parents each nine weeks
- Parent/Teacher Conferences held each semester
- Weekly communication folders sent home with student work and
progress
- Student agendas utilized as a communication vehicle for student
performance
- Display case in school lobby highlights students and staff
achievements.
> Upon release of assessment results from the Kentucky Department of
> Education, conferences are made available to explain individual
> student results on the Kentucky Core Content test and CTBS.
>
> A community-sponsored awards ceremony is conducted for those students
> reaching the state expected standard of proficiency or beyond.
> Medallions and certificates are given and there is significant media
> coverage.
4\. The teaching staff of Morgantown Elementary is comprised of
thirty-five No Child Left Behind Highly-Qualified Teachers. Nineteen of
those teachers (54%) either teach a class at the local university, or
provide training for other educators. With a teacher turnover rate of
less than 1% for the past three years and 77% of the teaching staff with
15+ years teaching experience, our school is the one other schools in
the district look to for professional development. We have been sharing
our successes with other schools for many years! If Morgantown
Elementary is chosen for this award, our staff will continue to provide
quality mentoring for their colleagues.
Because we believe that time-on-task has a direct correlation to
learning, instruction in our classrooms is sacred time. Morgantown
Elementary exists to provide quality-learning experiences for our
students. In showcasing our students' successes, we hope that we never
lose focus of what is most important---our students' education. While
visitors to our building are always welcomed, with a Blue Ribbon school
honor, it would become necessary to provide interested parties with
information in non-classroom-intrusive ways. One solution would be to
produce a video that shows our school's research-based programs and
instructional strategies. This video could be shared with other schools.
Another way to provide others with our model would be through our
district professional development Focus on Teaching workshops held
throughout each school year. Out-of-District School personnel could also
attend these workshops focused on the specific teaching strategies,
learning programs, or instructional methods that Morgantown Elementary's
staff has found to be successful.
#
# [PART V -- CURRICULUM AND INSTRUCTION]{.underline}
#
# 1. Morgantown Elementary's curriculum is as diverse as the needs of our 500+ students. The infrastructure of Morgantown Elementary curriculum is centered around the *Kentucky Core Content for Assessment* and our district's *Butler County Curriculum Standards for grades K-5*. *Core Content for Ass*essment represents the content that has been identified by the Kentucky Department of Education's Division of Curriculum Development as essential for all students to know. *The Butler County Curriculum Standards* were developed in conjunction with the *Association for Effective Schools, Inc*. and represent both content and ability grade-level standards. Our *CHAMPS* behavioral curriculum allows for a structured, orderly environment conducive for optimal learning.
On-going assessment and individual student data drive the need for
varying instructional delivery and methodology in order to meet
students' needs. The standards set are high and expected to be met by
all children. The following is an outline of the curriculum as applies
to different subject areas:
- Language Arts- K-3 curriculum used to teach language standards is: a
combination of an integrated spelling, grammar, and controlled
vocabulary basal text; a standards-based writing program; and a
phonics and decoding curricula (varying according to developmental
appropriateness). Additionally, a direct-instruction reading
curriculum combined with communication skills and motor skills is
utilized for at-risk students in K-3. A comprehension-tracking
curriculum is in place for embedded on-going assessment in reading
across all grade levels. Grades 4 and 5 reading curricula are more
genre-based, with language skills being taught as a part of the
writing curriculum.
- Mathematics-curriculum is hands-on, manipulative-based strategies
supplemented with mathematics text across all grades. Grade 4
utilizes an individualized tracking curriculum called Accelerated
Math.
- Social Studies, Science, Arts and Humanities, and Health/ Practical
Living are all departmentalized and texts are used to supplement
curriculum standards.
All students who are not reaching their potential in Reading and Math
participate in our Extended School Services program. The curriculum
standards are the same but instructional delivery strategies differ from
the methods used in the regular classroom. In our after-school program a
whole language approach is utilized rather than phonetics for decoding
skills. Also, those students that have been identified as above average
academically, and are not reaching their potential, are offered an
accelerated curriculum after school in Math and the Arts and Humanities.
Curriculum mapping is monitored through the use of technology to track
standards mastered and standards remaining each week.
2\. The foundation of our reading curriculum is influenced by state and
national standards research-based practices and most importantly,
individual student mastery. It is our philosophy that in the early years
of development, children are [learning to read]{.underline}. As they
progress and master early decoding and fluency skills, children become
[readers that learn.]{.underline}
*Sing, Spell, Read, and Write*, a Pearson Learning product, *Benchmark
Word* *Identification*, developed by Irene Gaskins in conjunction with
Patricia Cunningham, SRA/*Direct Instruction* by McGraw-Hill are
programs that are utilized to teach phonemic awareness and fluency.
Vocabulary, fluency, and comprehension programs include a controlled
vocabulary basal by Harcourt Brace, *Accelerated Reader* and *Reading
Renaissance*, and *SRA/Corrective Reading* by McGraw-Hill. Programs and
curriculum differ for the individual level of each student.
A differentiated instruction approach is also offered in our Extended
School Services for those students that have been identified as not
mastering reading skills through the regular instructional day. Programs
include whole language instruction and language experience instruction.
Our reading curriculum is student-centered and data-driven. Our programs
are chosen based on the fact that they include on-going assessment,
group and individual accountability, and meta-cognitive elements. They
are all research-based in areas identified by the National Reading Panel
and the Center for the Improvement of Early Reading Achievement (CIERA)
to have the greatest effect on achievement in reading. The effectiveness
and sustainability of Morgantown Elementary School's approach to reading
is evident through our continued growth as proven by state and national
test results.
3\. The growth and correlation between writing and reading at Morgantown
Elementary have been both phenomenal and proportional over the last
three years. This only further substantiates that the writing curriculum
is as effective as the reading. Writing is a vehicle for our students to
apply what they have learned in reading. Children write to learn, to
demonstrate knowledge, and to communicate with a variety of audiences.
Our goal is for students to apply the essential skills that they have
learned about communicating to writing. It has been our goal to
implement developmentally appropriate practices in both writing and
reading to help students reach proficiency.
In 1996, the Kentucky Early Learning Profile (KELP) developed a
continuum that spanned a six-year period with research based
developmental learning descriptors for content areas. In 1999, Kentucky
Marker Papers was developed as a training tool so teachers had examples
and models of developmentally appropriate writing at all grade levels,
including scaffolding strategies to analyze student work and plan for
next lessons. In 2000, Morgantown Elementary used these two documents as
well as the Kentucky Core Content for Assessment to develop a
school-wide student-writing portfolio. The school's Comprehensive
Improvement Plan Writing Committee mandated a writing portfolio across
all grade levels using *Kentucky Marker Papers* as a guide for planning,
teaching, and assessing effectiveness of student written communication.
Each year the portfolio goes with the student to the next grade level
and is evaluated by the teacher to build upon skills along the writing
continuum and thus guide the student to writing proficiency.
Additionally, Title 1 Curriculum Resource Teachers go into the
classrooms to model research-based writing strategies and work
collaboratively with teachers to analyze student writing. Morgantown
Elementary teachers employ *Writers Express* and *Write Track,* by
WriteSource as curricular resources. These resources are used for
examples, models and mini-lessons that have grammar embedded into
writing skills. Additionally, Barry Lane's *Discovery Writing* program
is used for strategies in teaching revision, fiction, and nonfiction
writing.
4\. While Morgantown Elementary School strongly believes that all
children can learn, it also recognizes that all students do not learn in
the same ways or at the same pace. Consequently, the instructional
methods we use are as diverse as our students.
Foremost, Morgantown Elementary uses a proactive and positive approach
to classroom management. *CHAMPS*, a model developed by Randall Sprick,
helps teachers carefully structure classrooms in ways that foster
student learning. For each classroom activity and transition, staff
members identify and then teach students precisely what the expectations
are, thus significantly reducing the amount of misbehavior and
increasing the amount of learning that takes place in the classroom. The
*CHAMPS* model is used consistently throughout our building and provides
students a happy and safe environment in which to learn.
All classroom teachers implement Robert J. Marzano's research-based
strategies and instructional methods from *Classroom Instruction that
Works* into planning and delivery. These strategies have proven to have
statistical, positive effects on students of all grade levels and
learning styles. Marzano's
instructional strategies, direct instruction and authentic assessment
practices summarize the methods used to improve student learning at our
school.
Research shows that students must begin kindergarten at a learning
readiness level to be successful. Morgantown Elementary School's
Preschool program works diligently to provide at-risk three and four
year olds with this readiness through curricular intervention. These
preschoolers are identified as at-risk by testing for speech
communication problems and developmental delays. Staff continues to
provide students with needed intervention through Speech/Communication
and Developmentally-Delayed Programs up to age nine.
Teachers also work with at-risk students at all grade levels by applying
learning structures through classroom strategies identified by Ruby
Payne's work with the effects of poverty on student learning. These
learning structures provide students with mental models that translate
the abstract to the concrete. When mental models are directly taught for
each discipline, abstract information can be learned much more quickly
because the mind has a way to contain or hold the information.
5\. Professional development at Morgantown Elementary was traditionally
based on needs assessment surveys given to stakeholders, and state and
national test analysis. However, in the fall of 2000, the voluntary
scholastic audit helped identify professional development needs that
have made a significant impact on student achievement.
First of all, the audit identified a need for grade level standards to
guide classroom instruction. Over the course of the remaining school
year under guidance and focus from Title 1-funded curriculum staff,
teachers met together using standards developed by the *Association for
Effective Schools, Inc.,* along with state and national standards to
guide them and developed rigorous, intentional, grade level content and
ability standards. The following summer, Janet Hurt, Kentucky teacher,
administrator, and author of *Taming the Standards*, led Morgantown
Elementary School's professional development. Ms. Hurt gave our faculty
a commonsense approach to higher student achievement by explaining how
to build the knowledge and understanding necessary to design
conceptually integrated standards-based units of instruction. Using the
newly designed Butler County K-5 Standards teachers were now able to
horizontally align the curriculum and provide students with learning
situations that included both process and product.
Teachers spent the next summer learning how to utilize multiple
assessment and teaching strategies to continuously monitor and modify
instruction in order to meet student learning styles and support
proficient student work. This training was provided using a 1998
research study by Robert J. Marzano at Midcontinent Research for
Education and Learning (McREL). These researchers analyzed selected
research studies on instructional strategies that had a high probability
of enhancing student achievement for all students in all subject areas
at all grade levels. Nine categories of instructional strategies that
affect student achievement were identified and modeled in classrooms by
MES curriculum resource staff in continuous staff development.
Morgantown Elementary School incorporated these nine strategies into
primary instructional methods that help our staff achieve student
learning.
# [PART VII -- ASSESSMENT RESULTS]{.underline}
# [Table 1]{.underline}
# [Fourth Grade Reading]{.underline}
## [The Kentucky Core Content Test]{.underline}
### [Free or Reduced Lunch/Not Free or Reduced Lunch]{.underline}
---------------------------------- ------------ ----------- ------------
2002-2003 2001-2002 2000-2001
Testing month May April April
**SCHOOL SCORES**
TOTAL 101.5 91.9 84.8
At or Above Novice 100% 100% 100%
At or Above Apprentice 92% 94% 89%
At Proficient or Distinguished 85% 74% 61%
Number of students tested 78 80 106
Percent of total students tested 14% 14% 19%
Number of students excluded 0 0 0
Percent of students excluded 0% 0% 0%
SUBGROUP SCORES
1\. Free or Reduced Lunch
At or Above Novice 100% 100% 100%
At or Above Apprentice 90% 88% 83%
At Proficient or Distinguished 80% 70% 54%
Number of students tested 39 33 59
2\. Not Free or Reduced Lunch
At or Above Novice 100% 100% 100%
At or Above Apprentice 95% 98% 96%
At Proficient or Distinguished 90% 76% 72%
Number of students tested 39 45 46
**STATE SCORES**
TOTAL 83.5 81.9 80.6
At or Above Novice 100% 100% 100%
At or Above Apprentice 87% 85% 84%
At Proficient or Distinguished 62% 60% 58%
State Mean Score 545 548 547
SUBGROUP SCORES
1\. Free or Reduced Lunch
At or Above Novice 100% 100% 100%
At or Above Apprentice 81% 78% 77%
At Proficient or Distinguished 51% 48% 45%
Number of students tested 24,597 24,818 24,423
2\. Not Free or Reduced Lunch
At or Above Novice 100% 100% 100%
At or Above Apprentice 93% 92% 92%
At Proficient or Distinguished 74% 73% 71%
Number of students tested 23,973 24,070 25,138
---------------------------------- ------------ ----------- ------------
# [Table 2]{.underline}
# [Fifth Grade Mathematics]{.underline}
## [The Kentucky Core Content Test]{.underline}
### [Free or Reduced Lunch/Not Free or Reduced Lunch]{.underline}
---------------------------------- ------------ ----------- ------------
2002-2003 2001-2002 2000-2001
Testing month May April April
**SCHOOL SCORES**
TOTAL 83.2 70.8 53.8
At or Above Novice 100% 100% 100%
At or Above Apprentice 83% 76% 54%
At Proficient or Distinguished 55% 39% 20%
Number of students tested 75 108 110
Percent of total students tested 14% 19% 19%
Number of students excluded 0 0 0
Percent of students excluded 0% 0% 0%
SUBGROUP SCORES
1\. Free or Reduced Lunch
At or Above Novice 100% 100% 100%
At or Above Apprentice 69% 72% 48%
At Proficient or Distinguished 38% 35% 19%
Number of students tested 32 60 63
2\. Not Free or Reduced Lunch
At or Above Novice 100% 100% 100%
At or Above Apprentice 93% 79% 62%
At Proficient or Distinguished 67% 41% 22%
Number of students tested 43 48 45
**STATE SCORES**
TOTAL 67.6 66 63.9
At or Above Novice 100% 100% 100%
At or Above Apprentice 69% 67% 65%
At Proficient or Distinguished 38% 36% 34%
State Mean Score 558 561 558
SUBGROUP SCORES
1\. Free or Reduced Lunch
At or Above Novice 100% 100% 100%
At or Above Apprentice 58% 55% 52%
At Proficient or Distinguished 26% 23% 21%
Number of students tested 25,143 24,641 23,182
2\. Not Free or Reduced Lunch
At or Above Novice 100% 100% 100%
At or Above Apprentice 80% 79% 77%
At Proficient or Distinguished 51% 49% 46%
Number of students tested 24,537 25,152 25,937
---------------------------------- ------------ ----------- ------------
# [Table 3]{.underline}
# [Fourth Grade Reading]{.underline}
## [The Kentucky Core Content Test]{.underline}
## [Special Education/Gifted and Talented]{.underline}
---------------------------------- ------------ ----------- ------------
2002-2003 2001-2002 2000-2001
Testing month May April April
**SCHOOL SCORES**
TOTAL 101.5 91.9 84.8
At or Above Novice 100% 100% 100%
At or Above Apprentice 92% 94% 89%
At Proficient or Distinguished 85% 74% 61%
Number of students tested 78 80 106
Percent of total students tested 14% 14% 19%
Number of students excluded 0 0 0
Percent of students excluded 0% 0% 0%
SUBGROUP SCORES
1\. Special Education
At or Above Novice 100% 100% 100%
At or Above Apprentice 78% 100% 90%
At Proficient or Distinguished 56% 100% 50%
2\. Gifted and Talented
At or Above Novice 100% 100% 100%
At or Above Apprentice 100% 100% 100%
At Proficient or Distinguished 100% 100% 100%
**STATE SCORES**
TOTAL 83.5 81.9 80.6
At or Above Novice 100% 100% 100%
At or Above Apprentice 87% 85% 84%
At Proficient or Distinguished 62% 60% 58%
State Mean Score 545 548 547
SUBGROUP SCORES
1\. Special Education
At or Above Novice 100% 100% 100%
At or Above Apprentice 72% 69% 66%
At Proficient or Distinguished 42% 37% 32%
2\. Gifted and Talented
At or Above Novice 100% 100% 100%
At or Above Apprentice 99% 99% 99%
At Proficient or Distinguished 93% 93% 92%
---------------------------------- ------------ ----------- ------------
#
# [Table 4]{.underline}
# [Fifth Grade Mathematics]{.underline}
## [The Kentucky Core Content Test]{.underline}
### [Special Education/Gifted and Talented]{.underline}
---------------------------------- ------------ ----------- ------------
2002-2003 2001-2002 2000-2001
Testing month May April April
**SCHOOL SCORES**
TOTAL 83.2 70.8 53.8
At or Above Novice 100% 100% 100%
At or Above Apprentice 83% 76% 54%
At Proficient or Distinguished 55% 39% 20%
Number of students tested 75 108 110
Percent of total students tested 14% 19% 19%
Number of students excluded 0 0 0
Percent of students excluded 0% 0% 0%
SUBGROUP SCORES
1\. Special Education
At or Above Novice 100% 100% 100%
At or Above Apprentice 75% 46% 20%
At Proficient or Distinguished 75% 31% 0%
2\. Gifted and Talented
At or Above Novice 100% 100% 100%
At or Above Apprentice 100% 96% 83%
At Proficient or Distinguished 86% 73% 36%
**STATE SCORES**
TOTAL 67.6 66 63.9
At or Above Novice 100% 100% 100%
At or Above Apprentice 69% 67% 65%
At Proficient or Distinguished 38% 36% 34%
State Mean Score 558 561 558
SUBGROUP SCORES
1\. Special Education
At or Above Novice 100% 100% 100%
At or Above Apprentice 39% 36% 31%
At Proficient or Distinguished 16% 14% 10%
2\. Gifted and Talented
At or Above Novice 100% 100% 100%
At or Above Apprentice 95% 95% 94%
At Proficient or Distinguished 77% 77% 75%
---------------------------------- ------------ ----------- ------------
# [Table 5]{.underline}
# [Third Grade Reading]{.underline}
## [Comprehensive Test of Basic Skills]{.underline}
###
+---------------------------------+-----------+----------+-----------+
| | 2002-2003 | 2 | 2000-2001 |
| | | 001-2002 | |
+---------------------------------+-----------+----------+-----------+
| Testing month | May | April | April |
+---------------------------------+-----------+----------+-----------+
| | | | |
+---------------------------------+-----------+----------+-----------+
| **SCHOOL SCORES** | | | |
+---------------------------------+-----------+----------+-----------+
| | | | |
+---------------------------------+-----------+----------+-----------+
| Cognitive Skills Index (CSI) | | | |
| | | | |
| 85 & Below | | | |
+---------------------------------+-----------+----------+-----------+
| Mean Obtained | 621.0 | 601.5 | \* |
+---------------------------------+-----------+----------+-----------+
| Mean Anticipated | 595.8 | 583.3 | \* |
+---------------------------------+-----------+----------+-----------+
| Difference | 25.2 | 18.2 | \* |
+---------------------------------+-----------+----------+-----------+
#
#
#
#
#
#
# [Table 6]{.underline}
# [Third Grade Math]{.underline}
## [Comprehensive Test of Basic Skills]{.underline}
###
+---------------------------------+-----------+----------+-----------+
| | 2002-2003 | 2 | 2000-2001 |
| | | 001-2002 | |
+---------------------------------+-----------+----------+-----------+
| Testing month | May | April | April |
+---------------------------------+-----------+----------+-----------+
| | | | |
+---------------------------------+-----------+----------+-----------+
| **SCHOOL SCORES** | | | |
+---------------------------------+-----------+----------+-----------+
| | | | |
+---------------------------------+-----------+----------+-----------+
| Cognitive Skills Index (CSI) | | | |
| | | | |
| 85 & Below | | | |
+---------------------------------+-----------+----------+-----------+
| Mean Obtained | 597.9 | 583.3 | \* |
+---------------------------------+-----------+----------+-----------+
| Mean Anticipated | 573.4 | 561.2 | \* |
+---------------------------------+-----------+----------+-----------+
| Difference | 24.5 | 22.1 | \* |
+---------------------------------+-----------+----------+-----------+
|
en
|
all-txt-docs
|
372244
|
Date: Mon, 07 Sep 1998 20:19:45 -0500
From: Vince Perez on the Road <[email protected]>
Subject: Coral Bleaching in the PHILIPPINES
I found the various emails from divers reporting coral bleaching in
various spots in the Philippines, possibly caused by warm weather.
Vincent S. Perez
Trustee, World Wildlife Fund-Philippines
I just came back from a dive trip in Moal Boal, Cebu yesterday. Traces
of coral bleaching are present in Pescador Island. Temperature at avg
depth of 20m was 30'C for two days (weather was overcast). Sunken
Island, whose reef begins at 30m, has so far been spared but I noticed that
temperature at 30 to 45m was close to Pescador at 29'C. Worst hit seems
to be White Sands and Tublig (?, I'm not sure if I got the name of this spot
correctly) where rows upon rows of corals have already turned white.
These are shallow dives and the waters here were really warm.
At Pescador, we noticed that the 3-4 resident white tips which you would
usually see at 45m were absent, save for a small one, and the usual snappers
and sweet lips normally found in abundance were fewer. I would estimate
the affected areas in these dive spots to be 3%, nil so far, 20%, and 25% for
Pescador, Sunken Island, White Sands and Tublig, respectively.
Joel
Original Message from [email protected] @ HUB on 09/03:
From: "karina" <[email protected]>
Subject: Coral Bleaching is definitely happening - any solutions?
Divers have noticed coral bleaching in Anilao, Sorsogon, Palawan etc..
Karina Escudero
From: "Boy Siojo" <[email protected]>
We just came from a dive cruise which covered the areas of Busuanga-Apo
Reef-Puerto Galera-and Verde island. A phenomena called Coral Bleaching
is present. From what I know the color of the corals come from specific
bacteria living with a specific coral (please feel free to correct any mistakes
that I may make). These bacteria are at the same time a major food source
of the coral itself. The corals and the bacteria, as in any living organism on this
earth, have a certain amount of tolerance for changes in the temperature of their
environment. For those of you who have been diving regularly the past few
months, haven't you noticed that the water temperature has been unusually warm.
Wetsuits should be the order of the day when diving in Anilao during these
months and yet we have been diving without suits. The first dive of our first day
was to a wreck called Kyokozan Maru. The ship lies in about 130 ft. of water
with the deck being at 90 ft. The first thing that struck me was the wreck was white!
As I descended I noticed that all the encrusting corals have turned white, and so
did the mushroom corals and even the anemone at the railing near the pilot house
has turned white. Our next dive spot was Coconongin Point, about one hour away
from the wreck, as soon as we went in I knew that the wreck was not an isolated
case. There were dead soft corals everywhere, the hump and brain corals (porites
species) and the staghorn and table corals (acropora species) have all turned white.
Anywhere you looked there was this prevailing whiteness, it was just incredible.
Our next spot was the house reef of Club Paradise, and it was almost the same as
Coconongin Point. Apo Reef, Puerto Galera and Verde are also affected by this
phenomena. At first I thought the phenomena was localized, but from what we have
seen I think that it may be the whole of the Philippines that may be affected. When
water temperatures change the bacteria living in the corals are the first to be affected.
Once they die the corals soon follow. One of our divers had a watch with a
thermometer, and he said that the average temperature that his watch recorded during
our dive at San Agapito Point was 30 degrees celsius. The threshold of the Corals
are 32 degrees celsius. In Club Paradise they had some scientists over a couple of
weeks back and they measured it at 35 degrees celsius at 60 ft. depth!!!! That is way
too hot. We may soon see this coral bleaching start in Anilao.
. Thank you. Boy
eOLE: Produced By Microsoft MimeOLE V4.71.1712.3
Guys,
The weekend before the cruise I went to Mainit and at that time it was not as
Bobby describes it now.
Boy
----------------------------------------------------------
Boy,
I am sorry to hear about the conditions you encountered at Club Paradise.
The Diving there is one of the reasons that I finally decided to get into
Photography. I was in Anilao last weekend and sad to say had encountered
the same conditions at Mainit Point. As we approached the site one of the
divers asked what are those white patches underwater, at first I thought it
must be patches of sand. As we descended I noticed that those white patches
were staghorn corals bleached white, even some of the soft corals that are
normally color flesh where white!!, visibility was so bad about 10 - 15 feet
only, and yes the temperature was warm. Could not say whether the corals
in the deeper areas are affected as vis was really bad. But it did not seem that
the deeper part of the reef was affected. We did our first dive at Larry's on
Sunday morning, don't think this reef is affected as yet.
Cheers,
Bobby S.B.
Dear Boy,
The coral bleaching is something I have noticed as well in the last few months
around the Sorsogon area, Ticao Island, Masbate, Albay gulf (Rapu Rapu &
Santo Domingo). These areas happen to be volcanic & may have higher
temperatures due to volcanic gases. However, in Coron - same thing... I was at
Fuga Island in the Babuyan Islands, last weekend & the water was so warm I
dove wearing a swimsuit, this is totally unheard of in this area where 3-5 mil
suits are appropriate. The humpback whales also failed to migrate thru the
Babuyan area this year. They usually migrate thru the area on May and August.
I will make some inquiries from ICLARM on what can possibly be done to help
the situation. Guys, more signs that we ought to take care of our planet.. Keep me posted.
Karina
|
en
|
converted_docs
|
160379
|
{width="1.5in" height="0.55in"}
# National Mapping Program Date: June 13, 2002
Depository Library Sending
Shipping list: 2002-18-TQ
Total Maps for this list: 84
+---+--------+------+------+------------------+-------+------+------+
| # | #### | * | #### | #### NAME | # | # | * |
| # | | *OLD | NEW | | ### S | ### | *Sca |
| # | # | MAT. | MAT | | TATES | Vers | le** |
| # | ### GP | \#** | . \# | | | ion | |
| | O ITEM | | | | | Year | |
| L | | | | | | | |
| I | # | | | | | | |
| N | ### \# | | | | | | |
| E | | | | | | | |
| | | | | | | | |
| # | | | | | | | |
| # | | | | | | | |
| # | | | | | | | |
| # | | | | | | | |
| | | | | | | | |
| \ | | | | | | | |
| # | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAK | 3 | ANCHORAGE C-8 | AK | 1994 | 63 |
| | 9-M-02 | 0339 | 4520 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAK | 3 | MCCARTHY A-4 | AK | 1994 | 63 |
| | 9-M-02 | 1646 | 5820 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAK | 3 | MCCARTHY A-5 | AK | 1994 | 63 |
| | 9-M-02 | 1647 | 5821 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TAK | 3 | MCCARTHY A-6 | AK | 1994 | 63 |
| | 9-M-02 | 1648 | 5822 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TAK | 3 | MCCARTHY B-6 | AK | 1994 | 63 |
| | 9-M-02 | 1656 | 5830 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TAK | 3 | MCCARTHY C-5 | AK | 1993 | 63 |
| | 9-M-02 | 1663 | 5837 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TAK | 3 | TYONEK C-2 | AK | 1993 | 63 |
| | 9-M-02 | 2773 | 6944 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 8 | 061 | TAK | 3 | VALDEZ C-3 | AK | 1996 | 63 |
| | 9-M-02 | 2893 | 7064 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 9 | 061 | TAZ | 4 | AGUA CALIENTW | AZ | 1996 | 24 |
| | 9-M-03 | 0009 | 0461 | HILL | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAZ | 4 | BISBEE | AZ | 1996 | 24 |
| 0 | 9-M-03 | 0135 | 0584 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAZ | 4 | CAMPO BONITO | AZ | 1996 | 24 |
| 1 | 9-M-03 | 0224 | 0673 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAZ | 4 | CANELO PASS | AZ | 1996 | 24 |
| 2 | 9-M-03 | 0227 | 0676 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAZ | 4 | DESERT PEAK | AZ | 1996 | 24 |
| 3 | 9-M-03 | 2232 | 2631 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAZ | 4 | FAIRBANK | AZ | 1996 | 24 |
| 4 | 9-M-03 | 0478 | 0923 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAZ | 4 | GALLETA FLAT | AZ | 1996 | 24 |
| 5 | 9-M-03 | 0525 | 0970 | EAST | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAZ | 4 | HAY MOUNTAIN | AZ | 1996 | 24 |
| 6 | 9-M-03 | 0636 | 1081 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAZ | 4 | HUACHUCA CITY | AZ | 1996 | 24 |
| 7 | 9-M-03 | 0687 | 1132 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAZ | 4 | HUACHUCA PEAK | AZ | 1996 | 24 |
| 8 | 9-M-03 | 0688 | 1133 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 1 | 061 | TAZ | 4 | KUPK | AZ | 1996 | 24 |
| 9 | 9-M-03 | 2352 | 2751 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAZ | 4 | MARANA | AZ | 1996 | 24 |
| 0 | 9-M-03 | 0846 | 1291 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAZ | 4 | MICA MOUNTAIN | AZ | 1996 | 24 |
| 1 | 9-M-03 | 0894 | 1339 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAZ | 4 | MILLER PEAK | AZ | 1996 | 24 |
| 2 | 9-M-03 | 0903 | 1348 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAZ | 4 | MOUNT BIGELOW | AZ | 1996 | 24 |
| 3 | 9-M-03 | 0944 | 1388 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAZ | 4 | MOUNT HUGHES | AZ | 1996 | 24 |
| 4 | 9-M-03 | 0957 | 1401 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAZ | 4 | MOUNT LEMMON | AZ | 1996 | 24 |
| 5 | 9-M-03 | 0959 | 1403 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAZ | 4 | O\'DONNELL | AZ | 1996 | 24 |
| 6 | 9-M-03 | 1023 | 1467 | CANYON | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAZ | 4 | ORACLE | AZ | 1996 | 24 |
| 7 | 9-M-03 | 2420 | 2818 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAZ | 4 | ORACLE JUNCTION | AZ | 1996 | 24 |
| 8 | 9-M-03 | 2421 | 2819 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 2 | 061 | TAZ | 4 | POTTER MOUNTAIN | AZ | 1996 | 24 |
| 9 | 9-M-03 | 1140 | 1583 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAZ | 4 | PYEATT RANCH | AZ | 1996 | 24 |
| 0 | 9-M-03 | 1163 | 1606 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAZ | 4 | RED ROCK | AZ | 1996 | 24 |
| 1 | 9-M-03 | 1184 | 1627 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAZ | 4 | RINCON PEAK | AZ | 1996 | 24 |
| 2 | 9-M-03 | 1197 | 1640 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAZ | 4 | SABINO CANYON | AZ | 1996 | 24 |
| 3 | 9-M-03 | 1234 | 1677 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAZ | 4 | SAINT DAVID | AZ | 1996 | 24 |
| 4 | 9-M-03 | 1250 | 1693 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAZ | 4 | SAN PEDRO RANCH | AZ | 1996 | 24 |
| 5 | 9-M-03 | 1973 | 2378 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAZ | 4 | STEELE HILLS | AZ | 1996 | 24 |
| 6 | 9-M-03 | 1962 | 2367 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAZ | 4 | TANQUE VERDE | AZ | 1996 | 24 |
| 7 | 9-M-03 | 1427 | 1868 | PEAK | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAZ | 4 | TOMBSTONE | AZ | 1996 | 24 |
| 8 | 9-M-03 | 1470 | 1911 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 3 | 061 | TAZ | 4 | WEST OF MARANA | AZ | 1996 | 24 |
| 9 | 9-M-03 | 2590 | 2984 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TCA | 4 | CAMPO | CA | 1996 | 24 |
| 0 | 9-M-05 | 0355 | 3577 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TCA | 4 | POTRERO | C | 1996 | 24 |
| 1 | 9-M-05 | 1926 | 5126 | | A,BCN | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TFL | 5 | SYCAMORE | FL | 1994 | 24 |
| 2 | 9-M-09 | 1021 | 1092 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TGU | 5 | DEDEDO | GU | 2000 | 24 |
| 3 | 9-M-53 | 0005 | 2671 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TGU | 5 | TALOFOFO | GU | 2000 | 24 |
| 4 | 9-M-53 | 0011 | 2677 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TIL | 5 | ALLERTON | IL | 1998 | 24 |
| 5 | 9-M-13 | 0931 | 7069 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TIL | 5 | CARLINVILLE WEST | IL | 1998 | 24 |
| 6 | 9-M-13 | 0133 | 6281 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TIL | 5 | CASEY | IL | 1998 | 24 |
| 7 | 9-M-13 | 1226 | 7350 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TIL | 5 | CLARKSVILLE | IL | 1998 | 24 |
| 8 | 9-M-13 | 1222 | 7346 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 4 | 061 | TIL | 5 | FILLMORE | IL | 1998 | 24 |
| 9 | 9-M-13 | 0279 | 6426 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TIL | 5 | OLHLMAN | IL | 1998 | 24 |
| 0 | 9-M-13 | 0591 | 6734 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TIL | 5 | PANA | IL | 1998 | 24 |
| 1 | 9-M-13 | 0613 | 6756 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TIL | 5 | PLAINVIEW | IL | 1998 | 24 |
| 2 | 9-M-13 | 0644 | 6787 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TIL | 5 | PORTERVILLE | IL | 1998 | 24 |
| 3 | 9-M-13 | 1242 | 7366 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TIL | 5 | RAYMOND NE | IL | 1998 | 24 |
| 4 | 9-M-13 | 0677 | 6820 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TIL | 5 | RISING | IL | 1998 | 24 |
| 5 | 9-M-13 | 0690 | 6832 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TIL | 5 | WAVERLY | IL | 1998 | 24 |
| 6 | 9-M-13 | 1131 | 7262 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TIL | 5 | WESTFIELD EAST | IL | 1998 | 24 |
| 7 | 9-M-13 | 1221 | 7345 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TLA | 6 | MIRE | LA | 1998 | 24 |
| 8 | 9-M-18 | 0843 | 2287 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 5 | 061 | TLA | 6 | PEVETO BEACH | LA | 1998 | 24 |
| 9 | 9-M-18 | 0556 | 2004 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TLA | 6 | PLAQUEMINE | LA | 1998 | 24 |
| 0 | 9-M-18 | 0568 | 2016 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TLA | 6 | RIGOLETS | LA | 1998 | 24 |
| 1 | 9-M-18 | 0601 | 2049 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TMT | 7 | BACHELOR | MT | 1997 | 24 |
| 2 | 9-M-26 | 2957 | 3925 | MOUNTAIN | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TMT | 7 | DICKIE HILLS | MT | 1997 | 24 |
| 3 | 9-M-26 | 0611 | 1639 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TMT | 7 | FOOLHEN MOUNTAIN | MT | 1997 | 24 |
| 4 | 9-M-26 | 0769 | 1794 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TMT | 7 | MUSSIGBROD LAKE | MT | 1997 | 24 |
| 5 | 9-M-26 | 1578 | 2580 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TMT | 7 | OLD BALDY | MT | 1997 | 24 |
| 6 | 9-M-26 | 3205 | 4140 | MOUNTAIN | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TMT | 7 | SHERIDAN | MT | 1997 | 24 |
| 7 | 9-M-26 | 1986 | 2982 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TMT | 7 | TORREY MOUNTAIN | MT | 1997 | 24 |
| 8 | 9-M-26 | 2208 | 3201 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 6 | 061 | TMT | 7 | WARREN PEAK | MT | 1997 | 24 |
| 9 | 9-M-26 | 2296 | 3286 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TND | 7 | ICE BOX CANYON | ND | 1997 | 24 |
| 0 | 9-M-34 | 0668 | 6387 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TNM | 8 | SELDON CANYON | NM | 1996 | 24 |
| 1 | 9-M-31 | 2047 | 1393 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TNM | 8 | SUMMERFORD | NM | 1996 | 24 |
| 2 | 9-M-31 | 2102 | 1444 | MOUNTAIN | | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TNM | 8 | TAYLOR WELL | NM | 1996 | 24 |
| 3 | 9-M-31 | 2049 | 1395 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TNM | 8 | THORN WELL | NM | 1996 | 24 |
| 4 | 9-M-31 | 2050 | 1396 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TNM | 8 | NORIA | NM | 1996 | 24 |
| 5 | 9-M-31 | 2192 | 1529 | | ,CHIH | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TPA | 9 | SHENANDOAH | PA | 1999 | 24 |
| 6 | 9-M-38 | 0747 | 1147 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TTX | 9 | FORNEY NORTH | TX | 1995 | 24 |
| 7 | 9-M-43 | 1379 | 6466 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TTX | 9 | MESQUITE | TX | 1995 | 24 |
| 8 | 9-M-43 | 2481 | 7559 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 7 | 061 | TTX | 9 | ROCKWELL | TX | 1995 | 24 |
| 9 | 9-M-43 | 3190 | 8264 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 8 | 061 | TTX | 9 | ROWLETT | TX | 1995 | 24 |
| 0 | 9-M-43 | 3235 | 8309 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 8 | 061 | TTX | 9 | WHITE ROCK LAKE | TX | 1995 | 24 |
| 1 | 9-M-43 | 4061 | 9129 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 8 | 061 | TUT | 10 | SOLDIER SUMMIT | UT | 1998 | 24 |
| 2 | 9-M-44 | 1049 | 2547 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 8 | 061 | TUT | 10 | STOCKTON | UT | 1997 | 24 |
| 3 | 9-M-44 | 1049 | 2574 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| 8 | 061 | TWA | 10 | MOUNT VERNON | WA | 1998 | 24 |
| 4 | 9-M-47 | 0704 | 5953 | | | | |
+---+--------+------+------+------------------+-------+------+------+
| | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
| | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
| | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
| | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
| | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
| | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
| | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
| | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
| | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
| | | | | | | | |
+---+--------+------+------+------------------+-------+------+------+
Claims for Non-receipt of USGS Maps: Claims for maps previously selected
must be made within 60 days. To FILE A CLAIM, circle the missing item
numbers and send a copy of this shipping list to the address listed
below, or fax to the number listed below. Please complete the applicable
information.
Date: Claim Approval:
Library \# State(s) Claimed:
Library Address: DMLP Series Selected:
Phone:
**(A LIBRARY NUMBER IS REQUIRED INFORMATION TO PROCESS ALL CLAIMS.)**
**UNITED STATES**
### DEPARTMENT OF THE INTERIOR
GEOLOGICAL SURVEY
DENVER FEDERAL CENTER
MS 306, ATTN: RECEIVING Tel. (303) 202-4703
DENVER, COLORADO 80225 **Fax (303) 202-4694**
|
en
|
converted_docs
|
208624
|
{width="1.3395833333333333in"
height="0.9208333333333333in"}
Voluntary Report - public distribution Date: 10/21/2002
GAIN Report \#CU2004
**Cuba**
**Market Development Reports**
**Cuba**
**2002**
Approved by:
**Margie Bauer**
**Caribbean Basin ATO**
Prepared by:
James E. Ross & Maria A. Fernandez Mayo
> **Report Highlights:**
>
> **Cuba=s market for food sold for dollars in the retail, food service
> and food processing sectors is estimated at \$650 to 700 million per
> year in this University of Florida, International Agriculture Trade
> and Development Center Report. The complex distribution channels and
> key players, described in great detail, are evolving with every sale
> of U.S. food products to Cuba. Factors affecting the current and
> future market are also explored.**
Includes PSD changes: No
Includes Trade Matrix: No
Unscheduled Report
Miami \[C11\], CU
**Cuba: Overview of the Dollar Food Market**
**\--An Exploration of the Purchasing and Distribution System \--**
James E. Ross and Maria Antonia Fernandez Mayo[^1]
Cuba\'s purchasing and distribution system servicing the market for
dollar foods[^2] is decentralized and complex. It is composed of: 1)
retail stores trading only with dollars, 2) hotels and restaurants
catering to tourists for dollars, 3) food processing companies that sell
a portion of their production within Cuba for dollars, and 4)
institutions that receive imported food products.
System Structure
Dollar foods purchased and sold in Cuba are both produced domestically
and imported through national and foreign enterprises operating in Cuba.
Domestically produced dollar foods and beverages are grown or
manufactured by state-owned or controlled entities or by foreign
companies operating under Foreign Investment Law No. 77. Small private
farmers may also participate in the dollar food market; however, their
participation in terms of dollars is relatively insignificant.
State production entities include national food manufacturers, state
farms, and state-controlled agricultural cooperatives. A mixed
enterprise, an entity with foreign interest, generating dollar food
products may include a food manufacturer or an agricultural production
unit. A mixed enterprise producing dollar foods may take the form of a
joint-venture investment, an international economic association
contract, or a cooperated production agreement. There are no totally
foreign owned food production or manufacturing operations in Cuba.
One government agency, Alimport (Empresa Cubana Importadora de
Alimentos) is Cuba\'s main food and feedstuff importing company. Other
importing agencies of dollar foods include government-owned holding
companies that supply retail dollar stores, and government-owned
companies and mixed enterprises that own or operate tourist hotels,
resorts and restaurants. Some joint-venture hotels have agreements under
the foreign investment law to import direct, without going through a
government purchasing company. Because of the foreign company\'s
supplier contacts and expertise, government-owned hotels, at times, may
import through the joint venture or contract agreement companies. The
supply and quality of food products available through the importing
company may determine which source is used.[^3]
Foods sold or made available direct to consumers and the tourist
industry for dollars, generally, include those products classified as
consumer-oriented, but may also include products classified as
intermediate and bulk. Consumer-oriented products are imported under the
jurisdiction of the Cuban Ministry of Public Health (Ministerio de Salud
Publica\--MINSAP). Imports of intermediate and bulk agricultural
products are regulated by the Ministry of Agriculture (Ministerio de la
Agricultura\--MINAGRI). [^4]
Consumer-oriented foods may be imported through several different
agencies and companies, while some intermediate products and all bulk
commodities are imported by Alimport. Some consumer-oriented foods may
also be imported by Alimport to supply ration stores and other
institutions. Alimport also purchases imported food ingredients for the
food industry sector. In addition, dollar stores and other
government-owned companies may receive food products imported by
Alimport.
Other entities involved in the dollar food chain include in-home family
restaurants (restaurantes particulares), known generally as
Paladares.[^5] These restaurants are limited to family employment and
may serve only 12 customers at one time. They may charge their customers
in either pesos or dollars; however, most paladares request dollars for
payment. Paladares do not import food products, but purchase those
products through the retail dollar stores, state-operated agricultural
markets, semi-private agromercados, and from other sources. Economic
impact of the private restaurants on the dollar food market is
negligible.[^6]
Stores Selling Dollar Foods (TRDs)
Retail stores selling food and beverage products for dollars (ventas
minoristas en divisas) are scattered throughout the country. The stores
are owned by the Cuban government. No foreign investment in these stores
has been permitted. In all of these retail stores, known as Dollar
Stores or TRDs (Tiendas de Recuperacion en Divisas), food products that
have been imported or produced domestically are sold for dollars.
In Havana there are approximately 300 Dollar Stores, and in the entire
country roughly 1,000. Most of the Dollar Stores outside Havana are
located in the tourist areas of Varadero, Ciego de Avila, Holguin,
Santiago de Cuba, Camaguey and Pinar de Rio.
Cuba\'s dollar food market encompasses many semi-autonomous
government-owned and operated companies. The companies are incorporated
and have the Sociedad Anonima (S.A.) designation. Generally, the
companies control their own hard-currency revenues and can make
purchases on their own account. Sociedad Anonima companies must remit a
monthly payment to the government. The amount is negotiated between the
government and the company directors.[^7]
Names of the major dollar store chains and the government corporations
owning them include:
Tiendas Panamericanas (CIMEX S.A.)
Tiendas Universo (CUBANACAN S.A.)
Tiendas Caracol (HORIZONTES Hoteles S.A.)
Tiendas y Supermercados de la Sociedad Meridiano S.A.
> (CUBALSE Corporation \-- imported foodstuffs valued at \$19.7 million
> in 2001)
Tiendas TRD Caribe (GAVIOTA S.A.)
Tiendas de Habaguanex S.A. (HABAGUANEX S.A.)
Priorities for supplying the stores, whether food or non-food products,
are: first, products of national origin; second, mixed enterprises
(companies with foreign investment, either joint ventures, international
economic association contracts, or cooperative production agreements);
and third, foreign sources.
For example, products of national origin, the highest priority, could be
supplied by a state-owned company such as Frutas Selectas S.A. The
semi-autonomous company selects the best fruits and vegetables produced
by state-owned farms and state-controlled cooperatives and markets the
products to the tourist hotels and restaurants. Mixed enterprises, the
second highest priority, could include Sherritt Green or Tropiflora.
Sherritt Green is a government joint venture with Sherritt International
of Canada. Tropiflora is a joint venture with Israeli interests. Both
companies produce fruit and vegetables for sale to tourist hotels and
restaurants. The third priority would be food imports.
Prices of products sold in the Dollar Stores are normally higher than
those offered in other internal food markets. The consumer may pay a
price that is 200% or more above the imported price or the price in one
of the internal food markets.[^8] Products similar to those available in
the dollar stores may be found at lower prices in other internal
markets.
In addition to dollar stores, the Cuban retail food market includes:
ration stores (Mercado de Alimentos Racionados); agricultural or
farmers\' markets (Mercado Libre Agropecuario\--MLA); Ministry of
Agriculture markets (Mercado de Agricolas a Precios Topados);
agricultural \"fairs\" held on the last Sunday of each month (Las Ferias
Agropecuarias); urban garden markets (ventas en los huertos y
organoponicos); places of sale direct to the consumer by the CPA
(Cooperatives of Agricultural Production) and the EJT (Youth Work Army);
and the Cadena de Tiendas Imagenes\--stores selling processed foods
under the jurisdiction of the Ministry of Internal Trade\--MINCIN.[^9]
Of all of Cuba\'s official internal food markets, only the dollar stores
trade in dollars. The other internal food markets trade in pesos, but do
compete with the dollar stores. Quality of products in the dollar stores
is normally superior to those in the other internal markets.[^10]
In May 2002, the Cuban government announced that prices in the dollar
stores would be increased significantly; however, food prices were to
remain the same or decline. In fact, many food prices did fall, only
prices for chocolate products and preserved foods increased. The
increase, generally, was 10 to 15 U.S. cents above the previous price.
Tourist Hotels and Restaurants
Cuba rates its hotels on a star basis, ranging from one to five stars. A
five-star hotel is better than a four-star, etc. The rating system does
not compare facilities and services to comparable stars of hotels in
other countries, but is used only to compare quality of hotels within
Cuba. With current standards, most international tourism and the
resulting market for dollar foods, is concentrated in three, four and
five-star hotels. While two-star and one-star hotels provide a limited
market for imported dollar food products, the major source of food for
these hotels is the domestic market.
Cuba has more than 300 tourist properties with about 40,000 rooms. Less
than 100 of the tourist hotels are classified as four- and five-star
hotels. Four-star hotels account for approximately 40% of room
occupancy, while five-star and three-star hotels each account for about
20%. Annual growth in tourism in the 1990s was more than 15%, but in
2001 the number of tourists was only slightly more than the year before,
approximately 1.8 million. The slow start for tourism in 2002 could
result in even fewer tourists than recorded each of the last two years.
In the early 1990s, when tourists numbered some 300,000, only 12% of the
products and services required for the tourist industry were provided
through national production. Almost all food products needed for tourist
hotels and restaurants were imported. All of the beer and bottled water
served to tourists was imported. As a result of economic reforms in the
mid-1990s and pursuit of a policy of protectionism, the supply situation
was reversed and Cuba now supports some 65% of the tourist hotel and
restaurant needs through national production. One national brewery, a
joint venture, supplies about 95% of the tourist market for beer and
another joint venture supplies almost all of the bottled water.[^11]
The semi-autonomous companies serving the tourist industry include:
Corporacion Cubanacan, Grupo Hotelero Gran Caribe, Horizontes Hoteles,
Habaguanex, Grupo de Turismo Gaviota, Islazul, Grupo de Recreacion y
Turismo Rumbos, Compania de Marinas Puerto Sol, and the Complejo de
Convenciones. To some extent, all of the companies compete with each
other, but they concentrate on different segments of the tourist market.
No foreign investment has been introduced in the ownership of these
companies.
[Corporacion Cubanacan S.A.]{.underline} accounts for more than 40% of
the tourist market. It was formed to operate four and five star hotels,
restaurants, cafeterias, retail stores, water recreation centers,
tourist health facilities, and tourist reception and other recreation
centers. Cubanacan also produces and sells artisan handicrafts and
operates a transportation company that provides tour buses and rents
automobiles.
Many of the tourist hotels, administered as either international
economic association contracts or joint ventures, involve Cubanacan.
Joint investment arrangements under Foreign Investment Law No. 77 have
been developed by Cubanacan with Grupo Sol Melia (Spain), LTI (Germany),
Golden Tulip (Holland), and SuperClubs (Jamaica).
[Grupo Hotelero Gran Caribe S.A.]{.underline} operates more than 40
hotels classified as four and five star hotels. Gran Caribe hotels have
9,500 rooms for tourists scattered throughout the country, but are
located mainly in Havana and Varadero. In addition, the group operates
three primary tourist attractions in Havana, the Restaurant La Bodeguita
del Medio, Bar and Restaurant La Floridita and the Cabaret Tropicana.
[Horizontes Hoteles S.A.]{.underline} is a hotel chain, mostly three and
four stars, with more than 7,000 rooms. Horizontes also operates
facilities with mineral water baths, treatment for stress, etc. One spa
(centro hospitalario que atiende multiples enfermedades) treats patients
with health problems characteristic of the Caribbean.
[Grupo de Recreacion y Turismo Rumbos S.A.]{.underline}, founded in
1994, has grown approximately 20% annually. It operates facilities for
both national and international tourists in Cuba\'s major tourist cities
and rustic locations. Rumbos is diversified, and has established
businesses in: a travel agency; various types of restaurants, including
fast food (comidas rapidas, restaurantes y parrilladas); small lodges in
cities, on beaches, in the country, at golf courses, airports, and
marinas; and eco-tourism with 40 routes. Currently, Rumbos is planning
eight new golf courses to meet the standards for both international golf
amateurs and professionals.
[Compania de Marinas Puerto Sol S.A.]{.underline} was created to develop
marinas, piers, recreational boat activities, etc. The company owns 390
two star and local hotels to meet the needs of tourists and nationals.
[Grupo de Turismo Gaviota S.A.]{.underline} is a tourism company
controlled by the Revolutionary Armed Forces. It is dedicated to
operation of four and five star hotels, development of marinas,
restaurants and cafeterias, recreational water facilities, and health
facilities for tourists. It also operates a transportation company that
offers tourist buses and rental of automobiles and taxis.
[Habaguanex S.A.]{.underline} belongs to the historical office of Havana
(Oficina del Historiador de la Ciudad). It was established to develop
three and four star hotels for international tourists in the Historic
Center of Old Havana (Centro Historico de la Habana Vieja). Currently,
it is renovating various hotels and opening restaurants in the oldest
part of the city.
[Islazul S.A.]{.underline} was established to develop two and three star
hotels for international tourists seeking low-cost accommodations.
[Complejo de Convenciones]{.underline} includes operation of the Palace
of Conventions (Palacio de las Convenciones), Hotel Palco, the
restaurants, Rancho Palco and El Palenque, and Club Habana. It also
administers the Sala de Expocisiones (PABEXPO), the Mansion Residencial
(Casa de Protocol \-- House of Protocol), and the auto rental agency,
Palcocar. Basically, the complex specializes in the development of
tourist events and conventions.
A few foreign companies have negotiated contract agreements that permit
them to import food directly for their tourist facilities. Foreign
companies having arrangements under Foreign Investment Law No. 77 with
the Cuban companies often operate as hotel administrators and assume
responsibility for food and beverage services. Some have taken equity
positions in the hotels owned by the holding companies. These include,
among others: Grupo Sol Melia and Hoteles C from Spain; Accor and Club
Med from France; LTI and RIU from Germany; Delta Hotels and Resorts,
Commonwealth Hospitality Ltd., and Liesure Canada Inc. from Canada;
Viaggi di Ventaglio and Press Tours from Italy; and SuperClubs from
Jamaica. About 30% of Cuba\'s hotels involve investments with foreign
companies. There are no totally foreign owned hotels in Cuba.
Food Manufacturers
Food processors in Cuba import substantial amounts of food ingredients
for use in the manufacture of food products. About 20% of the national
production is sold for dollars, either through sales for dollars in Cuba
or by exporting.
All food manufacturers in Cuba are under the jurisdiction of the
Ministry of Food Industries (Ministerio de la Industria
Alimenticia\--MINAL), created in 1965. MINAL oversees industries
manufacturing, principally, milk and meat products, cereals,
confections, bread, biscuits and crackers, pastries, fruit and vegetable
products, alcoholic beverages, water, soft drinks, and beer. Industries
milling bulk commodities, such as wheat and rice, also are under the
jurisdiction of MINAL.
At the time of the establishment of the Ministry of Food Industries,
Cuba was importing most of the processed food consumed. In addition,
most of the primary material used by the existing national food
manufacturing industry was imported. There was little growth in food
processing until food research centers were introduced. Between 1970 and
1975, the Food and Agricultural Organization of the United Nations and
the governments of Sweden and the Netherlands provided financing for
pilot plants devoted to applied research in the lactic, meat-processing,
and vegetable and fruit-preserving branches.[^12]
International assistance from 1975 to 1990 for research and development
in Cuba\'s food industry led to substantial growth in food
manufacturing. Production increases during this period included: canned
meats, 157%; canned fruits and vegetables, 66%; cheeses, 143%; and wheat
flour, 126%. The number of production lines had grown from 57 in 1975 to
more than one thousand by 1989.
With the loss of Soviet and Eastern Block trade preferences in 1989 and
1990, there was a progressive decline in Cuban production in general
until the mid-1990s. Food industry executives were forced to introduce
products that made it possible to raise production volumes through
increased use of extenders and substitutes in products destined for the
domestic market. The imperative was to maintain nutritional values
despite a reduction in agricultural production, especially of meat
products.
Between 1989 and 1994, the worst period for the Cuban economy, the food
processing industry registered a dramatic decline of 42% in the value of
its output, along with a reduction of 74% in national raw-material
supplies from the agricultural sector, and a 34% drop in imported raw
materials.[^13]
In 1994, Cuba\'s production of manufactured food products was 45% of the
output in 1989. The output of beverages was 56%. By 2000, beverage
production had increased to 81% of the 1989 level. Food manufacturing
increased more slowly, reaching only 54%. While the food industry has
had significant growth since 1994, production remains substantially less
than the output level of more than a decade earlier.[^14]
Production lines that are growing the most include: beer, soft drinks,
mineral water, alcoholic beverages for export, powdered milk, pastas,
flour, soft cheese, ice cream, and yogurt. Wheat flour production also
showed some increase, while milled rice production decreased
substantially. In 1998 the value of production among eight \"Uniones\"
in MINAL was \$1.25 billion. About \$25 million was destined for dollar
earnings, either through the dollar stores or by exporting. Growth of
production in 1998 was 27% more than the year before. (More recent data
are not available to the authors at this time.)
Sixteen of Cuba\'s food manufacturing companies are joint ventures and
12 are Cooperated Production Agreements.[^15] Each of the 16 mixed
enterprises are associated with Coralsa (La Corporacion
Alimentaria\--CORAL S.A.), a holding company constituted within MINAL in
1996. The Ministry restructured in the mid-1990s to promote increased
support for food industry firms operating with foreign capital.
Participation of Coralsa in the 16 enterprises ranges from 40% to 50%.
Fixed assets of the companies at the time of restructuring were placed
at \$36 million. They had \$4 million in working capital and \$25.5
million in the process of investment.
Enterprises associated with Coralsa produce and market sausages, candies
and confections, products derived from wheat, instant beverages, wines,
beers, soft drinks and mineral waters, as well as technological and
refrigeration equipment for the food industry. In 1994 the mixed
enterprises had a combined value of production of \$20 million. By 2000
the value of production of the mixed enterprises had reached \$140
million.[^16]
Another area of activity in the Cuban food industries sector has been
the overseas food processing operations in which there is Cuban capital
and technology. A portion of the earnings from these industries is
returned to Cuba. Cia. De Tasajo de Uruguay, for example, was
established in Uruguay to process jerked beef and other meat products
for export to Cuba and other Latin American and African countries. A
Coralsa-owned company, Carnes del Mercosur S.A., located in Cuba,
imports and markets the products in Cuba for the internal market.
Institutions and the Role of Alimport
All dollar purchases of food for use in institutions are conducted
through Alimport, a government-owned company operating under the
auspices of the Ministry of Foreign Trade. Alimport decides who to do
business with, what quantity to buy based on end customers\' needs, and
negotiates and fixes prices. It also decides buying terms depending on:
seller, delivery terms and place, financial facilities, and freight
advantages.[^17]
For FAS and FOB operations, Alimport relies on a logistics group in
charge of chartering vessels and monitoring the whole process of
transportation from the operational standpoint. Alimport works with
Cuban flag vessels, brokers, or directly with foreign flagship owners,
and agrees on terms and operates with them as per international practice
standards.
For CFR, CIF, CPT and CIP operations, the Alimport logistics group
ensures shipping terms are in accordance with contract terms. It also
follows up on shipment and carriage of goods until delivery at port of
destination. Alimport negotiates and agrees on discharging terms with
port terminal and stevedoring companies. According to Alimport\'s
president, Alimport looks after needs of its end-customers and its
purchasing strategy is based on such needs.[^18]
In May of this year, the Cuban government designated Alimport as the
exclusive purchasing agent for U.S. based companies that want to export
food products direct from the United States to Cuba. Alimport will
purchase agricultural and branded food products from U.S. based
companies and re-sell, or transfer, the products to other Cuba-based
companies.[^19]
# Estimated Value of the Dollar Food Market
Data are not available to indicate the value of food imported or
produced domestically for each of the four major areas distributing
dollar foods and beverages dollar stores, tourist hotels and
restaurants, food manufacturers and institutions. Data and information
that are available, however, indicate food imports amount to
approximately \$650 to \$700 million, or about 14% of Cuba=s total
imports.[^20]
Approximately half of the food imported by Cuba meets the
classifications of intermediate and consumer-ready products. The
remaining half consists of bulk commodities, such as wheat, coarse
grains, pulses, and rice. Pulses and rice may enter the dollar store
market direct, as well as be provided to ration stores and institutions.
Most of the bulk and some of the intermediate products are resold to the
food manufacturing companies. A large percentage, perhaps 50%, of the
food products imported are resold through dollar stores and the tourist
hotels and restaurants.
Food products sold through the Ministry of Agriculture to the tourist
sector and dollar stores in 2001 totaled \$167.5 million, an increase of
3.46% compared to gross revenues of US\$161.7 million reported in
2000.[^21] Cuba reported gross revenues from marketing agricultural
commodities to the tourism sector of US\$59 million in 1998 and US\$70
million in 1999. Allowing for continued growth, an estimated value of
food produced under the auspices of the Minister of Agriculture and sold
for dollars this year could reach \$170 million to \$200 million.
Processed foods sold through the Ministry of Food Industries to the
tourist sector and dollar stores, assuming most of the mixed enterprise
production and some of the national company production enter the dollar
market, could range from \$200 million to \$300 million.
The value of products grown in Cuba by mixed enterprises is unknown, but
could range from \$20 to \$30 million. Food from domestic production
sold in Paladares for dollars is estimated to be relatively small.
Combining the estimated data provides a total of all foods sold in Cuba
for dollars to an estimated level ranging from \$800 million to \$1
billion.[^22] Tourists[^23] and foreign businessmen[^24], along with
Cubans who receive dollars through remittances, and various means, are
the sources of hard currency to buy the dollar foods.[^25]
The European Union and Canada provide about half of the food imports,
while Mexico, and Latin American (Argentina and Brazil for soybean
products) and Asian countries (China, Thailand and Vietnam for rice
imports) are also important sources of food imports. More than half of
Europe=s agricultural exports to Cuba, which totaled \$185 million in
1999, consisted of wheat flour, vegetable oils and consumer-ready
products, primarily dairy products and poultry meat. Wheat accounted for
about 45% of the total. Canada=s agricultural exports to Cuba, \$115
million in 1999, were largely (83%) pulses and consumer-oriented
products, such as red meat, poultry and dairy products.
Factors Affecting the Current Market
10 Cuba\'s purchasing and distribution system for dollar foods is an
intricate network of organizations authorized to import and distribute
food products in Cuba for dollars. Organizations include government
agencies, state-owned companies, mixed enterprises, associated foreign
firms and licensed private restaurants. They all purchase and/or sell
food directly or indirectly for dollars in Cuba.
20 TRDs (dollar stores) and the tourist hotels and restaurants are the
primary markets for dollar foods in Cuba. Ration stores, institutions
and food industries provide the largest market for bulk commodities, and
an important market for foods classified as intermediate and
consumer-oriented products.
30 Alimport is the country\'s largest food importing company. Food
imported by Alimport is distributed to Cuban consumers for pesos, or
sold for dollars through various channels. Distribution of food sold for
pesos is made through ration stores and government institutions. Some of
the food products and beverages imported by Alimport are sold for
dollars through dollar stores, tourist facilities, and food processors.
Government tourist hotel and restaurant holding companies, government
agencies importing for dollar stores, and mixed enterprises operating
tourist facilities are also important importers of food sold in Cuba for
dollars.
Factors Affecting the Future Market
10 The decision by the government of Cuba to make Alimport the exclusive
importing agency for food and agricultural products from the United
States raises questions regarding market strategy for U.S. exporters.
For example:
> a0 Will Alimport increase food imports from the United States to
> replenish the country\'s food reserves diminished by Hurricane
> Michelle? If so, the potential market would appear good for food
> products, such as rice, pulses, vegetable oil, dairy products, chicken
> meat, and wheat flour.
>
> b0 A large number, reportedly 50 to 100[^26], Cuba-based mixed
> enterprises,
>
> international association contract entities and government-owned
> companies have
>
> authorization from the Cuban government to import food products. Since
> November 2001, many of these companies have established contacts with
> U.S.-based companies. Will these companies be able to import the
> products they want through Alimport?
>
> c0 Also, will any of Cuba\'s authorized importing companies, other
> than Alimport, be permitted to import U.S. branded products from third
> countries, or will Alimport be the exclusive importer of these
> products?
40 Growth of Cuba\'s dollar food market, to a large extent, is
contingent on continuation of a relatively high level of remittances,
and increases in tourism and foreign investment. With elevated security
concern worldwide following events on September 11, 2001 in the United
States, and economic recession in Canada and Europe, growth of tourism
in Cuba has decreased. Foreign investment also appears to be on a
descending trend. With less tourist growth and shrinkage of disposable
income for tourists, as well as reduced foreign investment, Cuba\'s
dollar food market could be affected negatively.
50 Perhaps the greatest unknown is the future of travel restrictions for
U.S. tourists to Cuba. Lifting of the U.S. imposed restrictions on
travel could result in a large number of tourists going to Cuba. This
would create a substantial increase in demand in Cuba for dollar food
and beverage products.
**For more Reports on Cuba, please contact our office:**
**Caribbean Basin Agricultural Trade Office**
**Foreign Agricultural Service**
**United States Department of Agriculture**
909 SE 1^st^ Ave, Suite 720
Miami, FL 33131
Phone: (305) 536-5300
Fax: (305) 536-7577
email: [[email protected]]{.underline}
website: [http://www.cbato.fas.usda.gov]{.underline}
Margie Bauer, Director
Email: [[email protected]]{.underline}
Courtesy Professor and Research Associate, respectively, Department of
Food and Resource Economics, Institute of Food and Agricultural
Sciences, University of Florida. Based on a paper presented at the
Annual Meeting of the Association for the Study of the Cuban Economy
held in Coral Gables, Florida, August 1-3, 2002. Contact
[[email protected].]{.underline}
[^1]: The authors are Courtesy Professor and Research Associate,
respectively, Department of Food and Resource Economics, Institute
of Food and Agricultural Sciences, University of Florida. A more
detailed report on Cuba\'s dollar food market will be available
later this year. For a copy, contact [email protected].
[^2]: As used in this paper, the term \"dollar foods\" refers to food
and beverage products, whether imported or produced domestically,
that are sold to consumers, either foreign or Cuban, for dollars.
Dollar foods also include ingredients purchased with dollars or sold
for dollars by the food processing industry.
[^3]: Caribbean Basin Agricultural Trade Office of the USDA/Foreign
Agricultural Service in Miami. See recent reports on food laws and
the food service sector, GAIN Reports #CU2001, 2002, and 2003.
[^4]: ibid.
[^5]: Paladar, translated means palate or taste, but the origin of the
use for the Cuban family restaurants is said to be taken from a
Brazilian soap opera. The main character goes to the capital and
establishes a chain of small restaurants called Paladares.
[^6]: Henken, Ted. Tulane University. Procedings of the Tenth Annual
Meeting of the Association for the Study of the Cuban Economy
(ASCE), Miami, Florida, Aug. 3-5, 2000, p. 331.
[^7]: Cuba: A Guide for Canadian Businesses. Department of Foreign
Affairs and International Trade. The Canadian Trade Commissioner
Service, June 1999.
[^8]: Dr. Armano Nova Gonzalez, Profesor Titular Adjunto de la
Universidad de La Habana, Cuba\--Reflexiones Sobre su Economia,
2002, p. 193.
[^9]: ibid.
[^10]: For detailed information on the internal markets, including price
comparisons and an explanation of why consumers buy at TRDs when the
same product can be purchased for less at other markets, see Jose
Alvarez\'s article on page 305 of Cuba in Transition, Volume 11,
ASCE, Washington, D.C., 2001.
[^11]: Dr. Miguel Alejandro Figueras Perez. Cuba\--Reflexiones sobre su
Economia, 2002 p. 111 and 112.
[^12]: Business Tips on Cuba, August 1996, p. 20.
[^13]: op. cit., p. 18.
[^14]: Anuario Estadisticas de Cuba 2000. Capitulo VIII Sector
Industria.
[^15]: Dr. Omar Everleny Perez Villanueva. Cuba\--Reflexiones Sobre su
Economia, 2002 p. 90.
[^16]: Perez Villanueva. op. cit., p. 90.
[^17]: Presentation by Mr. Pedro Alvarez Borrego, President of Alimport,
Agricultural Sales Conference, Cancun, Mexico, Jan. 30-Feb. 2, 2002.
[^18]: ibid.
[^19]: On May 12, 2002, the president of Alimport reported that Alimport
would be the exclusive agent in Cuba for U.S. based companies.
U.S.-Cuba Trade and Economic Council.
[^20]: Estimate by authors based on USDA/FAS data showing about \$600
million in 1999 for food imports.
[^21]: U.S.-Cuba Trade and Economic Council. March 18, 2002.
[^22]: This is a preliminary estimate by the authors. It is hoped that a
more substantiated estimate can be included in the study underway.
(A reminder that an estimate of value of food entering the dollar
market in Cuba does not include food imported by Cuba that enters
the peso and institutional markets.)
[^23]: Tourists pay for food with hard currency at tourist hotels, and
provide tips for services. Those dollars are used, largely, to make
food and other purchases in the dollar stores.
[^24]: Some mixed enterprises supplement workers\' income with dollars,
either through negotiated arrangements with the Cuban government or
through other means. The dollars are then used by the Cuban workers
to purchase dollar foods and other dollar items.
[^25]: Remittances, money sent to Cubans by family members and other
contributors living overseas, are generally estimated to range
between \$600 million and \$1billion annually. These dollars, while
the route may not always be direct, end up primarily being used in
the dollar stores.
[^26]: Caribbean Basin Trade Office, USDA/FAS. (More than 300
state-owned , but decentralized, enterprises had been licensed to
import all products as of 1999 by the Ministerio del Comercio
Exterior (MINCEX), Ministry of Foreign Trade, according to the
Canadian Department of Foreign Affairs and International Trade.)
|
en
|
markdown
|
294346
|
# Presentation: 294346
## Enforcement of IP Rights – Private Responsibilities and Government Solutions
- Office of External Affairs
- United States Patent and Trademark
**Notes:**
Speak to you on how to enforce your IP Rights.
The question we’ve posed in the agenda is “Who is responsible for enforcing my IP rights?” The answer is you are, as the owner of the IP.
In a sense, IP rights are no different than regular property rights. As a property owner you are responsible in protecting your own personal property. The government can help you, and when transgressions against those rights occur, just as in the case of real property, the government can step in and provide solutions. Thus we have our title “Enforcement of IP Rights Private Responsibilities and Government Solutions.”
Actually, we will look at this as a three step process:
1- is to identify your IP. In other words, locate or find out what you have to protect.
2- once you have found the IP, then claim it as your own.
3- is enforcing the IP rights. That is once we’ve identified it, claimed it and have rights in it, how do we enforce it and stop others from taking it away or using it without our permission.
Following this presentation, we will be answering the question “Where Can I Go For Help Locally?”
I will touch on this issues, but in the upcoming presentation will discuss in more depth, what resources we as the government can provide to help you enforce those rights that you have acquired.
## Protecting Your Intellectual Property Rights
*How do you protect your IP rights?*
*Take a Three-Step Approach!*
- 1. Identify IP
- 2. Secure IP
- 3. Enforce IP
**Notes:**
Again, three step process. Will cover---
How to identify your IP.
How to locate and identify your IP assets
(IP audit)
How to secure your IP?
Strategic and Operational Measures
Tips to prevent the theft of your intellectual property before it happens
(Contracts with employees, conducting due diligence before transaction, etc.)
3. How to enforce your IPR?
Legal Measures To Remedy Theft
Understanding options if your intellectual property is stolen
## STEP 1) Identify IP
Conduct an “Internal IP Audit” to identify:
What is already protected?
What else can be protected?
- Conduct an “Internal IP Audit” to identify:
*What is already protected?*
*What else can be protected?*
- Protecting Your Intellectual Property Rights
**Notes:**
In order to protect your company’s IP, you will first need to identify your company’s IP.
Earlier today you learned of the different forms of IP. Now, we will have to apply that knowledge and analyze the various components of your business.
there are materials for which the business already may have protection
(things that are already registered or are in the process of being registered, such as pending applications)
2) then the analysis turns to determining what can be afforded protection.
## Conducting an Internal IP Audit
Trademarks:
Registered Marks (Foreign and Domestic)
Business Names (Registered, DBA)
Words, Slogans
Logos, Icons, Graphics
Domain Names
Product Packaging/Configuration
Website Design
Sound, Color, Scent
Trade Dress:
Packaging
Point-of-sale Displays
Website Design
- Trademarks:
*Registered Marks (Foreign and Domestic)*
*Business Names (Registered, DBA)*
*Words, Slogans*
*Logos, Icons, Graphics*
*Domain Names*
*Product Packaging/Configuration*
*Website Design*
*Sound, Color, Scent*
- Trade Dress:
*Packaging*
*Point-of-sale Displays*
*Website Design*
- Identifying Your Intellectual Property
**Notes:**
First- Assessment
What Trademarks do you own or Potentially have?
Anything capable of identifying/distinguishing your business
Registered marks (domestic and foreign)
Pending applications
Business names
Logos
Slogans
Domain names
Trade Dress:
Product packaging or configuration
Website Design
Remember: Anything used to identify or distinguish the source of goods
## Conducting an Internal IP Audit
Copyrights:
Registered Copyrights
Written Materials (Books, Manuals, Advertising)
Photographs
Illustrations
Computer Software
Music
Film/Video
Website Content
- Copyrights:
*Registered Copyrights*
*Written Materials (Books, Manuals, Advertising)*
*Photographs*
*Illustrations*
*Computer Software*
*Music*
*Film/Video*
*Website Content*
- Identifying Your Intellectual Property
**Notes:**
Next- Evaluate your copyrights
Determine what you have that you have copyrighted or can protect via copyright
Copyrights:
Registered Copyrights
Written Materials
Photographs
Illustrations
Computer Software
Music/Film
Website Content
## Conducting an Internal IP Audit
Patents:
Issued Patents (Foreign, Domestic)
Pending Applications (Provisional, Non-Provisional)
Invention Disclosure Statements
Mechanical Devices
Electronic Devices
Medicine/Medical Devices
Chemical Composition/Process
Computer-Based Business Process (Software)
- Patents:
*Issued Patents (Foreign, Domestic)*
*Pending Applications (Provisional, Non-Provisional)*
*Invention Disclosure Statements*
*Mechanical Devices*
*Electronic Devices*
*Medicine/Medical Devices*
*Chemical Composition/Process*
*Computer-Based Business Process (Software)*
- Identifying Your Intellectual Property
**Notes:**
Next- What can you patent
Look for potential patentable items:
e.g.
Mechanical Device
Chemical Composition/Process
Computer-Based Business Process (aka Business method patents or software patent)
Generally, there are three broad categories of patentable subject matter: processes, machines and articles of manufacture and use.
A process could be a method for making something, a method for using something, or a method for doing something. Processes include business methods, most software, medical techniques, Machines include devices and apparatuses. Articles of manufacture include mechanical devices, electrical/electronic devices and compositions of matter such as chemicals, medicines, biotech.
## Conducting an Internal IP Audit
Trade Secrets:
Customer Lists
Pricing/Cost Data
Customer Information and Sales Practices
Business Plans
Financial Data/Forecasts
Manufacturing Techniques
Design Manuals
Production Processes/Specifications
Survey/Research Data (including negative R&D)
Computer Software (source code)
Employee Knowledge
- Trade Secrets:
*Customer Lists*
*Pricing/Cost Data*
*Customer Information and Sales Practices*
*Business Plans*
*Financial Data/Forecasts*
*Manufacturing Techniques*
*Design Manuals*
*Production Processes/Specifications*
*Survey/Research Data (including negative R&D)*
*Computer Software (source code)*
*Employee Knowledge*
- Identifying Your Intellectual Property
**Notes:**
Next step in the Audit is examine business to determine what trade secrets you have to protect.
Next, determine if there are any Trade Secrets. Generally it is any information that is kept secret and provides a business with a competitive advantage.
Most business probably already have some that are protectable
Most common form of IP for a businesses. Can have an indefinite life, unlike patents
Unlike TM and patents, where federal law defines it, trade secret are covered by state law, so must look to the relevant state. But 44 states have adopted the Uniform Trade Secrets Act, so they have similar definitions.
It defines a trade secret as...(“... means information, including a formula, pattern, compilation, program, device, method, technique, or process, that: (1) derives independent economic value, actual or potential, from not being generally known to, and not being readily ascertainable by proper means by, other persons who can obtain economic value from its disclosure or use, and (2) is the subject of efforts that are reasonable under the circumstances to maintain its secrecy.”
For example-
Customer Lists
Pricing/Cost Data
Customer Information and Sales Practices
Business Plans
Financial Data/Forecasts
Manufacturing Techniques
Design Manuals
Production Processes/Specifications
Survey/Research Data (including negative R&D)
Computer source code
Employee Knowledge (inevitable disclosure theory)
-------Anything that that you have that if your competitor found out would give him an advantage
##
STEP 2) Secure IP
Confirm Ownership
Register/File for Protection
Maintain IP
_*STEP 2*_*) Secure IP*
- Confirm Ownership
- Register/File for Protection
- Maintain IP
- Protecting Your Intellectual Property Rights
**Notes:**
Once identified and determined what’s important, you can take steps to secure your IP
## Confirm Ownership of IP
Employee Contracts
Intellectual Property Assignments
License Agreements (In-Licensing and Out-Licensing)
Cooperative Research Agreements
Financing Agreements
Security Interests
Public Filings
Outside Contractor Agreements
Work-for-Hire Doctrine
- Employee Contracts
- Intellectual Property Assignments
- License Agreements (In-Licensing and Out-Licensing)
- Cooperative Research Agreements
- Financing Agreements
- Security Interests
- Public Filings
- Outside Contractor Agreements
- Work-for-Hire Doctrine
- Securing Your Intellectual Property
**Notes:**
1. CONFIRM YOU OWN THE IP
Review all documents and filings affecting title to IP to confirm a complete chain of title.
Review licenses and any contractual assignments.
Security interests, releases of security interests, changes of name
Review financing agreements, how is IP tied in?
Compare against information available to the public at the U.S. Patent and Trademark Office and the U.S. Copyright Office.
Have employees (or other parties) signed over the rights if they were involved making the IP?
Work-for-hire doctrine-
The general rule is that the person who creates a work is the author of that work. There is an exception to that principle called “works made for hire.” If a work is “made for hire,” the employer, and not the employee, is considered the author. The employer may be a firm, an organization, or an individual. Look to certain factors that characterize an “employer-employee” (Control over employee, status, (benefits, taxes) The closer an employment relationship comes to regular, salaried employment, the more likely it is that a work created within the scope of that employment would be a work made for hire.
## Register IP / File for Protection
U.S. Patent and Trademark Office
Foreign patent and trademark office
State-level trademark office
U.S. Copyright Office
Domain name registrar
No filing requirements for trade secrets
- U.S. Patent and Trademark Office
- Foreign patent and trademark office
- State-level trademark office
- U.S. Copyright Office
- Domain name registrar
- No filing requirements for trade secrets
- Securing Your Intellectual Property
**Notes:**
Once you have identified it- Prioritize IP to be pursued and protected
Those that provide real competitive advantage
Those have value in licensing, including cross-licensing
Those that enhance asset base of business
Those that can be used defensively to block competitors (specific for patents)
Evaluate benefits of protection vs. costs in getting protection
Patent filings are costly (financially and time-wise)
Consider maintaining as trade secret, instead of publicly filing for a patent.
2. REGISTER YOUR IP
Register your trademark with USPTO
File application for patent protection with USPTO
- maybe only a provisional patent applications (to lock in date of invention)
- maybe maintain invention as a trades secret and do not file for patent.
Register your copyrights with the U.S. Copyright Office at the Library of Congress
Can also file trademark at state level
Register with Customs (discuss later as part of administrative enforcement)
## Maintain IP
Pay maintenance and renewal fees
Safeguard your trade secrets
Internal Measures (inside your business)
External Measures (dealing with 3rd parties)
- Pay maintenance and renewal fees
- Safeguard your trade secrets
- Internal Measures (inside your business)
- External Measures (dealing with 3rd parties)
- Securing Your Intellectual Property
**Notes:**
MAINTAIN YOUR IP
Pay Maintenance fees and renewal fees,
**esp. for domain names
Protect Confidential Trade Secret Info. from disclosure (only considered a trade secret if business takes steps to keep the information confidential.
2.A. Internal measures to maintain secrecy
2.B. External measures to maintain secrecy.
## Safeguard Trade Secrets
Internal Measures:
Mark all trade secret and confidential documents “CONFIDENTIAL.”
Limit access and distribution of confidential documents to necessary employees.
Retrieve and shred any distributed documents.
Restrict physical access, lock premises, file cabinets, etc.
Use computer encryption, password protection, network security, esp. with laptop users.
- Internal Measures:
- Mark all trade secret and confidential documents “_*CONFIDENTIAL*_.”
- Limit access and distribution of confidential documents to necessary employees.
- Retrieve and shred any distributed documents.
- Restrict physical access, lock premises, file cabinets, etc.
- Use computer encryption, password protection, network security, esp. with laptop users.
- Securing Your Intellectual Property
**Notes:**
How to Protect trade secrets -
Implement protective measures-
Company policies and Employee Policies are very important
For Sensitive information be careful about:
Marking – “confidential” – everyone on notice that it is valuable information
Protection – physically secure the information
Storage – limit distribution
Transmission – be careful on how easily distributed case. Growing threat is use of small transportable USB/flash drives to store company data. Likely that the ease of which these can be lost, high risk of compromising trade secret info.
Destruction – shred and make sure documents are returned (e.g. failed mergers, departing employees, etc.).
If you don’t implement protective measures you jeopardized your trade secrets.
## Safeguard Trade Secrets
Internal Measures:
New Employees
Non-Disclosure/Confidentiality Agreements
Non-Compete Agreements
IP Assignments
Employee Manual
Policy and procedures on treatment of confidential and trade secret information.
Departing Employees
Return all confidential and trade secret materials.
Exit interviews to reconfirm non-disclosure and non-complete obligations.
- Internal Measures:
- New Employees
- Non-Disclosure/Confidentiality Agreements
- Non-Compete Agreements
- IP Assignments
- Employee Manual
- Policy and procedures on treatment of confidential and trade secret information.
- Departing Employees
- Return all confidential and trade secret materials.
- Exit interviews to reconfirm non-disclosure and non-complete obligations.
- Securing Your Intellectual Property
**Notes:**
Implement Internal Measures to safeguard trade secrets.
1. Non-Disclosure Agreement aka Confidentiality Agreement
A contract where a party promises that information conveyed will be maintained in secrecy. Trade secrets- only recognized if you keep them secret. Can also protect information that is not necessarily a trade secret. Can be used for non-employees also, such as in negotiations with 3rd parties to protect your IP/ confidential information.
2. Non-Compete Agreement
A contract where an employee agrees not to work for a direct competitor for a certain amount of time after leaving your company. Rule of reason (i.e. 1 year, limited geographically). Be sure to check state jurisdiction, b/c governed by state law. California has state laws that heavily restrict).
IP Assignment– Assigns ownership of that is created to employer/business.
EMPLOYEE MANUAL-
Enact policy and procedures regarding treatment of confidential information. Distribute to new employees. May courts consider terms within as if it’s a contract with the new employee.
Explains-
1. Marking things confidential, limiting distribution, using passwords...
2. For science-related business, where publications and speeches are popular explains when employees can make speeches and publications. Implements a review process for trade secrets
3. Procedure for submission of ideas and new patents; explains Invention Disclosure Statements; how to maintaining an Inventors Notebook (important to identify date of creation for patents)
FOR DEPARTEING EMPLOYEES- Conduct an Exit interviews-
Return and account for all confidential information.
Provide them copy of their NDA or non-compete
Remind them of their obligations –
Have them execute an “Acknowledgement” a document where that recognize their continuing obligations
Make sure exit process is uniform (1 person in HR do it) for consistency.
OTHER POLICIES-
Cultivate an awareness of IP among employees
Screen new employees for high ethical standards
Train employees and managers on safeguarding IP
## External Measures to Safeguard IP
Conduct IP Review of Transaction:
Identify the IP
Verify Ownership/Proper Chain of Title
Review Underlying Documents
(e.g. assignments, licenses, registrations, applications, financing agreements)
Assess the 3rd Party
Lawsuits/Threatened Claims
- Conduct IP Review of Transaction:
- Identify the IP
- Verify Ownership/Proper Chain of Title
- Review Underlying Documents
- (e.g. assignments, licenses, registrations, applications, financing agreements)
- Assess the 3rd Party
- Lawsuits/Threatened Claims
- Securing Your Intellectual Property
**Notes:**
In addition to Internal Controls you need External Controls
For many companies, the way they acquire their IP is through a 3rd party transaction.
Important with any business transaction to conduct due diligence
Transaction can be:
Acquisition
Merger
Licensing
Joint-Venture
Sale
Out-sourcing
Transactional Due Diligence- (obvious questions, but must be methodical)
Identify the IP
What is it?
– Do they/ have authority to buy/sell/license the IP?
Identify IP Owner
Are there proper assignments agreements? ...with proper consideration ... exclusive or non-exclusive...
Carefully review esp. in start-ups (ex. Employee invents something, company assumes it is theirs, files for patent, wants to license it... did employee sign a contract signing over invention?)
That’s why IP Assignments very important when hire new employees
- find out the policies they have to protect IP (ex. confirm NDAs are in place).
Any 3rd Party claims? Threats of lawsuits?
Examine the 3rd party – whether it’s a potential partner, vendor, outside contractor, consultant, licensor.
Want to know with whom you’re dealing. Do not share tech. and business secrets too readily
## External Measures to Safeguard IP
Conduct IP Review of Transaction:
Confidentiality/Non-Disclosure Agreement
Exclusivity
Territoriality
Field of use
Quality control
Inspections/Audits
Indemnification
- Conduct IP Review of Transaction:
- Confidentiality/Non-Disclosure Agreement
- Exclusivity
- Territoriality
- Field of use
- Quality control
- Inspections/Audits
- Indemnification
- Securing Your Intellectual Property
**Notes:**
External Measures to Safeguard IP
Before you enter into the transaction and reveal anything valuable-
Enter into NDA/Confidentiality Agreement - Protects your information in case deal doesn’t go through
Conduct IP Review of Transaction: Assess the Transaction-
If it’s a licensing agreement- is it
Exclusive or non-exclusive?
Can you sublicense?
What the scope?
What territory?
What time frame?
What field of use?
How will you make sure your IP is protected by the licensor?
Indemnification Clause in K- in case you get sued because the licensor didn’t really own the IP or because it may infringe some other IP
These are things to consider when entering into any IP transaction.
## External Measures to Safeguard IP:
Review market
Monitor competitor’s filings
Risk assessment
Maintain internal controls
Audit licensees
Private investigators
Take action to enforce when necessary
- Review market
- Monitor competitor’s filings
- Risk assessment
- Maintain internal controls
- Audit licensees
- Private investigators
- Take action to enforce when necessary
- Securing Your Intellectual Property
**Notes:**
Constantly Police your IP
Periodic review of market in key areas
Have employees monitor and report on new developments
Review competitors’ filings and registrations
Monitor internal controls to maintain secrecy safeguards.
Monitor and audit licensee’s to ensure compliance with licensing agreements
If infringement noticed. Take action, otherwise you risk waiver,
or barred by statute of limitations,
or court may consider consented.
## Protecting Your Intellectual Property Rights
_*STEP 3*_*) Enforce your IP*
- Legal Options:
- Civil
- Criminal
- Administrative
**Notes:**
Now that we have gone through and identified your intellectual property, and we have taken steps to secure rights in the intellectual property.
Need to enforce those rights...
How to enforce your IPR?
Legal Options To Remedy Theft:
Civil
Criminal
Administrative
## Enforcing Your Intellectual Property Rights
- Legal Options:
- 1. Civil
- State and Federal
- Alternative Dispute Resolution (ADR)
- 2. Criminal
- U.S. Department of Justice
- 3. Administrative
- U.S. Customs (Border Enforcement)
**Notes:**
Outlines the Legal options - if your intellectual property is stolen
Civil System
File Lawsuit in State or Federal Court
Consider Alternative Dispute Resolution (ADR)
Criminal System – Have criminal proceedings brought
U.S. Department of Justice
Administrative System – Seek administrative assistance
U.S. Customs (Border Enforcement)
U.S. Patent & Trademark Office
## Enforcing Your Intellectual Property Rights
- Enforcing IP Rights Through Civil System:
- Determine if IP infringed
- Send cease and desist letter
- Negotiate or enter into licensing agreement
- File claim
**Notes:**
Enforcing IP Through the Civil Court System:
First must determine whether your IP has been taken or copied
Need to make an infringement determination or if its trade secret whether its been misappropriated
Discuss Later in detail on the elements of infringement
If Infringed, Send Cease and Desist Letter
Negotiate or Enter into Licensing Agreement
File Claim By Court System or ADR (such as mediation or arbitration)
IP Litigation gets expensive very quickly, so considering ADR or entering into licensing agreement are important options
## Enforcing Your Intellectual Property Rights: Civil
*If Your IP Rights Have Been Infringed?*
- Methods of Resolving IP Disputes:
- Negotiate/Enter into Licensing Agreement
- Cease and Desist Letter
- File Lawsuit
- Alternative Dispute Resolution
**Notes:**
If you determine that your IP has been stolen, what next steps do you take?
Contact other party and negotiate/ enter into licensing agreement (should be an option throughout the process)
Send out a Cease and Desist Letter
Consider ADR
File Lawsuit
## Enforcing Your Intellectual Property Rights: Criminal
- Enforcing IP Through the Criminal System:
- U.S. Department of Justice
- Criminal Division: Computer Crime & Intellectual Property Section (CCIPS)
- U.S. Attorney’s Office: Computer Hacking and Intellectual Property Units (CHIPS)
- Federal Bureau of Investigation
- U.S. Immigration & Customs Enforcement (ICE)
- Online IP complaint form at: http://www.ice.gov
**Notes:**
Now we will consider Criminal System to Enforce your IP
US DOJ does criminal prosecution and investigation of IP related-crimes.
Criminal Division: Computer Crime & Intellectual Property Section - prosecutor
U.S. Attorney’s Office: Computer Hacking and Intellectual Property Units (CHIPS) – prosecutors
Specialized CHIPS units in CA, FLA, MO, NJ, NY, PA, TX, VA, WA
FBI – investigators
US Immigration & Customs Enforcement
The National Intellectual Property Rights Coordination Center (IPR Center)
IPR Center- multi-agency Center responsible for coordinating a unified U.S. Government response regarding IPR enforcement issues
They have an online form you can inform them of piracy and counterfeiting you may know of.
## Enforcing Your Intellectual Property Rights: Criminal vs. Civil
- Majority of IP enforcement actions in U.S. is civil not criminal
- Criminal cases = Higher burden of proof
- (beyond reasonable doubt vs. preponderance of the evidence)
- Criminal cases = Higher thresholds for penalties
- Criminal remedies can include prison term
- Factors evaluating whether to charge criminally:
- Organized crime involvement
- Public health and safety concerns
- Commercial nature
- Amount of loss and harm
**Notes:**
Briefly Compare Civil vs. Criminal Enforcement of IP
Majority of IP enforcement actions in U.S. are civil not criminal
Burden of proof is more difficult in criminal cases
- beyond reasonable doubt and willful (criminal) –
- preponderance of evidence (civil)
Higher thresholds for liability-
felony copyright infringement more at least 10 copies valued at at least $2.5K w/in 180 days. (crim)
civil infringement (no minimums)
Criminal remedies can include prison term
Factors evaluating whether to charge criminally:
Organized crime involvement
Public health and safety concerns
Commercial nature
Amount of loss and harm
## Enforcing Your Intellectual Property Rights: Administrative
- Enforcing IP Rights Through the Administrative System
- U.S. Customs and Border Protection:
- Protects federally registered copyrights and trademarks that are recorded.
- Detention, seizure and forfeiture of merchandise.
- Enforce U.S. International Trade Commission exclusion orders.
- Right to act on its own (*ex officio* authority).
**Notes:**
Next look to how your can enforce your IP by the US Administrative System
U.S. Customs System
Provides protection for federally registered copyrights and trademarks that are also recorded with U.S. Customs. (separate from registering with PTO or Copyright Office)
Involved in the Detention, Seizure and Forfeiture of Fake Merchandise
Right to act on its own called Ex officio authority – random examinations, warehouse sweeps
Also, enforces exclusion orders issued by US International Trade Commission resulting from unfair import investigations (patents).
## Enforcing Your Intellectual Property Rights: Administrative
- U.S. Customs Recordation Procedure:
- Record registered trademark and copyrights for protection:
- Must first be _registered_ with USPTO or Copyright Office.
- Patents not covered.
**Notes:**
To get protection, must record your trademark and copyright with Customs.
- copyright or trademark must first have been be registered with USPTO or Copyright Office. (separate procedure)
- Patent not covered because would have to make legal determination of patent infringement (scope of claims, etc.)
## Enforcing Your Intellectual Property Rights: Administrative
- U.S. Customs Recordation Procedure:
- At any time, owners may provide U.S. Customs with information on suspected infringers:
- Importers
- Manufacturers
- Country of origin
- Transport mode
- Entry port
- Suspected dates
**Notes:**
Owners may provide U.S. Customs with information on suspected infringers:
manufacturer, country of origin, entry ports, suspected dates, any other information they may have.
Once you record your IP, US Customs puts your info into their database accessible by CBP officers across the country and at all ports of entry. Customs can then seize infringing goods, and can start administrative proceedings against seized goods.
## Enforcing Your Intellectual Property Rights: Administrative
- U.S. Customs Recordation Procedure:
- Trademarks recordation = as long as trademark is registered.
- Copyrights recordation = 20 years, unless the copyright expires before that time.
**Notes:**
Record your registered trademarks and copyrights with them:
Trademarks are recorded for a term of years to run concurrently with the underlying registration.
Copyrights are recorded for 20 years, unless the copyright registration expires before that time.
## Enforcing Your Intellectual Property Rights: Administrative
- U.S. Customs Recordation Procedure:
- File Recordation Application electronically, at:
- https://apps.cbp.gov/e-recordations
- Application in hard-copy available at:
- http://www.cbp.gov
## Enforcing Your Intellectual Property Rights: Administrative
- U.S. Customs and Section 337 Investigations:
- U.S. Customs enforces International Trade Commission (ITC) exclusion orders that bar the importation of infringing goods.
- Right-holder can initiate process by filing complaint of infringement or unfair practices with ITC.
- Usually involves patent rights, since Customs has no authority to make patent infringement determinations.
**Notes:**
Under Section 337 of the United States Tariff Act of 1930, imported products that allegedly violate United States intellectual property rights can be barred from entry into the United States. Complaints under Section 337 are made to the United States International Trade Commission (ITC), and generally involve allegations of infringement of intellectual property rights, i.e. patents, trademarks or copyrights. Relief, in the form of an exclusion order (import prohibition of a specific article) or a cease and desist order (an order prohibiting a party from importing) or both, may be granted to the successful complainant.
The ITC can initiate an investigation under section 337 in response to a complaint or on its own initiative.
## Enforcing Your Intellectual Property Rights: Abroad
- Office of the U.S. Trade Representative (USTR)
- “Special 301” Process:
- Procedure used to identify countries that deny adequate protection for intellectual property rights.
- Countries may be designated “Priority Foreign Country”, or placed on the “Watch List” depending on level of IP protection.
- May be subject to sanctions.
- Review conducted each year, but may also be initiated at any time.
**Notes:**
Next, if considering to distribute your IP abroad also be aware of the
Office of the U.S.Trade Representative
“Special 301”
Procedure used to identify countries that deny adequate protection for intellectual property rights.
Countries may be placed on the “Watch List” depending on level of IP protection.
May be subject to sanctions.
Review conducted each year, but also OCR (out-of-cycle) if needed.
Can be initiated by industry.
Ex. Ukraine was PFC, just taken off, Brazil subject to OCR
## Enforcing Your Intellectual Property Rights: Abroad
- Seek local support to enforce your IP rights:
- Contact the local trade associations for your industry
- Contact local American Chamber of Commerce
- Contact local officials who enforce IP rights
- Hire a lawyer in the foreign market:
- Should work jointly with your U.S. lawyer providing local expertise
- Protect and enforce IP rights based on local law
**Notes:**
When entering a Foreign Market you should:
Determine the IP climate and seek local support to protect your IP
Contact the local trade associations for your industry
Contact local American Chamber of Commerce
Contact local officials who enforce IP
Hire a lawyer in the foreign market
Should work jointly with your U.S. lawyer providing local expertise
Take steps to protect and enforce your IP, based on local law
Under TRIPS we are seeing some of the same procedures such a the Customs and Border Enforcement issues I discussed.
The tips I mentioned before on protection and enforcement in the U.S. are just as applicable and should be considered here.
## Strategy Targeting Organized Piracy (STOP!) Initiative
- Most comprehensive initiative ever advanced to combat piracy and counterfeiting.
- Dismantle criminal enterprises that steal IP.
- Help companies establish their rights in the U.S. and abroad.
- Reach out to our trading partners and build an international coalition to block fake goods.
- Maintains a telephone hotline to contact an IPR
- legal expert:
*1-866-999-HALT*
**Notes:**
Lastly I would like to remind everyone about the STOP initiative.
Established in October 2004
It is the most comprehensive initiative ever advanced to combat piracy and counterfeiting.
It is designed to crack down on counterfeit and pirated goods
And also help small and mid-sized businesses in protecting their IP rights
We maintain a telephone hotline at 1-866-999-HALT
where IP experts are available to answer any questions you may have related to IP enforcement issues.
## Protecting Your Intellectual Property Rights
*How do you protect your IP rights?*
*Take a Three-Step Approach!*
- 1. Identify IP
- 2. Secure IP
- 3. Enforce IP
**Notes:**
Recap- three step process.
## Enforcement of IP Rights – Private Responsibilities and Government Solutions
- Office of External Affairs
- United States Patent and Trademark Office
**Notes:**
I hope you have found this presentation helpful and I thank you for your time.
|
en
|
markdown
|
862357
|
# Presentation: 862357
## USPHS Office of Force Readiness and Deployment Response Readiness Training Lifecycle
- “A continuous continuum”
- 1 MAR 2007
## Force Readiness Training Life Cycle
- Based on the National Response Plan, National Incident Management System
- Meets S3678 Pandemic and All Hazards Preparedness ACT objectives, DHHS Secretary’s goals
- Provides successive training building blocks
## OFRD Training Groundwork
**Training is a continuous continuum;**
** ****successive training becomes more complex**
## OFRD
**Response Education and Training Lifecycle for **
**USPHS Commission Corps Officers**
- The individual competencies and expertise of officers will be considered in
- assignment during deployments and in access to training opportunities
- It is a command expectation of all officers to be prepared, ready to deploy, and to
- exhibit leadership attributes regardless of training or deployment role
## Novice
- Leadership and Response
- Training begins with call to
- active duty
- Officers will meet basic
- readiness requirements
**Call to Active Duty – 1 Year**
##
KNOWLEDGE Objectives:
Officers will be able to describe response missions and expectations of officers
Officers will be able to explain the roles of response teams and tiers
Officer shall identify ESF-8 and specifically USPHS roles and responsibility according to the National Response Plan
Objectives for adoption of RESPONSE CULTURE:
Officers will be able to create a plan for meeting readiness standards within one year of Call to active duty.
Officers will initiate and complete the process for meeting readiness standards
- *KNOWLEDGE* Objectives:
- Officers will be able to describe response missions and expectations of officers
- Officers will be able to explain the roles of response teams and tiers
- Officer shall identify ESF-8 and specifically USPHS roles and responsibility according to the National Response Plan
- Objectives for adoption of* RESPONSE CULTURE*:
- Officers will be able to create a plan for meeting readiness standards within one year of Call to active duty.
- Officers will initiate and complete the process for meeting readiness standards
_**Goal**_: Officers will have *knowledge* of Response requirements and will adopt response *culture** *
## Responder Level
**Target 1 yr – 5 +**
- Drill down training for
- specific deployment roles
- Officers will deploy in
- response roles
## Goal: Officers will develop skills for specific deployment roles and will deploy in staff function
_**Goal**_: Officers will *develop skills* for specific deployment roles and will *deploy in staff function*
***KNOWLEDGE***** Objectives**:
- As appropriate, Officers will obtain skill through web-based training, drills and functional exercises in:
- Medical management of casualties, taking into account the needs of at- risk individuals.
- Public health aspects of public health emergencies
- Mental health aspects of public health emergencies
***DEPLOYMENT *****Objectives:**
- Officers will be trained and able to function in the public health management of disasters specifically in the areas of planning, operations, logistics, administration and finance
## Managerial Level
**Target Year 6- 20 +**
- Advanced Leadership
- Training
- Officers are capable
- of assuming leadership
- roles on deployment
- Note: Managerial training does not
- excuse Officers from being capable of
- fulfilling a responder role!
## Goal: Officers will develop skills for agency and organization management between the executive level and first level management
_**Goal**_: Officers will *develop skills* for agency and organization management between the executive level and first level management
***KNOWLEDGE***** Objectives**:
- Expand comprehension on how to support field level teams and assets
- Become experts in the roles and responsibilities of Federal, state, tribal, local, and private organizations during a public health emergency response
***DEPLOYMENT *****Objectives:**
- Officers will be capable of serving in Incident Command Roles as section chiefs, branch directors, Division/Group Supervisors, Team Leaders
## Executive Level
**Target Year 20 +**
- Executive Leadership
- Training
- Officers are capable
- of assuming senior
- leadership roles on
- deployment
## KNOWLEDGE Objectives:
Expertise in managing multi-agency coordination systems
Proficiency in advanced ICS
DEPLOYMENT Objectives:
Provide executive level multi-agency coordination
***KNOWLEDGE***** Objectives**:
- Expertise in managing multi-agency coordination systems
- Proficiency in advanced ICS
***DEPLOYMENT *****Objectives:**
- Provide executive level multi-agency coordination
_**Goal**_: Officers will *be prepared *to fill ICS roles as Unified Commander, Incident Commander, Command Staff in either area command or single command and to act as a Senior Health Official
## FY 07 OFRD Training Initiatives
**Learning Management System**
- Change to Blackboard
- One training system
- Community space
- Interface FEMA
- Enterprise Architecture/MOAS
- QA/QC
**Response Team Training **
**(Response through Manager)**
- National Priorities/HHS Playbooks
- Skills, drills, functional exercises across teams
- APHT’s, MHT’s, RDF’s
- DoD, Johns Hopkins, American Red Cross
- Ft Sam Houston – Camp Bullis
## FY 07 OFRD Training Initiatives
**Call to Active Duty (novice)**
- Identifying curriculum
- Tested 40% of operational concepts
- Need finalized curriculum approval from Transformation Officer to develop and test
**USPHS Scientific and Training Symposium**
- Available to all Tiers
- Quarantine and surge capacity
- CDC, University of Michigan, OFRD
**Direct Military Training Network BLS program for USPHS**
**HAMR team training curriculum**
## Managerial – Executive
IRCT Drill Down Training (Web Based)
Operations
Planning
Logistics
Admin/Finance
Leadership Training
Playbooks
Pan flu (workshop)
IND/RDD (Discussions plus tabletops)
Hurricanes (Discussions plus tabletops)
Possibly Earthquake, Anthrax, IED
- IRCT Drill Down Training (Web Based)
- Operations
- Planning
- Logistics
- Admin/Finance
- Leadership Training
- Playbooks
- Pan flu (workshop)
- IND/RDD (Discussions plus tabletops)
- Hurricanes (Discussions plus tabletops)
- Possibly Earthquake, Anthrax, IED
- FY 07 ASPR Training Initiatives
## Questions?
- CDR Kimberly Elenberg
- Medical Readiness Training Director
- 301-443-1476
- LCDR Patrick Denis
- Training Program Management Officer
- 301-443-1475
|
en
|
markdown
|
209373
|
# Presentation: 209373
## Computational Atomic and Molecular Physics for Transport Modeling of Fusion Plasmas
*Post-doctoral fellows*
- S.D. Loch, J. Ludlow,
- C.P. Balance, T. Minami
*Collaborators*
- N.R. Badnell, M.G. O’Mullane, H.P. Summers, K.A. Berrington, J.P. Colgan, C.J. Fontes, T.E. Evans, D.P. Stotler, P.G. Burke
*Principal Investigators*
- M.S. Pindzola, F.J. Robicheaux, D.C. Griffin,
- D.R. Schultz, J.T. Hogan
*Graduate students*
- M.C. Witthoeft, J. Hernandez, T. Topcu, A.D. Whiteford
## ITER Relevant Plasma Modeling Efforts
- Final choices for plasma-facing materials.
- Relevance of innovations in operational regimes.
- Chief experimental spectroscopic tools need reliable atomic data
- Be, C, and W components for the first wall.
- Study of Edge Localized Mode (ELM) transient in standard ITER operation
## ITER Relevant Plasma Modeling Efforts
- Two-dimensional, time dependent, multi-species transport code such as SOLPS (B2-Eirene) uses the ADAS database.
- Used for analysis at JET, ASDEX-Upgrade, DIII-D, JT-60, Tore-Supra, and Alcator C-Mod.
## Collisional-Radiative Modeling using ADAS
- Originally developed at JET
- Now used throughout the controlled fusion and astrophysics communities
- Solution to collisional-radiative equations for all atomic levels in all ionization stages of relevant elements. Thus requires
- Atomic structure for energies
- Radiative rates
- Collisional electron excitation rates
- Collisional electron ionization and recombination rates
- Collisional charge transfer recombination with hydrogen
## Collisional-Radiative Modeling using ADAS
- The problem is simplified through the assumption of quasi-static equilibrium for the excited states.
- The following data is produced, for ease of use in plasma transport codes
- Generalised collisional-radiative (GCR) coefficients
- Radiated power loss (RPL) coefficients
- Individual spectrum line emission coefficients
- We have completed the following sequences
- He, Li and Be
## AM collision calculations : Time independent R-Matrix
- Developed in the UK : P.G. Burke and co-workers
- Each atom modeled as : N-electron Hamiltonian
- Collision system modeled as : N+1 electron Hamiltonian
- Hamiltonian represented by bound and continuum basis states
- All eigenvalues and eigenvectors of 50,000 x 50,000 matrix required. This can only be solved on parallel machines.
- Thousands of energies required to map out Feshbach resonances
## AM collision calculations : Time independent R-Matrix
- R-Matrix with pseudo states calculations completed for
- He, He+
- Li, Li+, Li2+
- Be, Be+, Be2+, Be3+
- B+, B4+
- C2+, C3+, C5+
- O5+
- Standard R-Matrix completed
- Ne+, Ne4+, Ne5+
- Fe20+, Fe21+, Fe23+, Fe24+, and Fe25+
*Energy vs excitation cross section for neutral Be*
## AM Collisions : Time Dependent Close-Coupling
- Developed in the US by C. Bottcher and co-workers
- Treats the three body Coulomb breakup exactly
- Close-coupled set of 2D lattice equations
- TDCC calculations completed for
- H, He, He+
- Li, Li+, Li2+
- Be, Be+, Be2+, Be3+
- B2+, C3+, Mg+, Al2+, Si3+
- Have now started to treat
- the four body Coulomb breakup
- the three-body two Coulomb center breakup
*Ionization cross section for C**2+**. Shows the first agreement between theory and experiment for a system with significant metastable fraction.*
## AM Collisions : Time-Dependent Semi-Classical
- Developed in the study of heavy-ion nuclear fusion
- Electron in the field of two moving Coulomb fields
- 3D lattice method solved by low-order finite differences or high-order Fourier-collocation representation.
- Applications
- p+H, p+Li, α+H, Be4++H, p+H2+
- Hybrid TDSC/AOCC method
- 4D lattice close-coupling for p+He
## AM Collisions : Distorted wave and Classical Trajectory
- Uses perturbation theory.
- Accurate for radiative and autoionization rates.
- Accurate for electron collisions with highly charged ions.
- Various levels of calculation
- Intermediate coupled distorted-wave (ICDW)
- LS coupled distorted wave (LSDW)
- Configuration-average distorted-wave (CADW)
- Classical Trajectory Monte Carlo (CTMC)
*Resonance plot for Cl**13+** showing the first observation of trielectronic recombination*
## AM Collisions : Distorted wave and Classical Trajectory
- Dielectronic recombination project using ICDW for laboratory and astrophysical elements
- Li, Be, B, C and O iso-electronic sequences completed
- Support for ion storage ring experiments
- Cl13+
- Heavy element ionization/recombination using CADW
- Ar, Kr, Xe, Mo, Hf, Ta, W, Au
- Charge transfer using CTMC
- High Z ions with H, D, and He.
*Bi**7+** 5s**2**5p**6**5d**8 ** ionization cross section*
## General Science Spin-offs
- TDCC for
- (γ,2e) on He, Be, Li+, quantum dots, H2
- (2γ,2e) on He
- (γ,3e) on Li
- e+ + H
- TDSC for
- p- + H
- BEC in fields
- CTMC for
- e + atoms in ultracold plasmas
- γ + atoms in high Rydberg states
## Collaborations with existing fusion laboratories - I
- DIII-D, California
- EFDA-JET, UK
- Li generalised collisional-radiative coefficients used in impurity transport studies
- He R-Matrix excitation data used in helium beam studies, and in non-Maxwellian modeling.
## Collaborations with existing fusion laboratories - II
- RFX- Italy
- ASDEX-upgrade, Germany
- Tungsten ionization data to be used in heavy species studies
- Krypton ionization ionization data is being used in plasma transport studies
## Conclusions
- Recent advances in non-perturbative methods allows high quality atomic data to be generated for electron-ion and ion-atom collisions for low Z systems, such as Li, Be and C.
- High quality atomic data is being processed into a form useful for plasma transport modeling of wall erosion and ELM experimental studies.
- High quality atomic data for high Z systems, such as W, remains a computational grand challenge.
|
en
|
converted_docs
|
509707
|
{width="6.302083333333333in" height="1.125in"}
# Legislative Bulletin.................................................April 22, 2008
**Contents:**
**H.R. 5613**---Protecting the Medicaid Safety Net Act
H.R. 5613---Protecting the Medicaid Safety Net Act
(*Dingell, D-MI*)
**Please note the Conservative Concerns beginning on page 6, and those
highlighted throughout the bulletin.**
**[Order of Business]{.underline}**: The bill is scheduled to be
considered on Tuesday, April 22^nd^, under a motion to suspend the rules
and pass the bill.
**[Summary]{.underline}**: H.R. 5613 would extend certain existing
moratoria on the Centers for Medicare and Medicaid Services (CMS),
prohibiting the agency from promulgating rules related to the integrity
of the Medicaid program until April 1, 2009. In particular, the bill
would extend moratoria on proposed regulations placing restrictions on
intergovernmental transfers and restricting payments for graduate
medical education; the prohibitions were first enacted as part of last
year's supplemental wartime appropriation (P.L. 110-28) and are
scheduled to expire on May 25, 2008. The bill would also extend
prohibitions on CMS regulations relating to rehabilitation services, as
well as school-based administrative and transportation services; these
prohibitions were first enacted in Medicare physician payment
legislation (P.L. 110-173) last December, and are scheduled to expire on
June 30, 2008.
In addition, H.R. 5613 would impose additional new moratoria on CMS
relating to other proposed Medicaid regulations, also until April 2009.
Specifically, the bill would prohibit the Secretary of Health and Human
Services from imposing additional restrictions with respect to targeted
case management payments, the definition of outpatient hospital
services, and Medicaid provider taxes (with certain exceptions).
The bill also appropriates an additional \$25 million per year to CMS
for the purposes of anti-fraud enforcement activity within the Medicaid
program.
H.R. 5613 includes two reports to Congress on the proposed regulations.
By July 1, 2008, the Department of Health and Human Services (HHS) will
report on its justification and authority for proposing the regulations.
The bill also includes \$5 million in appropriations for HHS to hire an
independent contractor to produce a report by March 1, 2009, on the
proposed regulations and their impact on states.
H.R. 5613 also extends a web-based asset verification system to all 50
states, effective by the end of fiscal year 2013. This provision would
expand the Social Security Administration's Supplemental Security Income
(SSI) pilot program, giving states a new tool for verifying the assets
of Medicaid recipients. Currently, such a system only exists as a
demonstration project in three states: California, New Jersey, and New
York.
**[Additional Background on Changes Made in Committee]{.underline}**:
During consideration in the Energy and Commerce Committee, Chairman
Dingell and Ranking Member Joe Barton (R-TX) reached agreement on
several modifications to the legislation. The revised language
incorporated at Subcommittee narrowed the scope of the proposed
moratoria to permit CMS to engage in outreach activities with states.
Over the past several years, CMS has used various state-level audits to
reach agreements with state Medicaid agencies to curtail abusive and/or
questionable financing tactics. The revised language in H.R. 5613 would
permit CMS to continue these individual consent agreements with states,
while maintaining the moratoria on CMS' ability to enact regulations
prohibiting these activities permanently.
In addition, the substitute language adopted in Committee included the
additional \$25 million per year in anti-fraud enforcement, as well as
an independent study assessing the need for the regulations and their
potential impact on states. The Committee substitute also incorporated
the web-based asset verification system to pay for the moratorium; the
Administration had previously suggested that this program be extended as
a savings mechanism to finance portions of the farm bill.
**[Additional Background on Proposed Regulations]{.underline}**: During
the past year, the Centers for Medicare and Medicaid Services (CMS) has
attempted to move forward on several proposed regulations addressing
specific issues and service areas within the Medicaid program. Many of
these regulations respond to Government Accountability Office (GAO)
studies and reports by the HHS Inspector General highlighting areas
where the fiscal integrity of the Medicaid program needed improvement. A
brief summary of each rule that would be halted by H.R. 5613 follows:
*Intergovernmental Transfers*: This rule would limit reimbursement for
publicly-owned health providers to costs incurred, narrow the definition
of unit of government, and require providers to retain all Medicaid
payments, in order to restrain intergovernmental transfers designed
primarily to maximize states' federal Medicaid payments. A final rule
was issued on May 29, 2007; the moratorium currently in place expires on
May 25, 2008. The Congressional Budget Office (CBO) scores this
regulation as saving \$9.0 billion in federal outlays over five years,
and \$22.0 billion over a decade.
*Graduate Medical Education*: This rule would eliminate Medicaid
reimbursement for graduate medical education, on the grounds that
reimbursements for medical training are outside the statutory scope of
the Medicaid program. A Notice of Proposed Rulemaking (NPRM) was issued
on May 23, 2007; the current moratorium expires May 25, 2008. Five year
estimated savings are \$0.8 billion, and ten year estimated savings are
\$1.9 billion.
*School-Based Administrative and Transportation Services*: This rule
would prohibit federal Medicaid payments for administrative activities
performed by schools and transportation of children to and from school.
In some instances, school districts bill Medicaid for transporting
students to and from school, even though this is an educational expense,
not a reimbursable medical expense. In addition, HHS audits found that
schools were claiming capital and debt service as "administrative
services" subject to Medicaid reimbursement. The proposed rule would not
alter the current policy of reimbursing schools for *bona fide* medical
expenses incurred on school property, such as speech therapy. A final
rule was issued December 28, 2007; the current moratorium expires June
30, 2008. Five year estimated savings are \$4.2 billion, and ten year
savings are estimated at \$10.2 billion.
*Rehabilitation Services*: This rule would restrict the scope of
rehabilitation services subject to the federal Medicaid match and
eliminate coverage of day habilitation services for individuals with
developmental disabilities. In many instances, CMS has found that states
have billed therapeutic foster care as a "bundled" payment, resulting in
federal payments for activities related to foster care as opposed to
direct medical expenses. In other cases, state plans for reimbursable
expenses include recreational or social activities not directly related
to rehabilitative goals. An NPRM was issued on August 13, 2007; the
current moratorium expires on June 30, 2008. CBO scores this change as
saving \$1.4 billion over five years, and \$3.5 billion over a decade.
*Outpatient Hospital Services*: This rule would restrict the scope of
Medicaid outpatient hospital services and clarify the upper payment
classification for outpatient services to align more closely with the
Medicare definition of outpatient services. An NPRM was issued on
September 28, 2007; no moratorium is currently in place. Five year
savings are estimated at \$0.3 billion, and ten year savings are
estimated at \$0.7 billion.
*Targeted Case Management*: This rule would restrict the scope of
targeted case management services, and specify that Medicaid will not
reimburse states for services where another third party is liable for
payment. In many cases, HHS audits have found a lack of documentation
related to targeted case management claims, or state plans for
reimbursement that fall outside the scope of the Medicaid program's
focus on medical services. A final rule was issued December 4, 2007,
subject to an implementation date of March 3, 2008. The change would
save an estimated \$1.5 billion over five years, and \$3.3 billion over
ten.
*Provider Taxes*: This rule would reduce the permissible level of
Medicaid provider taxes, as included in the Tax Relief and Health Care
Act of 2006 (P.L. 109-432), and would also clarify the hold harmless
provision for provider taxes with respect to the positive correlation
between the level of provider taxes imposed by states and direct or
indirect Medicaid payments from states back to providers. A final rule
was issued February 22, 2008, subject to a compliance date of October 1,
2008. Five and ten year savings are estimated at \$0.6 billion.
In total, the proposed regulations are collectively projected to result
in approximately \$16-18 billion in savings to the federal government
over the next five fiscal years, and more than \$42 billion over a
decade.[^1] By point of comparison, these savings would constitute just
over 1% of total federal spending on Medicaid, which over the next five
years is estimated to total more than \$1.2 trillion.[^2]
**[Additional Background on GAO Reports of Medicaid
Abuses]{.underline}**: Since 1994, the Government Accountability Office
(GAO) has compiled more than a dozen reports highlighting problems with
Medicaid financing, and specifically the ways in which state governments
attempt to "game" Medicaid reimbursement policies in order to maximize
the amount of federal revenue funding state health care programs. The
persistent shortcomings in federal oversight of these state funding
schemes prompted GAO to add the Medicaid program to its list of federal
entities at high risk of mismanagement, waste, and abuse in 2003.
Several of the GAO reports discuss state reimbursement efforts for
several of the services CMS proposes to change in its new regulations.
For instance, testimony in June 2005 analyzed the ways in which 34
states---up from 10 in 2002---employed contingency-fee consultants to
maximize federal Medicaid payments. The report found that from
2000-2004, Georgia obtained \$1.5 billion in additional reimbursements,
and Massachusetts \$570 million.[^3] The report concluded that the
states' claims for targeted case management "appear to be inconsistent
with current CMS policy" and claims for rehabilitation services "were
inconsistent with federal law."[^4]
In other areas, GAO found potentially inappropriate behavior---higher
reimbursements for school-based health and administrative services that
were not fully passed on to the relevant school districts, and
questionable administrative costs, such as a 100% claim on a
Massachusetts state official's salary as a Medicaid administrative cost,
even though the official worked on unrelated projects for other states
designed to increase their own Medicaid reimbursements.[^5]
The GAO reports also demonstrate states' use of intergovernmental
transfers to maximize federal Medicaid reimbursements. In these schemes,
local-government health facilities transfer funds to the state Medicaid
agency. The Medicaid agency in turn transfers funds back to the
local-government facility---but not before filing a claim with CMS to
obtain federal reimbursement. Although permissible under current law in
many cases, GAO found that these schemes "are inconsistent with
Medicaid's federal-state partnership and fiscal integrity."[^6]
Many of the GAO reports over the past decade---whose titles are listed
at the bottom of this bulletin---have included calls for additional
federal oversight around various state Medicaid reimbursement
initiatives, particularly the need for clear and consistently applied
guidance from CMS about the permissiveness of various financing
arrangements.[^7] Several of CMS' proposed regulations attempt to remedy
this problem, and restore clarity and fiscal integrity to the Medicaid
program.
**[Additional Background on Medicaid Waste and Fraud]{.underline}**:
Although much of the debate surrounding the proposed CMS regulations has
centered on the proper scope and limits of covered services within the
Medicaid program, it is also worth noting the considerable amount of
waste and criminal fraud present within some state Medicaid programs. An
extensive investigation published by *The New York Times* in July 2005
revealed several examples of highly questionable activity within the New
York Medicaid program:
- A Brooklyn dentist who billed Medicaid for performing 991 procedures
in a single day;
- One physician who wrote 12% of all the prescriptions purchased by
New York Medicaid for an AIDS-related drug to treat wasting
syndrome---allegedly so the steroid could be re-sold on the black
market to bodybuilders;
- Over \$300 million---far more than any other state Medicaid
program---in spending on transportation services, some of which
involved rides for seniors mobile enough to rely on public
transportation and other services which investigators believe may
not have been performed at all; and
- A school administrator in Buffalo who in a single day recommended
that 4,434 students receive speech therapy funded by Medicaid---part
of \$1.2 billion in improper spending by the state on speech
services, according to a federal audit.
A former state investigator of Medicaid abuse estimated that fraudulent
claims totaled approximately 40% of all Medicaid spending in New
York---nearly \$18 billion per year, which may help explain why New
York's Medicaid expenditures greatly exceed California's, despite a
smaller overall population and fewer Medicaid beneficiaries.[^8]
However, other audits emphasize that in some cases, providers can be
victims of state efforts to reclaim additional federal Medicaid dollars.
A 2004 report from the Department of Health and Human Services'
Inspector General found that New York state required a nursing home to
return more than half of its Medicaid revenues to the state, resulting
in net revenues to the nursing home that were \$20 million less than its
operating costs. The report noted:
> The state's upper-payment-limit funding approach benefited the state
> and the county more than the nursing home. The state received \$20
> million more than it expended for the nursing home's Medicaid
> residents without effectively contributing any money, and the county
> was reimbursed 100 percent for its upper-payment-limit contribution.
> ***We are concerned that the federal government in effect provided
> almost all of the nursing home's Medicaid funding, contrary to the
> principle that Medicaid is a shared responsibility of the federal and
> state governments.***
The audit went on to note that the high level of Medicaid payments the
nursing home was required to return to the state---and the operating
losses the nursing home incurred on its Medicaid patients as a
result---led to significant levels of understaffing that may have
affected the quality of care provided to patients.[^9]
Other HHS audits reflect Medicaid reimbursement submissions by states
that either lack appropriate documentation for the claims or represent
inappropriate use of Medicaid resources. For example, one May 2003 claim
for Medicaid targeted case management reimbursement included the
following notation from the case manager explaining her contact with the
beneficiary:
> Phone call with mother. Discussed the outstanding warrant for \[name
> redacted\]. She does not know where he is. She will call police when
> he shows up.
While it may represent good public policy for this type of
contact---which attempted to locate a juvenile for whom an outstanding
arrest warrant existed---some conservatives would argue that such
actions lie outside the scope of the Medicaid program's intent and
represent a far-from-ideal expenditure of federal matching dollars.
**[Committee Action]{.underline}**: On March 13, 2008, the bill was
introduced and referred to the Energy and Commerce Committee. On April
16, 2008, the full Energy and Commerce Committee reported the bill to
the full House by a vote of 46-0.
**[Possible Conservative Concerns]{.underline}**: Numerous aspects of
this legislation may raise concerns for conservatives, including, but
not necessarily limited to, the following:
- [Process]{.underline}. H.R. 5613 is being brought to the House floor
under suspension of the rules, a procedure generally reserved for
minor authorizations and smaller pieces of legislation, such as the
naming of post offices. Some conservatives may be concerned that a
bill costing over a billion dollars is being rushed through House
floor consideration under expedited procedures.
- [Budgetary Gimmick]{.underline}. In order to comply with PAYGO
rules, H.R. 5613 would impose a moratorium on CMS action until April
2009---and the legislation contains provisions offsetting the cost
to the federal government for all savings not realized through that
date. However, staff for Energy and Commerce Committee Chairman
Dingell have publicly stated that H.R. 5613 is intended to delay the
implementation of the Medicaid rules just long enough so that a
future Administration can withdraw them. Because withdrawing the
regulations would result in approximately \$16-18 billion in lost
savings to the federal government over five years, and because
action taken by a future Administration would not be subject to
PAYGO, some conservatives may believe that H.R. 5613's sponsors
intend to violate the spirit, if not the letter, of the PAYGO
requirement under House rules.
```{=html}
<!-- -->
```
- [Undermine Previous Republican Efforts to Reform
Medicaid]{.underline}. In December 2005, 212 Members of
Congress---all Republicans---voted for legislation (P.L. 109-171)
that generated less than \$4.8 billion in savings from the Medicaid
program as a first attempt to restore its fiscal integrity. However,
if the moratoria remain intact, those modest reductions in
Medicaid's growth rate would be more than exceeded by the \$16-18
billion in foregone savings associated with the regulations' repeal.
```{=html}
<!-- -->
```
- [Encourage State Efforts to "Game" the Medicaid
Program]{.underline}. As highlighted above, nearly three dozen
states have in recent years hired contingency fee consultants
designed to maximize the portion of Medicaid costs paid for by the
federal government. Blocking regulations designed to respond to
funding mechanisms which states and their consultants have
established---and more than a dozen GAO reports over nearly 15 years
have criticized---may only further encourage states to take steps
that increase federal costs and undermine Medicaid's fiscal
integrity.
- [Harm Hospitals and Other Providers]{.underline}. As explained
above, HHS Inspector General reports have revealed that various
funding mechanisms designed to increase federal Medicaid revenues
for states have often had the ancillary effect of reducing net
payments to providers. H.R. 5613, by blocking regulations designed
to ensure that payments to Medicaid providers do not become ensnared
in various schemes by states to increase federal Medicaid spending,
may prevent some providers from seeing their net Medicaid payments
rise when the proposed regulations take effect.
**[Administration Position]{.underline}**: Although the Statement of
Administration Policy (SAP) was not available at press time, Health and
Human Services Secretary Leavitt has previously
[written](http://www.hhs.gov/asl/medicaidletter.html) to Energy and
Commerce Chairman Dingell and Ranking Member Barton indicating that the
Administration strongly opposes H.R. 5613 and would recommend a
Presidential veto.
**[Cost to Taxpayers]{.underline}**: A final score of the bill was not
available at press time. However, a preliminary CBO estimate indicated
that H.R. 5613's moratorium through April 2009 on the issuance of seven
proposed regulations would cost taxpayers \$1.65 billion over five and
ten years. However, as noted above, this score presumes the full
implementation of the regulations in April 2009 under a new
Administration. Outright repeal of the regulations would cost \$16.5
billion over five years---ten times the cost of H.R. 5613.
Additional mandatory spending---both \$25 million annually for CMS
anti-fraud enforcement activity with respect to Medicaid, and \$5
million for an independent study on the proposed regulations---would
cost \$129 million over five years, and \$254 million over ten.
H.R. 5613 would pay for this spending by extending an asset verification
pilot program currently operating in three states to all 50 states,
saving \$1.0 billion over five years and \$4.5 billion over ten. The
bill would also make adjustments to the Physician Assistance and Quality
Improvement (PAQI) fund to comply with five-year PAYGO scoring rules,
and deposit the additional savings over and above the ten-year cost of
the moratoria. Reports indicate that the \$2.6 billion in additional
ten-year savings will be withdrawn from the PAQI fund later this year to
help finance Medicare physician reimbursement legislation.
**[Does the Bill Expand the Size and Scope of the Federal
Government?]{.underline}**: Yes, the bill would prohibit CMS from taking
administrative actions (which are already built into CBO's budgetary
baseline) to prevent states from expanding the scope of the Medicaid
program.
**[Does the Bill Contain Any New State-Government, Local-Government, or
Private-Sector Mandates?]{.underline}**: No.
**[Does the Bill Comply with House Rules Regarding Earmarks/Limited Tax
Benefits/Limited Tariff Benefits?]{.underline}**: A Committee report
citing compliance with House earmark disclosure rules was unavailable at
press time.
**[Constitutional Authority]{.underline}**: A Committee report citing
constitutional authority was unavailable at press time.
**[Additional Background]{.underline}**: For further information on this
issue see:
- [*RSC Policy Brief: Medicaid and the
States*](http://www.house.gov/hensarling/rsc/doc/pb_040208_medicaidregs.doc)
- [*RSC Policy Brief: Medicaid Funding
Issues*](http://www.house.gov/hensarling/rsc/doc/pb_012208_medicaid_fmap.doc)
- [*New York Times Article: New York Medicaid Fraud May Reach into
Billions*](http://www.nytimes.com/2005/07/18/nyregion/18medicaid.html?_r=1&pagewanted=print&oref=slogin)
- [*November 2007 GAO Testimony: Medicaid Financing: Long-Standing
Concerns about Inappropriate State Arrangements Support Need for
Improved Federal
Oversight*](http://www.gao.gov/new.items/d08255t.pdf)
- [*March 2007 GAO Report: Medicaid Financing: Federal Oversight
Initiative Is Consistent with Medicaid Payment Principles but Needs
Greater Transparency*](http://www.gao.gov/new.items/d07214.pdf)
- [*June 2006 GAO Report: Medicaid Financial Management: Steps Taken
to Improve Federal Oversight but Other Actions Needed to Sustain
Efforts*](http://www.gao.gov/new.items/d06705.pdf)
- [*June 2005 GAO Testimony: Medicaid: States\' Efforts to Maximize
Federal Reimbursements Highlight Need for Improved Federal
Oversight*](http://www.gao.gov/new.items/d05836t.pdf)
- [*June 2005 GAO Testimony: Medicaid Financing: States\' Use of
Contingency-Fee Consultants to Maximize Federal Reimbursements
Highlights Need for Improved Federal
Oversight*](http://www.gao.gov/new.items/d05748.pdf)
- [*March 2004 GAO Testimony: Medicaid: Intergovernmental Transfers
Have Facilitated State Financing
Schemes*](http://www.gao.gov/new.items/d04574t.pdf)
- [*February 2004 GAO Report: Medicaid: Improved Federal Oversight of
State Financing Schemes
Needed*](http://www.gao.gov/new.items/d04228.pdf)
- [*October 2001 GAO Report: Medicaid: HCFA Reversed its Position and
Approved Additional State Financing
Schemes*](http://www.gao.gov/new.items/d02147.pdf)
- [*September 2000 GAO Testimony: Medicaid: State Financing Schemes
Again Drive Up Federal
Payments*](http://www.gao.gov/archive/2000/he00193t.pdf)
- [*April 2000 GAO Report: Medicaid in Schools: Improper Payments
Demand Improvement in HCFA
Oversight*](http://www.gao.gov/archive/2000/h600069.pdf)
- [*June 1999 GAO Testimony: Medicaid: Questionable Practices Boost
Federal Payments for School-Based
Services*](http://www.gao.gov/archive/1999/he99148t.pdf)
- [*August 1994 GAO Report: Medicaid: States Use Illusory Approaches
to Shift Program Costs to Federal
Government*](http://archive.gao.gov/t2pbat2/152543/pdf)
**[RSC Staff Contact]{.underline}**: Chris Jacobs,
<[email protected]>, (202) 226-8585
[^1]: Because CMS proposals with respect to rehabilitation services
(estimated savings of \$1.4 billion over five years), graduate
medical education (\$0.8 billion estimated savings), and the
definition of outpatient hospital services (\$0.3 billion estimated
savings) are at the proposed rulemaking stage, CBO assigns a
baseline weighting factor of 50% to the proposed regulations,
reflecting the uncertainties of the rulemaking process. Thus, while
CBO estimates a total of \$17.8 billion in savings over five years
if all rules were implemented as currently issued, a permanent
prohibition on these seven rules would require \$16.5 billion in
savings under House PAYGO rules.
[^2]: Office of Management and Budget, *Analytical Perspectives: Budget
of the United States Government, Fiscal Year 2009*, available online
at <http://www.whitehouse.gov/omb/budget/fy2009/pdf/spec.pdf>
(accessed April 1, 2008), p. 383.
[^3]: Government Accountability Office, "Medicaid Financing: States' Use
of Contingency Fee Consultants to Maximize Federal Reimbursements
Highlights Need for Increased Federal Oversight," (Washington,
Report GAO-05-748, June 2005) available online at
<http://www.gao.gov/new.items/d05748.pdf> (accessed March 31, 2008),
p. 4.
[^4]: Ibid., p. 19.
[^5]: Ibid., pp. 27-29.
[^6]: Ibid., p. 24.
[^7]: See ibid., p. 30.
[^8]: Clifford Levy and Michael Luo, "Medicaid Fraud May Reach into
Billions," *The New York Times* 18 July 2005, available online at
<http://www.nytimes.com/2005/07/18/nyregion/18medicaid.html?_r=1&pagewanted=print&oref=slogin>
(accessed March 29, 2008).
[^9]: "Adequacy of Medicaid Payments to Albany County Nursing Home,"
(Washington, DC, Department of Health and Human Services Office of
the Inspector General Report #A-02-02-01020), available online at
<http://oig.hhs.gov/oas/reports/region2/20201020.pdf> (accessed
April 20, 2008), pp. 6-7.
|
en
|
converted_docs
|
264460
|
**21 Gun Salute**\
*GSA's Action Plan to meet and exceed the 3% contracting goal with our
nation's Service-Disabled Veteran-Owned Small Businesses*
Gun 1: Awareness
- Increase public awareness
- Increase internal awareness
- Identify SDVOSBs to provide high demand products and services
Gun 2: Advocacy
- Create Veterans Advisory sub-Committee
- Advocate for SDVOSB opportunities; special emphasis: VETS GWAC
- Create a pool of advocates among buyers within GSA
Gun 3: Innovation
- Capitalize on best practices for SDVOSB outreach
- Target SDVOSBs for selected schedule buys
- Innovations in financial accreditation of small business
Gun 4: Training
- Assist SDVOSBs in finding markets
- Establish mentor program
- Provide SDVOSB training to contracting officers governmentwide
Gun 5: Recognition
- Nationally recognize SDVOSB supporters
- Recognize successes among internal GSA family
- Enhance SDVOSB brand
Gun 6: Accountability
- Hold senior leaders accountable
- Measure and enforce SDVOSB goals to ensure achievement
- Integrate procurement forecast
Gun 7: Partnerships
- Champion interagency partnerships
- Partner with veterans organizations
- Support business-to-business partnerships among SDVOSBs
|
en
|
all-txt-docs
|
317229
|
Expires:200809080553;Remove:200809080553;148894
WWUS53 KGLD 080542
SVSGLD
SEVERE WEATHER STATEMENT
NATIONAL WEATHER SERVICE GOODLAND KS
1142 PM MDT SUN SEP 7 2008
COC017-080553-
/O.EXP.KGLD.SV.W.0278.000000T0000Z-080908T0545Z/
CHEYENNE CO-
1143 PM MDT SUN SEP 7 2008
...THE SEVERE THUNDERSTORM WARNING FOR SOUTHWESTERN CHEYENNE COUNTY
WILL EXPIRE AT 1145 PM MDT/1245 AM CDT/...
THE SEVERE THUNDERSTORM THAT PROMPTED THE WARNING HAS WEAKENED AND IS
NO LONGER SEVERE.
A SEVERE THUNDERSTORM WATCH REMAINS IN EFFECT UNTIL 400 AM MDT MONDAY
MORNING FOR NORTHEASTERN COLORADO AND NORTHWESTERN KANSAS AND
SOUTHWEST NEBRASKA.
LAT...LON 3880 10248 3860 10263 3860 10265 3860 10271
3882 10313 3897 10302
TIME...MOT...LOC 0543Z 298DEG 14KT 3876 10274
$$
BULLER
|
en
|
all-txt-docs
|
483657
|
Aug. 30, 2004
Elvia Thompson
Headquarters, Washington
(Phone: 202/358-1696)
Keith Henry
Langley Research Center, Hampton, Va.
(Phone: 757/864-6120)
Leslie Williams
Dryden Flight Research Center, Edwards, Calif.
(Phone: 661/276-3893)
RELEASE: 04-279
GUINNESS WORLD RECORDS RECOGNIZES NASA SPEED RECORD
Guinness World Records has recognized the world speed record set by
NASA's hypersonic X-43A aircraft earlier this year in an experimental
flight over the Pacific Ocean. Using a scramjet engine, the
unpiloted, 12 foot-long aircraft achieved Mach 6.83 -- almost seven
times the speed of sound -- or nearly 5,000 mph, in a March 27
flight.
The accomplishment will be included in the 2006 Guinness World Records
book, set for release this time next year, as follows:
"On 27 March 2004, NASA's unmanned Hyper-X (X-43A) airplane reached
Mach 6.83, almost seven times the speed of sound. The X-43A was
boosted to an altitude of 29,000 m (95,000 ft) by a Pegasus rocket
launched from beneath a B52-B aircraft. The revolutionary 'scramjet'
aircraft then burned its engine for around 11 seconds during flight
over the Pacific Ocean."
If NASA researchers have their way, the record won't stand long. The
final flight in the Hyper-X program is scheduled to take place in
October, when another X-43A aircraft will attempt to fly at Mach 10
-- ten times the speed of sound -- or 7,200 mph.
The March 27 flight was part of NASA's Hyper-X program, designed to
demonstrate advanced high-speed propulsion system concepts to
overcome one of the greatest aeronautical research challenges --
air-breathing hypersonic flight. The advantage of air-breathing
flight is that the vehicle, whether it is aircraft or spacecraft,
scoops the air its engines need from the atmosphere rather than
carrying heavy, bulky tanks, as rockets do.
The challenge is to introduce fuel, ignite it and produce positive
thrust while highly compressed air rushes through the engine in mere
milliseconds -- roughly analogous to lighting a match and keeping it
burning in a hurricane-force wind.
Compared to rocket-powered vehicles like the Space Shuttle, scramjets
promise more airplane-like operations for increased affordability,
flexibility and safety in ultra high-speed flights within the
atmosphere and into Earth orbit.
The X-43A flight easily set a world speed record for an air-breathing
engine aircraft. The previous known record was held by a
ramjet-powered missile, which achieved slightly more than Mach 5. A
ramjet operates by subsonic combustion of fuel in a stream of air
compressed by the forward speed of the aircraft itself, as opposed to
a normal jet engine, in which the compressor section (the fan blades)
compresses the air. A scramjet (supersonic-combustion ramjet) is a
ramjet engine in which the airflow through the whole engine remains
supersonic.
The highest speed attained by a rocket-powered airplane, NASA's X-15
aircraft, was Mach 6.7. The fastest air-breathing, manned vehicle,
the SR-71, achieved slightly more than Mach 3. The X-43A more than
doubled the top speed of the jet-powered SR-71.
Guinness World Records' science editor David Hawksett has already
expressed an interest in attending the fall flight.
"Operating an atmospheric vehicle at almost Mach 7 is impressive
enough, but to be able to use oxygen from the air, instead of a fuel
tank, as it screams into the engine intakes at 5,000 mph is a
mind-boggling technical achievement. It's wonderful to see scramjet
technology finally begin to take off," said Hawksett.
The Hyper-X program is conducted by NASA's Aeronautics Research
Mission Directorate with the NASA Langley Research Center, Hampton,
Va., as lead center with responsibility for hypersonic technology
development and the NASA Dryden Flight Research Center, Edwards,
Calif., responsible for flight research and testing.
Guinness World Records issued a certificate to NASA documenting the
X-43A accomplishment, and will feature the story on its web site:
http://www.guinnessworldrecords.com
For more information on NASA's Aeronautics Research Mission
Directorate programs, including Hyper-X, on the Internet, visit:
http://www.aeronautics.nasa.gov
-end-
|
en
|
markdown
|
078073
|
# Presentation: 078073
## Spectroscopic analysis in hard x-rays and
- gamma rays
- David Smith, UCSC
- SPD summer school, June 2006
## We collect and count individual photons
**Zone 1:**
**thermal**
**Zone 2:**
**nonthermal**
**e- brem.**
**Zone 3:**
**nuclear**
**lines**
**(ions)**
**Z**
**Zone 4:**
**nontherm.**
**e- brem.**
**again**
**Z5:**
**pi-**
**on**
**de-**
**cay**
## Reminder of why we want to do solar spectroscopy:
- Temperature and density plasma diagonstics in thermal x-rays
- Inversion of hard x-ray spectrum to accelerated electron spectrum
- Gamma-ray line ratios for accelerated ion spectrum & composition
- Nuclear de-excitation line shapes for ion angular distributions &
- composition
- Positron-annihilation line shape for flaring atmosphere temperature
- and density
- Pion decay spectral signature for highest energy ion flux
- [See slides of talk by R. Murphy]
## Zone: Detectors: MeV: Physics/energy losses:
- Thicker Si, gas prop. ctrs 0.01 k-shell escape
- CdTe, CZT 0.03
- Germanium detectors 0.1
- 0.3 Compton scattering
- Scintillators: NaI 1 Compton escape
- CsI 3 Pair production
- BGO 10 511 photon escape
- 30 electron escape
- Pair tracking 100
- (Gas or silicon again, 300
- scintillation fibers)
**Zone: Detectors: MeV: Physics/****energy losses:**
**1**
**2**
**3**
**4**
**5**
**Detectors and interaction physics vs. energy:**
## Photoelectric
**absorption:**
**Dominates below about:**
**50 keV in Si**
**150 keV in Ge**
**500 keV in Pb, BGO**
**Material becomes more**
**transparent just below "edge";**
**possibility for k-shell photon**
**escape. **
**K**
**L**
**M**
## Compton scattering:
- Compton-dominated regime has minimum cross-section; escape is
- common. RHESSI detectors are only about 15% photopeak
- efficient at 2.2 MeV (solar neutron capture line)
- Free-electron approximation good but not perfect (opacity related to
- electron density only)
- Energy lost to Compton electron is a function only of scatter angle
- and starting energy (conservation of energy, momentum):
- Cross-section is more complicated; there are forward and reverse peaks at
- semirelativistic to relativistic energies
- Scatter prefers to preserve direction of electric field vector when
- scattering near 90 degrees -- therefore azimuthal angle distribution
- is a good polarization diagnostic until 90-degree scatter becomes rare
- at high energies.
## Compton scattering can take place
** ** at the Sun
- off the spacecraft into the detector
- off the Earth's atmosphere into the detector
- (if the Earth is nearby)
- out of the detector
**For example**
- Forward (small-angle) Compton scattering of the
- 2.2 MeV neutron capture line from deep in the** **
** **solar atmosphere produces a "step" continuum
- just below the line (T. Vestrand et al. 1990, ICRC).
- But so does forward scattering in any passive
- material in front of your detector
## Pair Production:
- Occurs because the field of the nucleus looks like another
- photon to a passing energetic photon
- Like photoelectric effect, cross sections increase dramatically
- with Z (strength of nuclear field)
- Minimum photon energy is 2*electron rest mass = 1022 keV
- But cross section does not become significant until > 2 MeV
- Remaining energy goes into kinetic energy of e+ and e-
- e+ and e- tend to be forward-beamed, particularly at the
- highest energies
- Positrons must slow down before annihilating (just like in the Sun)
## Electron propagation in detector:
** **Photoelectron, Compton electron or pair ionize detector material
- and lose their energy
- Range is deterministic, not probabilistic as with photons (many
- interactions). Example: ~1mm at 1 MeV in Ge
- **The resulting ionization causes the signal in detectors:**
- Diode detectors (Si, Ge, CdTe): electron/hole clouds
- are swept to opposite electrodes by applied high voltage
- and the resulting current is amplified
- Scintillators (plastic, NaI, CsI, BGO, etc.): electrons wander
- the crystal until they relax to the ground state (usually
- via a dopant site) emitting optical/UV light in the transparent
- crystal. Light is converted to a current by a phototube,
- channel plate, semiconductor, etc. and amplified
## Best reference for detector interaction
**physics, detector types and capabilities:**
** ****Radiation Detection and Measurement**
** ****by Glenn F. Knoll**
## Advantages of detectors from 100 keV to 10 MeV:
** ****Scintillators**
**NaI: **Inexpensive, medium stopping power, moderate
- energy resolution (about 7% FWHM at 1 MeV),
- hygroscopic.
**CsI: **Slightly more expensive, slightly higher stopping power,
- slightly worse resolution, neutron identification,
- somewhat hygroscopic.
**BGO (**bismuth germanate): More expensive, best stopping
- power per unit mass, worse resolution
- (about 20% FWHM at 1 MeV). Chosen for shielding
- or very-high-energy detection. Easily machined,
- non-hygroscopic
## Advantages of detectors from 100 keV to 10 MeV: Ge:
- Most expensive, requires cryogenic operation, superb
- energy resolution (about 0.3% FWHM at 1 MeV),
- worse stopping power above 500 keV
- Detector must operate < 100K so that electron/hole pairs aren't
- thermally excited.
- Purest material existing; low
- impurities allow lower
- "depletion" field. Electrical
- contacts can be traditional
- diode (n-type, p-type implant)
- or simply conductive.
- Thermal/vacuum enclosure
- (cryostat) requires space,
- cost, design effort:
**Image: LLNL**
## Radiation damage in GeDs:
- Nuclear interactions of protons/neutrons/nuclei with
- germanium atoms create lattice defects
- Lattice defects trap holes drifting through crystal, so charge is
- not completely collected; result is a "tail" on the line:
- Annealing at ~100C
- results in removal of
- this effect; no one
- knows why.
- Culprit particles are
- cosmic rays (gradual),
- radiation-belt protons,
- SEP protons (most sudden, can be most intense)
## Other semiconductor detectors (room temperature):
- Cadmium telluride/ Cadmium zinc telluride (CZT):
- Small crystals only (about 1cm3)
- Higher "Z" than Ge, better stopping power
- Worse resolution than Ge, better than scintillators
- Very good for hard-x-ray-only work
- Silicon:
- large wafers available, but thin (<= 1mm)
- Medium resolution like CZT
- Best for low energies (< 30 keV) or as a pair
- tracker at high energies (> 30 MeV)
- All semiconductor detectors can be read out in
- strips or pixels for spatial resolution, division of
- count rates. More demanding on electronics.
## Tasks of detector electronics:
- Peak identification (triggering)
- Amplification and shaping of pulse
- Energy measurement (analog-to-digital conversion)
- (Anti-) coincidence tagging and handling
- Time tagging
- Data storage
**Usual components, in order:**
- Preamplifier
- Shaping amplifier
- Peak detect
- A2D
- Computer
## Removing the effects of the instrument
- ("data reduction"):
- Channel-to-energy conversion (gain)
- Deadtime correction
- Pulse pileup (highest rates)
- Background subtraction
- Imperfect energy resolution
- detector physics & electronics
- Incomplete energy collection
- ("response matrix")
## Channel-to-energy conversion:
- Detector physics: either completely linear (semiconductor diode)
- or modestly nonlinear in a predictable way (scintillator light)
- Electronics:
- Temperature drifts
- "integral nonlinearity" -- nonlinearity across the scale
- "differential nonlinearity" -- varying widths of nearby channels
- This is usually the most straightforward part of data reduction but
- you have to ask:
- Are there spectral lines you can use to calibrate?
- Will you accumulate enough counts in the time that gain
- might drift?
- Do you need to include a calibration source onboard?
- What precision do you need to do your science?
## Deadtime (livetime) correction:
- All detectors take a finite time to process an event; significant
- issue for flares, where fluxes can be extremely high
- **Intrinsic:**
** **Semiconductor detectors: electron/hole drift times on
- order of 10 to 1000 ns.
- Scintillators:
- Decay time of scintillation response -- NaI, 250ns,
- others more or less
- **Electronic:**
- Best spectral resolution requires shaping of pulse
- to a width of a few microseconds
- Maximum throughputs vary from a few thousand to a few
- hundred thousand c/s per detector; one solution is to
- use many small detectors.
- Correcting from detected to corrected count rate fairly easy
## Pileup:
**Pileup:**
- Two pulses close enough together get treated as one by
- electronics** OR** one pulse has its energy changed slightly
- by riding on the tail of another. Unavoidable at some level.
- "Fast" electronics
- channel, without
- high energy
- resolution, can
- help reject a large
- fraction of pileup.
- The rest of the
- effect must be
- modeled.
## Sources of background
- Simulation of RHESSI background components by T. Wunderer
## Sources of background:
**Cosmic diffuse photons: **dominates unshielded or
- wide-aperture instruments below ~ 100 keV
**Earth-atmospheric photons: **dominates an unshielded,
- low-Earth orbit instrument above ~ 100 keV. Strong
- positron-annihilation line at 511 keV. Due to interactions
- of cosmic rays, therefore lowest near magnetic
- equator
**Prompt cosmic-ray interactions in detectors:** tend to
- leave > 10 MeV in large detectors, little confusion with
- solar photons
- continued.......
## Sources of background, continued:
**Prompt cosmic-ray interactions in the spacecraft: **
- Similar spectrum to Earth-atmosphere component
**Direct interaction and bremsstrahlung from particles:**
** **Huge, temporary backgrounds possible from SEPs
- (outside magnetosphere) or radiation belts (inside).
- Only an equatorial LEO is completely safe.
**Radioactivity: **delayed result of nuclear interactions of
- cosmic rays; primary component is in the detector
- itself, but lines can also be seen from surrounding
- materials
**Natural radioactivity: **40K, U, Th isotopes occuring
- naturally in the spacecraft. Generally minor.
- "Cleaner" materials (generally old) can be used.
## Coping with background:
- Scale of the problem:
- a B-class microflare will dominate any background < 10 keV
- an M-class flare will dominate any background < 30 keV
- a large X-class line flare will dominate or at least compete
- with background at all energies
## Coping with background: Reducing it
- Passive shielding: blocks photons but can glow with
- cosmic-ray secondaries just like the atmosphere
- Generally useful only below 100 keV, to block cosmic photons
- "Graded-Z" shielding: k-shell fluorescence from heavy shielding
- element is blocked by a slightly lighter element, and so on....
- RHESSI uses Ta/Sn/Fe/Al
## Coping with background: Reducing it
- Active plastic scintillator shielding: tags incoming cosmic
- rays; electronic veto during time of their prompt influence.
- No effect on incoming gammas or delayed radioactivity.
- Heavy active shielding (CsI, BGO, etc.): tags incoming
- cosmic rays **and **blocks photons, but can create
- intense local neutron environment, enhancing
- detector radioactivity.
- Best geometry is a "well" -- fewest leaks possible:
- INTEGRAL/SPI
- Your shield probably weighs
- several times what your prime
- detectors do -- Can you use it
- for science? Is it your best
- investment of money and weight?
## Coping with background: Reducing it
- Choice of orbit: low-Earth equatorial is best, followed by
- orbit outside the magnetosphere. Exposure to the
- Earth's radiation belts is worst. The belts touch the
- atmosphere at the South Atlantic Anomaly.
- SEPs give you a huge background when not protected by
- the magnetosphere. Can be a big problem for studying
- large flares since they tend to come in bunches
- Keep field of view and detector volume as small as possible
- consistent with your science
- Focus! This allows you to connect a small detector with
- a large collecting area. Excellent for faint astrophysical
- sources or nanoflares; could be deadly for large
- flares due to deadtime & pileup
## Coping with background: Subtracting it
- Good background subtraction is necessary but not sufficient:
- if background is >> signal, Poisson fluctuations in
- background can dominate errors even if the background
- is 100% understood
- When Poisson errors are small (many counts), background
- systematic errors become important unless background
- is negligible
- In practice, time variability
- makes pure modeling difficult;
- subtract background taken
- at an "analogous" time
- RHESSI lightcurves, 2 hours,
- showing bkg variation & flare
## Efficiency and off-diagonal response
- In the hard x-ray range, often only a correction of efficiency
- (effective area) versus energy is necessary:
- (counts/s/keV seen at E) / (effective area at E in cm2) =
- photons/cm2/s/keV incident
- At high energies, many counts are often shifted to low energies
- instead of just lost, and this simple division becomes a matrix
- inversion instead.
- At very low energies, window absorption can be important. This
- is normally just an efficiency correction.
- Subtlety: Fluorescence escape from the crystal
- (say 13 keV --> 4 keV) can dominate true 4 keV stuff if the latter
- is strongly absorbed.
## Off-diagonal response:
**Off-diagonal response:**
- Recorded energy differs from photon energy. Common reasons:
- Compton scatter before entering detector
- Compton scatter out of detector
- Fluorescence outside
- Fluorescence escape
- 511 keV escape
- Annihilation outside
- Energy resolution
- imperfect (always);
- only time count energy
- > photon energy
## High energy resolution
- High energy resolution
- serves to make lines more
- identifiable; also reduces
- background for line
- identification.
- Naturally broad lines are
- more difficult to see even
- with a high resolution
- instrument.
- Off-diagonal (Compton)
- response is reduced both by
- more efficient detectors
- (higher Z, larger) and by
- active shielding, which
- suppresses outward
- Comptons as well as
- inward background (e.g.
- SMM/GRS vs RHESSI).
## Response matrix at low energies, annotated by H. Hudson
## Response matrix at high energies, annotated by H. Hudson
## Order of operations is important !
**Gain correction**
**Livetime & Pileup**
**Background**
**Subtraction**
**Response matrix **
**Deconvolution**
- These first: background spectra
- may not have same gain, livetime
- This next: background doesn't
- have same response characteristics
- This is last and hardest; analogous
- to the inverse problem in imaging
## Given gain/livetime/pileup/background corrected
- spectrum (count spectrum), two routes to an
- "instrument-free" photon spectrum:
**Count spectrum**
**Response matrix**
**Photon spectrum**
**THE DIRECT ROUTE:**
**DIRECT INVERSION**
**EMISSION **
**MODELS:**
**Electron spectra**
**Ion spectra**
**Angular distrib.**
**etc.**
**"DATA REDUCTION"**
**"DATA**
** ****ANALYSIS"**
## THE DIRECT ROUTE is unfortunately very difficult;
**Response matrix**
**Model count**
** ****spectrum**
**THE DIRECT ROUTE **is unfortunately very difficult;
- can only be done for simple spectra with excellent
- counting statistics (see work by Johns-Krull, Piana,
- Kontar, Brown). More usually, use **FORWARD FITTING:**
**CONVOLUTION**
**EMISSION **
**MODELS:**
**Electron spectra**
**Ion spectra**
**Angular distrib.**
**etc.**
**MINIMIZE CHI-SQUARE**
**DATA REDUCTION AND**
**ANALYSIS ARE COMBINED**
## Error propagation:
- For gamma-ray energies, Poisson statistics are the
- dominant error. Limitations on using sqrt(N) for error:
- You must do this in units of **raw counts only**,
- not counts/s, not background subtracted counts
- It's inaccurate for N<10 or so. sqrt(N+1) is slightly
- better but still no good for N<3. Binning counts
- to broader energy channels to get N ~ 10 is
- favored by duffers but deplored by Bayesians.
- Remember to include error on background too.
- For x-rays, calibration uncertainties probably dominate.
- Errors propagated as usual. Very nice compact book:
- A Practical Guide to Data Analysis for Physical Science Students, L. Lyons
## Example: RHESSI SPEX program (by R. Schwartz)
- Image by B. Dennis
- from "RHESSI
- Spectroscopy
- First Steps"
## Wheels not to reinvent:
- Instrument response, solar and atmospheric
- photon propagation: GEANT3, GEANT4
- http://wwwinfo.cern.ch/asd/geant/
- Space radiation environment and doses: SPENVIS
- http://www.spenvis.oma.be/
- Instrument background prediction: MGGPOD
- (includes GEANT)
- Cross-section lookup: NIST XCOM
- http://www.physics.nist.gov/PhysRefData/Xcom/Text/XCOM.html
- Radioactivities, fluoresence, isotopes, etc.:
- http://ie.lbl.gov/toi/
- http://sigma-2.cesr.fr/spi/MGGPOD/
|
en
|
converted_docs
|
012276
|
Before the
**Federal Communications Commission**
**Washington, D.C. 20554**
+---------------------------------------+---+--------------------------+
| In the Matter of **)** | | C |
| | | |
| **)** | | |
| | | |
| July 2, 2002 **) WCB/Pricing 02-12** | | |
| | | |
| Annual Access Charge Tariff Filings | | |
| **)** | | |
+---------------------------------------+---+--------------------------+
**ORDER**
**Adopted:** April 26, 2002 **Released:** April 26, 2002
By the Chief, Pricing Policy Division:
I. **INTRODUCTION**
1\. This order establishes procedures for the 2002 filing of annual
access charge tariffs by all incumbent local exchange carriers (ILECs).
Specifically, it sets a modified effective date of July 2, 2002 for the
July 2002 annual tariff filings; addresses the dates on which the tariff
filings must be filed, the dates and times for filing petitions to
suspend or reject the ILEC tariff filings, and replies to any such
petitions; and addresses service of the petitions and replies. All
correspondence and comments in connection with these filings should be
designated in reference to July 2, 2002 Annual Access Charge Tariff
Filing.
II. **DISCUSSION**
**A. Tariff Effective Date, Tariff Filing Dates, and Tariff Filling
Instructions**
2\. ILECs are permitted to make their tariff filings either 15 or 7 days
prior to the effective date of their tariffs, depending on the type of
changes the tariffs propose. Because of the weekend schedule in June and
July of 2002, it is necessary to modify the usual July 1 tariff
effective date for 2002 in order to accommodate the filing of tariff
revisions under Section 204(a)(3) of the Communications Act of 1934, as
amended (the Act).[^1] Accordingly, the July 2002 effective date for
ILEC annual access tariffs is modified to be July 2, 2002.[^2] For
tariffs filed on 15 days' notice, ILECs must make their annual tariff
filings on June 17, 2002. For tariffs filed on seven days' notice, ILECs
must make their tariff filings on June 25, 2002. ILECs must use the
Electronic Tariff Filing System (ETFS) to file all of their tariff
material,[^3] including their Tariff Review Plans (TRPs). ILECs should
make every effort to file as early in the day as possible in order to
avoid any complications on meeting the June 17, 2002, and June 25, 2002,
pre-7:00 PM deadlines for filing with the ETFS. ILEC filings must be
received by ETFS after 7:00 PM Eastern Time on June 16, 2002 and before
7:00 PM Eastern Time on June 17, 2002 for the filing to be considered
officially received on June 17, 2002. ILEC filings must be received by
ETFS after 7:00 PM Eastern Time on June 24, 2002 and before 7:00 PM
Eastern Time on June 25, 2002 for the filing to be considered officially
received on June 25, 2002. ILECs are reminded that there are remote
filing sites available, at the following addresses:
> California <http://www.fccetfs.com/>
>
> Chicago [http://161.58.254.112/](http://www.161.58.254.112/)
3\. ILECs that file tariffs under the price cap ratemaking methodology
are required to file revised annual access tariffs every year.[^4] ILECs
that file tariffs under the rate-of-return ratemaking methodology are
required to file every other year. Further, ILECs filing pursuant to the
requirements of section 61.38 [^5] are required to file in even-numbered
years [^6] and those filing pursuant to section 61.39 [^7] are required
to file in odd-numbered years and are not required to submit supporting
material with the revised tariff.[^8] Since 2002 is an even-numbered
year, only the price cap ILECs and the ILECs filing pursuant to section
61.38 are required to file revised access tariffs including support
material that includes a TRP. For the 2002 annual access tariff filing,
we are requiring the ILECs that do not normally file revised access
tariffs this year to submit only supporting material in the form of a
TRP that will detail the implementation of the procedures adopted in the
MAG Order.[^9] The details of this supporting material will be spelled
out in a subsequent order.
4\. In addition to filing the TRP on ETFS, each ILEC filing a TRP should
provide the Pricing Policy Division of the Wireline Competition Bureau
with two copies of the TRP on diskette or CD-ROM. These two copies
should be marked ATTN: Raj Kannan, 5-A207, 445 12^th^ Street, SW,
Washington, DC 20554. One copy of the TRP on diskette or CD-ROM should
also be given both to the FCC Reference Information Center, Portals II,
445 12^th^ Street, SW, Room CY-A257, Washington, DC 20554 and to the
Commission's Duplication Contractor, Qualex International, Portals II,
445 12^th^ Street, SW, Room CY-B402, Washington, DC 20554. Computer
diskette or CD-ROM copies of the price cap TRP's should be submitted in
Lotus Release-5 format. We urge carriers to run a computer virus check
on each diskette or CD before submitting those disks or CDs. The
computer file on the diskette or CD-ROM should be named COSAAN01 where
"COSA" is the 4-character company study area code.
5\. Copies of the TRP filed on diskette or CD-ROM may be obtained from
Qualex International (202) 863-2893 at 445 12^th^ Street, SW, Room
CY-B402, Washington, DC 20554. Copies of any information filed
electronically may be obtained via the Internet using the ETFS at
[http://svartifoss2.fcc.gov/prod/ccb/etfs]{.underline},[^10] or from
Qualex. For more information, contact Raj Kannan at (202) 418-1540,
Pricing Policy Division, Wireline Competition Bureau.
6\. Section 61.49(k) of the Commission's rules requires price cap
carriers to file a short form TRP without rate detail information 90
days prior to the usual effective date of July 1. For this year's
filing, however, we require that this short form TRP be filed on May 1,
2002.[^11] We will issue a separate order that will provide the details
of the short form TRP and the regular TRP. Comments on the short form
TRP will be due on May 13, 2002 and replies will be due May 20, 2002.
## B. Pleading Filing Dates and Procedures
7\. In order to maximize the time available for parties to review the
tariff filings and file comments, while leaving ILECs sufficient time to
respond, we are modifying the time for filing replies to petitions to
suspend or reject tariff filings made on seven days' notice. In
accordance with the tariff filing schedules, petitions to suspend or
reject tariff filings made on 15 days' notice will be due June 24, 2002,
and replies will be due June 28, 2002. Petitions to suspend or reject
tariff filings made on seven days' notice will be due June 28, 2002 and
replies will be due no later than 12:00 noon Eastern Time on July 1,
2002.[^12]
8\. Parties filing pleadings are encouraged to use ETFS in order to
facilitate access to these documents. Comments should be addressed to
the Commission's Secretary, Marlene H. Dortch, Office of the Secretary,
Federal Communications Commission, 445 12^th^ Street, SW, Washington, DC
20554. Parties should send three paper copies of their filing to Raj
Kannan, Pricing Policy Division, Wireline Competition Bureau, Federal
Communications Commission, 445 12^th^ Street, SW, Room 5-A207,
Washington, DC 20554. Parties should also send one copy to the
Commission's duplicating contractor, Qualex International, Portals II,
445 12^th^ Street, SW, Room CY-B402, Washington, DC 20554, telephone
202-863-2893, facsimile 202-863-2898, or via e-mail
<[email protected]>**.**
9\. Filings can be sent by hand or messenger delivery, by commercial
overnight courier, or by first-class or overnight U.S. Postal Service
mail (although we continue to experience delays in receiving U.S. Postal
Service mail). The Commission\'s contractor, Vistronix, Inc., will
receive hand-delivered or messenger-delivered paper filings for the
Commission\'s Secretary at 236 Massachusetts Avenue, N.E., Suite 110,
Washington, D.C. 20002. The filing hours at this location are 8:00 a.m.
to 7:00 p.m. All hand deliveries must be held together with rubber bands
or fasteners. Any envelopes must be disposed of before entering the
building. Commercial overnight mail (other than U.S. Postal Service
Express Mail and Priority Mail) must be sent to 9300 East Hampton Drive,
Capitol Heights, MD 20743. U.S. Postal Service first-class mail, Express
Mail, and Priority Mail should be addressed to 445 12th Street, SW,
Washington, D.C. 20554. All filings must be addressed to the
Commission\'s Secretary, Office of the Secretary, Federal Communications
Commission, 445 12th Street, SW, Washington, DC 20554. The following
chart summarizes this information:
+-----------------------------------+----------------------------------+
| **TYPE OF DELIVERY** | > **PROPER DELIVERY ADDRESS** |
+-----------------------------------+----------------------------------+
| Hand-delivered paper filings | > Vistronix, Inc. |
| | > |
| | > 236 Massachusetts Avenue, NE, |
| | > |
| | > Suite 110, Washington, DC |
| | > 20002 (Weekdays - 8:00 a.m. to |
| | > 7:00 p.m.) |
+-----------------------------------+----------------------------------+
| Commercial delivered documents | > 9300 East Hampton Drive, |
| (e.g., Federal Express) including | > |
| documents sent by overnight mail | > Capitol Heights, MD 20743 |
| (this type excludes USPS Express | > |
| and Priority Mail) | > (Weekdays - 8:00 a.m. to 5:30 |
| | > p.m.) |
+-----------------------------------+----------------------------------+
| USPS First-Class, Express, and | > 445 12^th^ Street, SW |
| Priority Mail | > |
| | > Washington, DC 20554 |
+-----------------------------------+----------------------------------+
Petitioners and carriers filing in paper format should file their
originals with the Secretary as specified above, with copies to the
Chief, Pricing Policy Division at 445 12^th^ Street, SW, 5-A207,
Washington, DC 20554, and Qualex. Petitioners and carriers filing
electronically on the ETFS will **[not]{.underline}** be required to
file copies with the Pricing Policy Division or Qualex. For the purpose
of this tariff proceeding, any petitions and reply comments filed on the
ETFS will be considered officially filed with the Commission. We caution
parties that the Commission's Electronic Comment Filing System (ECFS)
will not accept these petitions and replies. We also invite members of
the general public to submit one copy of their comments, without regard
to form, by letter to the Secretary, 445 12^th^ Street, SW, Washington,
DC 20554.
# Service
10\. Because there is limited time available for review of the petitions
and replies, we establish the following service requirements for these
filings. On the date one of these filings is submitted to the
Commission, it shall be served upon the filing carrier or the
petitioner, respectively, or their attorney or other duly constituted
agent by personal delivery or by facsimile transmission.[^13] Parties
are instructed to provide contact persons and facsimile numbers in their
filings. Parties filing petitions and replies electronically are
reminded they are still required to serve copies in accordance with
these rules as stated herein.
**III. ORDERING CLAUSE**
11\. Accordingly, IT IS ORDERED that, pursuant to sections 1, 4 (i) and
(j), 201-209, of the Communications Act, as amended that this order is
HEREBY ADOPTED as described above.
12\. IT IS FURTHER ORDERED that, pursuant to section 1.3 of the
Commissions rules, 47 C.F.R. § 1.3, section 69.3 of the Commission's
rules 47 C.F.R. § 69.3, is WAIVED for the purpose specified in paragraph
2 *supra*.
13\. IT IS FURTHER ORDERED that, pursuant to section 1.3 of the
Commissions rules, 47 C.F.R. § 1.3, section 61.49(k) of the Commission's
rules, 47 C.F.R. §61.49(k), IS WAIVED for the purpose specified in
paragraph 5 *supra.*
14\. IT IS FURTHER ORDERED that, pursuant to section 1.3 of the
Commissions rules, 47 C.F.R. § 1.3, section 1.4(f) of the Commission's
rules, 47 C.F.R. § 1.4(f), IS WAIVED for the purpose specified in
paragraph 6 *supra.*
15\. IT IS FURTHER ORDERED that, pursuant to section 1.3 of the
Commissions rules, 47 C.F.R. § 1.3, section 1.47(d) of the Commission's
rules, 47 C.F.R. § 1.47(d), IS WAIVED for the purpose specified in
paragraph 8 *supra.*
> FEDERAL COMMUNICATIONS COMMISSION
>
> Tamara Preiss
>
> Chief, Pricing Policy Division
>
> Wireline Competition Bureau
[^1]: ^?^ 47 U.S.C. § 204(a)(3). Pursuant to this section of the Act,
ILECs may file certain tariffs that take effect 15 days after they
are filed. To be effective on July 1, these tariffs would have to be
filed on Sunday, June 16. The Commission, however, is closed on
Sundays.
[^2]: ^?^ We waive any inconsistent portions of section 69.3 of the
Commission's rules.
[^3]: ^?^ 47 C.F.R. § 61.13(b).
[^4]: 47 C.F.R. § 61.43.
[^5]: 47 C.F.R. § 61.38.
[^6]: 47 C.F.R. § 69.3(f)(1).
[^7]: 47 C.F.R. § 61.39.
[^8]: 47 C.F.R. § 69.3(f)(2).
[^9]: Multi-Association Group (MAG) Plan for Regulation of Interstate
Services of Non-Price Cap Incumbent Local Exchange Carriers and
Interexchange Carriers, CC Docket No. 00-256, *Second Report and
Order and Further notice of Proposed Rulemaking,* FCC 01-304 (rel.
Nov 8, 2001) (*"Rate-of-Return Access Charge Reform Order").*
[^10]: ^?^ Users may also use the alternate site for accessing ETFS at
<http://gullfoss2.fcc.gov/prod/ccb/etfs/>.
[^11]: ^?^ We waive any inconsistent portions of section 61.49(k) of the
Commission's rules.
[^12]: ^?^ We waive any inconsistent portions of section 1.4(f) of the
Commission's rules.
[^13]: ^?^ 47 C.F.R. §§ 1.773(a)(4) and (b)(3). We waive any
inconsistent portions of Section 1.47(d) of the Commission's rules.
|
en
|
markdown
|
055996
|
# Presentation: 055996
## Clinical Document Architecture for Reporting Healthcare-Associated Infection Data
- Marla Albitz
- NHSN Project Manager
- Lockheed Martin
- Division of Healthcare Quality Promotion and National Center for Preparedness, Detection and Control of Infectious Diseases
- September 10, 2008
- Atlanta, Georgia
## Acknowledgements
- Surveillance Branch/Informatics Staff
- Venu Sarraff Monica Shepard
- Jonathan Edwards Teresa Horan
- Maggie Dudeck Dan Pollock
- Dawn Sievert Wenkai Li
- Mary Andrus Carlasha Jenkins
- Kelly Peterson Bobby Ray
- Ben Kupronis
- Consultants
- Alschuler Associates
- Frazier Consulting
- Association of Professionals in Infection Control
- SAIC Development Staff
- David McClanahan
- Romaine Tenney
- NCPHI
- Sundak Ganesan
- John Vrtachnik
- GB Kesarinath
- Vendors
- Theradoc,
- ICPA
- Medmined
- Premier Inc.
- Epiquest
- Vecna
## Objectives
- Overview of the National Healthcare Safety Network (NHSN)
- The what, why and how of Clinical Document Architecture (CDA) for NHSN and Healthcare Associated Infection (HAI) Reporting
- Challenges and Lessons Learned
## Web-based system that combines facility-level clinical performance measurement with national-level public health surveillance
http://www.cdc.gov/ncidod/dhqp/nhsn_members.html
Participating healthcare facilities use the NHSN application to enter, analyze, and share data
CDC uses data collected through NHSN for aggregate analysis and reporting
- Web-based system that combines facility-level clinical performance measurement with national-level public health surveillance
- http://www.cdc.gov/ncidod/dhqp/nhsn_members.html
- Participating healthcare facilities use the NHSN application to enter, analyze, and share data
- CDC uses data collected through NHSN for aggregate analysis and reporting
## NHSN’s technical design enables data entry via secure web pages or file transfers (standard electronic messages or documents) via secure internet connections.
## Over 1700 healthcare facilities enrolled; many more expected to join
Facilities in 47 states currently enrolled.
Collaborations with Center for Medicare and Medicaid Services, Veterans Health Administration, and other federal agencies
Collaborations with vendors of infection control surveillance systems.
- Facilities in 47 states currently enrolled.
- Collaborations with Center for Medicare and Medicaid Services, Veterans Health Administration, and other federal agencies
- Collaborations with vendors of infection control surveillance systems.
## NHSN Data Collection Forms
- Surgical Site Infection
- Urinary Tract Infection
- Pneumonia
- Multi-drug Resistant Organism
- Influenza vaccination coverage Central Line Insertion Practices
- Non-protocol events such as Skin and Soft Tissue Infection
- Associated denominators
**NHSN Data Collection Forms**
## Surgical Site Infection Form
## What is CDA?
- Paper
- XML*
- <text xmlns:cda="urn:hl7-org:v3">
- <table>
- <tbody>
- <tr>
- <td valign="top">Fever</td>
- <td valign="top">Yes</td>
- </tr>
- </tbody>
- </table>
- </text>
- * Extensible Markup Language
## What is XML?
- XML stands for E**X**tensible **M**arkup **L**anguage
- XML is a **markup language **much like HTML
- XML was designed to **carry data**, not to display data
- XML tags are not predefined. You must **define your own tags **
- XML is designed to be **self-descriptive **
- XML is a **W3C Recommendation **
## NHSN Web Interface and CDA
**Healthcare Facility**
**CDC**
**CDC Firewall**
**Entry of location mapping codes and monthly reporting plan**
**Vendor system used to collect HAI data and create CDA document**
**Facility Firewall**
**Parsing**
**and**
**Validating**
- CDA Document
**NHSN Application**
- Web-based data entry and access
## Standardize the structure and content of clinical documents for electronic exchange between systems or stand alone use
Achieve semantic interoperability, i.e., the ability of two systems to share data, with no prior negotiations
Provide a structured document foundation for standards-based electronic health record systems
- Achieve semantic interoperability, i.e., the ability of two systems to share data, with no prior negotiations
- Provide a structured document foundation for standards-based electronic health record systems
**Objectives of CDA**
## CDA documents are encoded in Extensible Markup Language (XML)
CDA documents derive their meaning from the HL7 v3 Reference Information Model (RIM ) and use HL7 v3 Data Types and vocabulary
A CDA document consists of a header and a body
Header is consistent across all clinical documents - identifies and classifies the document, provides information on patient, provider, encounter, and authentication
Body contains narrative text / structured content
- CDA documents derive their meaning from the HL7 v3 Reference Information Model (RIM ) and use HL7 v3 Data Types and vocabulary
- A CDA document consists of a header and a body
- Header is consistent across all clinical documents - identifies and classifies the document, provides information on patient, provider, encounter, and authentication
- Body contains narrative text / structured content
**Technical features**
## Persistence - Documents exist over time and can be used in many contexts
Stewardship - Documents must be managed, shared by the steward
Potential for authentication - Intended use as a legal documentation
Wholeness - Document includes its relevant context
Human readability - Essential for human authentication
- Stewardship - Documents must be managed, shared by the steward
- Potential for authentication - Intended use as a legal documentation
- Wholeness - Document includes its relevant context
- Human readability - Essential for human authentication
**CDA Characteristics**
## CDA Implementation Guides
- The Continuity of Care Document (CCD ) is an approved HL7 standard.
- Operative Notes (under development)
- Patient history and physical examination (under development)
- HAI Reporting (under development, first for public health)
- Morbidity reporting from healthcare to state and local health departments (awarded)
## What is Electronic messaging?
- An HL7 message is a dataset that serves a particular communication purpose and is expressed consistent syntax with standard vocabulary.
- Messages are used to exchange data in real-time. They convey status information and provide “current” data.
- Microbiology results, ADT, Pharmacy data from already established mission critical systems in healthcare.
## Electronic Messaging vs. CDA
| | Messages | Documents |
| --- | --- | --- |
| Lifetime | Temporary | Persistent |
| Communication | Trigger based | Human initiated |
| Source | Designed per system use case | Defined by clinical precedent |
| Context | Must be defined in each segment | Document as a whole |
## Collaborators for HAI CDA Development
- NHSN Subject Matter Experts
- Implementation Guide consultants
- Vocabulary Specialists
- HL7 Structured Documents Work Group
- Infection Control Surveillance System Vendors
## Components of CDA workflow
- Implementation Guide – provides guidance to implementers of CDA.
- Validator – xsl file that validates that a given CDA is well formed in accordance to the CDA R2 standard.
- Schematron – validates the conformance to the Implementation Guidance.
- Source application that generates the CDA document
- Parsing tool that receives the CDA document – validates that the data received within the CDA document adheres to the data validation of the receiving application.
## What is a clinical statement?
- Provides a standard way of expressing a discrete item of clinical information that is recorded because of its relevance to the care of a patient.
- The end result is that clinical observations such as a “fever” observation can be communicated consistently whenever it is expressed.
**Why is the clinical statement approach important in the context of data exchange?**
## Clinical Statement Types
- Observation (e.g. lab result)
- Procedure (e.g. Knee replacement)
- SubstanceAdministration (e.g. administer a medication)
- Supply (e.g. dispensing a drug)
- Encounter (e.g. hospitalization)
- Organizer (e.g. pairing of a pathogen and susceptibility test)
- Consent (e.g. consent for the information contained in the document to be released to a third party)
## Implementation Guide: Conformance statements
- The Implementation Guide further constrains the RIM and specific direction to the implementer through conformance statements.
## Conformance statements are used to create clinical statements in XML
- <!-- Criterion of Diagnosis Observations -->
- <component>
- <observation classCode="OBS" moodCode="EVN" negationInd="false">
- <!-- template for observation: Criterion of Diagnosis Observation -->
- <templateId root="upd-9"/>
- <code codeSystem="2.16.840.1.113883.5.4" code="ASSERTION"/>
- <statusCode code="completed"/>
- <value xsi:type="CD" codeSystem="2.16.840.1.113883.6.96"
- codeSystemName="SNOMED" code="386661006" displayName=“Fever"/>
- </observation>
- </component>
## Example of NHSN Clinical Criteria for Bloodstream Infection
## <text xmlns:cda="urn:hl7-org:v3">
- <table>
- <tbody>
- <tr>
- <td valign="top">Fever</td>
- <td valign="top">Yes</td>
- </tr>
- </tbody>
- </table>
- </text>
- <!-- Criterion of Diagnosis Observations -->
- <component>
- <observation classCode="OBS" moodCode="EVN" negationInd="false">
- <!-- template for observation: Criterion of Diagnosis Observation -->
- <templateId root="upd-9"/>
- <code codeSystem="2.16.840.1.113883.5.4" code="ASSERTION"/>
- <statusCode code="completed"/>
- <value xsi:type="CD" codeSystem="2.16.840.1.113883.6.96"
- codeSystemName="SNOMED" code="386661006" displayName=“Fever"/>
- </observation>
- </component>
- Required narrative block
- Structured Body
## <text xmlns:cda="urn:hl7-org:v3">
- <table>
- <tbody>
- <tr>
- <td valign="top">Fever</td>
- <td valign="top">Yes</td>
- </tr>
- </tbody>
- </table>
- </text>
- Required narrative block
## <!-- Criterion of Diagnosis Observations -->
- <component>
- <observation classCode="OBS" moodCode="EVN" negationInd="false">
- <!-- template for observation: Criterion of Diagnosis Observation -->
- <templateId root="upd-9"/>
- <code codeSystem="2.16.840.1.113883.5.4" code="ASSERTION"/>
- <statusCode code="completed"/>
- <value xsi:type="CD" codeSystem="2.16.840.1.113883.6.96"
- **codeSystemName="SNOMED" code="386661006" displayName=“Fever"/>**
- </observation>
- </component>
- Structured Body
## Coded Value within the structured body
**Coded Value within the structured body**
## Standard Vocabulary in NHSN’s CDA Surgical Site Infection Report
**Standard Vocabulary in NHSN’s****CDA Surgical Site Infection Report **** **
- _Signs & Symptoms_
- □ Purulent drainage or material
- □ Pain or tenderness
- □ Localized swelling
- □ Redness
- □ Heat
- □ Fever
- □ Incision deliberately opened
- by surgeon
| Source | Code |
| --- | --- |
| SNOMED | 307491001 |
| NSHN term | SS_pain |
| NSHN term | SS_locSwell |
| SNOMED | 386713009 |
| SNOMED | 304214002 |
| SNOMED | 386661006 |
| NSHN term | SS_incision |
## NHSN/CDA status
- Bloodstream Infection pilot Fall 2007
- Surgical Site Infection pilot Summer 2008
- Implementation Guides currently under ballot for MDRO and clinical criteria.
- Implementation Guides currently under construction for Patient Flu and Central Line Insertion Practices events.
- Coming soon – Custom Events, UTI and PNEU
## Lessons learned
- NHSN data requirements gathering - required work on a detailed data level that in some instances called for clarification from Subject Matter Experts and close collaboration with CDA modelers.
- Identified the value of working with vendors in terms of close reviews of the IG and reality checks in the form of pilot projects while the IG remains a work in progress
- Identified the value of working with Alschuler Associates (technical expertise with CDA and know-how with respect to HL7 processes)
- Identified the value of considering receiving data electronically and through a user interface when designing business rules.
## Q & A
- Marla Albitz
- NHSN Project Manager
- Lockheed Martin contractor
- Centers for Disease Control and Prevention
- 1600 Clifton Road, NE Mail Stop A24
- Atlanta, GA 30333
- Office (404) 639-4292
- e-mail: [email protected]
**Contact Information**
|
en
|
converted_docs
|
425746
|
UNITED STATES DEPARTMENT OF EDUCATION
OFFICE OF SPECIAL EDUCATION
AND REHABILITATIVE SERVICES
REHABILITATION SERVICES ADMINISTRATION
WASHINGTON, DC 20202
[INFORMATION MEMORANDUM]{.underline}
RSA-IM-93-23
RSM-
Date: August 9, 1993
ADDRESSEES: STATE VOCATIONAL REHABILITATION AGENCIES (GENERAL)
STATE VOCATIONAL REHABILITATION AGENCIES (BLIND)
CLIENT ASSISTANCE PROGRAMS
RSA SENIOR MANAGEMENT TEAM
REGIONAL REHABILITATION CONTINUING EDUCATION
PROGRAMS
RSA DISCRETIONARY GRANTEES
SUBJECT : References to the Americans with Disabilities Act of 1990
Contained in the 1992 Amendments to the Rehabilitation Act of 1973
CONTENT : The 1992 Amendments to the Rehabilitation Act of 1973 (the
Act) contain numerous references to the Americans with Disabilities Act
of 1990 (the ADA). Some of these references ensure that the goals and
intent of the two acts are identical or working in concert. Other
modifications to the Act were made to conform language of the Act with
similar language in the ADA. This Information Memorandum highlights key
provisions/changes in the Act along with a summary of the purpose for
the changes. The language of the law is presented in **bold** print with
new language [underlined]{.underline}. A summary of the changes follows
the statutory language.
**FINDINGS; PURPOSE; POLICY**
**Section 7 Definitions**
\(8\) **[(E) For the purposes of sections 501, 503 and 504
-]{.underline}**
(i) **[for purposes of the application of subparagraph (B) to such
sections, the term \"impairment\" does not include homosexuality or
bisexuality; and]{.underline}**
**(ii) [therefore the term \"individual with a disability\" does not
include an individual on the basis of homosexuality or
bisexuality.]{.underline}**
**[(F) For the purposes of section 501, 503 and 504, the term
\"individual with a disability\" does not include an individual on the
basis of -]{.underline}**
**[(i) transvestism, transsexualism, pedophilia, exhibitionism,
voyeurism, gender identity disorders not resulting from physical
impairments, or other sexual behavior disorders;]{.underline}**
**[(ii) compulsive gambling, kleptomania, or pyromania;
or]{.underline}**
**[(iii) psychoactive substance use disorders resulting from current
illegal use of drugs.]{.underline}**
These modifications conform language in the definition of \"individual
with a disability\" to that
used in the civil rights sections of Title V of the Act so that the
protected class coverage of these
sections is similar to the protected class coverage of the ADA. They
incorporate the exclusions
from the term \"individual with a disability\" set forth in the ADA for
purposes of sections 501,
503, and 504 of the Rehabilitation Act.
**TITLE I - VOCATIONAL REHABILITATION SERVICES**
**PART A - GENERAL PROVISIONS**
**Section 100 Declaration of Policy; Authorization of Appropriations**
**(a)(1) Congress finds that --**
**[(E) enforcement of title V and of the Americans with Disabilities Act
of 1990 (42 U.S.C. 1210 et seq.) holds the promise of ending
discrimination for individuals with disabilities;]{.underline} . . .**
Under section 100(a)(1)(D), Congress identified discrimination as one of
the reasons for the significant number of individuals with disabilities
being unemployed or underemployed. With this language Congress
highlights the importance of eliminating discrimination in order for the
purposes of Title I of the Act to be fulfilled.
**Section 101 State Plans**
**(a)(6)(B) provide satisfactory assurances that facilities used in
connection with the delivery of services assisted under the plan will
comply with the Act of August 12, 1968, commonly known as the
Architectural Barriers Act of 1968, [with section 504 of this Act, and
with the Americans with Disabilities Act of 1990.]{.underline}**
States must provide assurances, as part of their State plan, that the
facilities used in the provision of services comply with the
Architectural Barriers Act, section 504 of the Act, and the ADA. The
Architectural and Transportation Barriers Compliance Board, also known
as the Access Board, establishes the accessibility standards under each
of these acts. The standards can be found at 34 CFR 104.23(c) and 41 CFR
Appendix A, Subpart 101-19.6.
**Section 103 Scope of Vocational Rehabilitation Services**
**(b) Vocational rehabilitation services, when provided for the benefit
of groups of individuals, may also include the following:**
**[(5) Technical assistance and support services to businesses that are
not subject to title I of the Americans with Disabilities Act of 1990
(42 U.S.C. 12111 et seq.) and that are seeking to employ individuals
with disabilities.]{.underline}**
This provision allows State agencies, as part of their services to
groups of individuals, to provide technical assistance and support
services to companies that are trying to employ people with disabilities
but which do not have to comply with the ADA. Generally, this would mean
companies which employ less than the current threshold of 25 employees
or the future threshold of 15 employees.
**[Section 109 Training of Employers with Respect to Americans with
Disabilities Act of 1990]{.underline}**
**[A state may expend payments received under section 111
-]{.underline}**
**[(1) to carry out a program to train employers with respect to
compliance with the requirements of title I of the Americans with
Disabilities Act of 1990 (42 U.S.C. 12111 et seq.); and]{.underline}**
**[(2) to inform employers of the existence of the program and the
availability of the services of the program.]{.underline}**
This provision authorizes the expenditure of funds under the Vocational
Rehabilitation Services Program for State programs that educate and
train employers on the employment provisions of the ADA. It also allows
for expenditures which advertise, market, or otherwise make employers
aware of the existence of these programs. This authorization is specific
to training programs concerning Title I of the ADA and does not
authorize expenditures for programs focusing on Title II (State and
Local Governments) or Title III (Program Accessibility) of the ADA.
**Section 112 Client Assistance Program**
**(a) . . .[The client assistance program shall provide information on
the available services and benefits under this Act and title I of the
Americans with Disabilities Act of 1990 (42 U.S.C. 12111 et seq.) to
individuals with disabilities in the State, especially with regard to
individuals who have traditionally been unserved or underserved by
vocational rehabilitation programs.]{.underline} . . .**
This provision requires that each CAP provide information not only on
the services and benefits under the Act but also those available under
Title I of the ADA. This provision also requires CAP to focus these
outreach efforts on unserved and underserved groups.
**PART C - INNOVATION AND EXPANSION GRANTS**
**[Section 123 Use of Funds]{.underline}**
**[A state may use funds made available under this part, directly or by
grant, contract, or other arrangement, to carry out]{.underline}**
**[(1) programs to initiate and expand employment opportunities for
individuals with severe disabilities in integrated settings that allow
for the use of on-the-job training to promote the objectives of title I
of the Americans with Disabilities Act of 1990 (42 U.S.C. 12111 et
seq.);]{.underline}**
**[. . .]{.underline}**
**[(4) programs and activities that -]{.underline}**
**[(A) assist employers in accommodating, evaluating, training or
placing individuals with disabilities in the workplace of the employer
consistent with provisions of this act and title I of the Americans with
Disabilities Act of 1990; and]{.underline}**
**. . .**
**[(11) support the provision of training and technical assistance to
clients, business, industry, labor, community rehabilitation programs,
and others regarding the implementation of the amendments made by
Rehabilitation Act]{.underline}**
> **[Amendments of 1992, of title V of this Act, and of]{.underline}**
>
> **[the Americans with Disabilities Act of 1990; and]{.underline}**
Among the authorized uses of funds under the Innovation and Expansion
grants program is the establishment of on-the-job training programs for
individuals with severe disabilities. These programs must be in
integrated settings and must promote the equal employment opportunities
objectives of the ADA. States may also provide or contract for programs
and activities under this part which assist employers with
accommodating, evaluating, training, and placing individuals with
disabilities. Again, these programs must be consistent with the goals
and objectives of the Act and the ADA. Finally, States may provide or
support the provision of training and technical assistance under this
part to anyone concerning the 1992 Amendments, the provisions of title V
(usually sections 501, 503 and 504), as well as any of the provisions of
the ADA, not simply title I of the ADA.
**TITLE II - RESEARCH**
**Section 204(b) Research Activities**
**(3)[(D)(i) In establishing Centers to conduct the research or
demonstration activities described in subparagraph (B)(iii), the
Director may establish one Center in each of the following areas of
focus:]{.underline}**
**[. . .]{.underline}**
**[(III) Employment, including supported employment, and reasonable
accommodations and reduction of environmental barriers as required by
the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.)
and title V]{.underline}** \[of the Act\].
Under the Research title (Title II) of the Act, this section supports
the establishment of Rehabilitation Engineering Research Centers. One
authorized focus area (employment) of such a Center includes reasonable
accommodations and the reduction of environmental barriers as required
by the ADA and Title V of the Rehabilitation Act.
**TITLE III - TRAINING AND DEMONSTRATION PROJECTS**
**Section 302 Training**
**[(a)(3) In carrying out this subsection, the Commissioner shall
furnish training regarding the services provided under this Act, and, in
particular, services provided in accordance with amendments made by the
Rehabilitation Act Amendments of 1992, to rehabilitation counselors and
other rehabilitation personnel. In carrying out this subsection, the
Commissioner shall also furnish training to such counselors and
personnel regarding the applicability of section 504 of this Act, title
I of the Americans with Disabilities Act of 1990, and the provisions of
titles II and XVI of the Social Security Act that are related to work
incentives for individuals with disabilities.]{.underline}**
This provision stipulates that training will be provided to
rehabilitation counselors and other rehabilitation personnel on the
applicability of title I of the ADA to vocational rehabilitation and
employment of individuals with disabilities.
**TITLE IV - NATIONAL COUNCIL ON DISABILITY**
**Section 401 Duties**
**[(a)(7) gather information about the implementation, effectiveness,
and impact of the Americans with Disabilities Act of 1990 (42 U.S.C.
12101 et seq.);]{.underline}**
This section adds a new responsibility for the National Council on
Disability to gather information regarding the implementation,
effectiveness, and impact of the ADA.
**TITLE VI - EMPLOYMENT OPPORTUNITIES FOR INDIVIDUALS WITH
DISABILITIES**
**Section 621 Part B - Projects with Industry**
**[(a)(6) The Commissioner may include, as part of agreements with grant
recipients, authority for such grant recipients to provide technical
assistance to -]{.underline}**
**. . .**
**[(C) assist employers in understanding and meeting the requirements of
the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) as
the Act relates to employment of individuals with
disabilities.]{.underline}**
> This provision allows the Commissioner to include, as part of the
>
> agreements with PWI grantees, authority for them to provide technical
>
> assistance to employers concerning the employment provisions
>
> of the ADA.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Acting Commissioner
Rehabilitation Services
Administration
CC: CSAVR
NAPAS
|
en
|
converted_docs
|
030161
|
# SVX Bias Voltage Protection circuits.
The important characteristics of the needed circuits are 1) limiting the
voltage that is applied to the silicon sensors, 2) rapid operation, 3)
reliable operation and small impact on the bias voltage during normal
operation.
### Circuit Analysis
Three circuits that satisfy the above conditions can be labeled by their
effect on the bias voltage when they operate. The crowbar circuit will
short the bias output when the bias voltage exceeds the threshold value.
The clamp circuits (2 styles) try to hold the bias voltage at the
threshold value.
If a fuse is added to the circuit so it can isolate the silicon from the
supply.
The protection circuit will have leakage currents that will add to the
existing leakage of the silicon sensors. It is important to minimize
these currents in the protection circuit because sensor leakage will be
monitored as an indicator of radiation damage. There are four types of
active devices used in these circuits that can contribute to the leakage
currents. They are Zener Diodes, Silicon Controlled Rectifiers, Metal
Oxide Semiconductor Field Effect Transistors, and Transient Voltage
Suppressors. The table below shows example leakage currents for these
devices.
---------------- -------------- ----------- ----------------- ----------
Zener Diode SCR MOSFET TVS
Max Leakage (ua) \<0.1 2 1 1
---------------- -------------- ----------- ----------------- ----------
Using selected parts and their data sheet specifications, the three
circuits, crowbar, clamp1 and clamp2, add to the load on the power
supply by amounts shown in the table below.
----------------- ----------------- ----------------- -----------------
Crowbar Clamp1 Clamp2
Max Leakage (ua) 2.1 1.2 1
----------------- ----------------- ----------------- -----------------
With a fuse in line the circuit must draw enough current to melt the
fuse wire. The power supply is capable of 5 milliamps. The normal
operating current is less than 500 micro amps. The smallest fuse value
that is easily commercially available is 2 milliamps. This puts the
fault current at 2.5 times the fuse rating. The manufacturer
specifications rate the fuse opening time at 5 seconds (maximum) at
twice the fuse rating. The crowbar circuit has an advantage in that it
will minimize the voltage on the sensor during the time it takes to melt
the fuse. The two clamp circuits will hold the sensor voltage at the
threshold voltage during this time.
Figure 1 Crowbar Circuit
The "standard" power supply crowbar circuit is a good fit here. The
working voltages and currents are not taxing and allow for physically
small devices. The devices can be selected for low leakage currents. The
fault operation of the circuit removes all of the voltage, and therefore
the stress, from the SVX sensor.
Figure 2 Clamp1 Circuit
The clamp can also be optimized for leakage current and use small
devices. However, there are more parts to the circuit. Also undesirable
is the fact that if the fuse does not open, the clamp voltage remains on
the sensor until an operator takes action in response to the fault.
Figure 3 Clamp2 Circuit - Transient Voltage Suppressor
# The transient voltage suppressor is more suited protection from lightening strikes and large voltage spikes. The voltage threshold is "soft" with the device only beginning to draw current at the threshold voltage. I tested a 160-volt device and the device was not drawing 5 ma. until 170 volts. This circuit also does not remove the voltage from the sensor but clamps it at the threshold voltage. In this case, however, the voltage was not even firmly clamped.
# Conclusion
# The crowbar circuit is the first choice and will be implemented with an in line fuse. The zener diodes will be selected for the different power supply and ladder configurations but can be limited to three or four voltages. The circuit will have sites for three zeners to allow flexibility in setting the voltage. A single circuit board with five crowbars can be contained within a plastic case similar to the existing "scrambling" adapter used on some of the Caen supplies. Thus it will be a stand-alone module with connectors at each end that can be put in line with the cable to the detector. The fuse will be removable but for safety they will not be accessible without opening the case.
# Safety Issues.
The crowbar circuit should be usable on all types of CAEN power supplies
used in the CDF silicon systems, Types A509 -- SVX, A509H -- Layer 00,
and A510 -- ISL. The pin outs are different between some of these
modules but are matched to the single detector cable pin out by the use
of scrambling adapters. A single crowbar module should satisfy the needs
of all three systems if it is matched to the bias cable pin out.
### Printed Circuit Details
For purposes of this design and the following specification, references
to \"high voltage\" are defined as 512 DC volts under worst-case
conditions. Only one of the existing power supplies (A509H) is capable
of this voltage.
High voltage traces will be run on internal layers whenever possible to
minimize electrical leakage due to high humidity or condensation.
High voltage traces will be run on as few internal layers as possible,
and a minimum dielectric thickness/spacing of 0.28mm (IPC-2221 Table
6-1) around any layer (z-axis) carrying high voltage will be specified
on the master drawing. All layers carrying high voltage will be
designated on the master drawing as well.
The minimum dielectric strength of the printed circuit core material and
bonding material shall be specified on the master drawing as 750
volts/mil. The PC board fabricator will be specifically instructed to
choose prepreg resins and adhesives with similar dielectric strength
characteristics to that of the of the dielectric core material being
bonded.
The circuit board will utilize a conformal coating (soldermask) on all
external conductor layers. Via holes carrying high voltage will be given
a conformal coating over their external pads.
Adhering to IPC guidelines (IPC-2221 Table 6-1), the following minimum
high voltage trace spacing will be adhered to:
Internal HV conductors: 0.28mm (11.02 mils)
External HV conductors with conformal coating: 0.83mm (32.68 mils)
External HV component lead termination (uncoated): 1.53mm (60.24 mils)
External HV via hole pads with conformal coating: 0.83mm (32.68 mils)
External HV via hole pads without conformal coating: not permitted
The minimum spacing defined here will also apply between conductive
patterns, layer-to-layer conductive materials (z-axis) and between
conductive materials such as mounting hardware.
Minimum and maximum high voltage trace widths will be dependant upon the
current being delivered, the amount of acceptable temperature rise in
the circuit traces and the copper weight of the layers carrying the high
voltage traces. A safety factor of 100% in current capacity will be
implemented.
In normal operation the circuit will have up to 180 volts across it. In
the event of a power supply failure that applies the maximum possible
voltage to the output, the crowbar will operate at the threshold voltage
and reduce the voltage on the modules output connector to less than 2
volts. If the fuse operates normally and melts under the over current
condition, it will disconnect the crowbar from the power supply output.
If the fuse does not open, the voltage across the crowbar will be held
below 2 volts until an operator turns off the power supply.
The devices chosen for the prototype crowbar have these specifications:
+---------+---------+-----------------------+----------+-------------+
| Device | Type | Max fwd or Rev | Fwd I | Rev I - |
| | | Voltage | | leakage |
+---------+---------+-----------------------+----------+-------------+
| TCR22-8 | SCR | 600 Vdc | 1.5 A | 2 ua |
+---------+---------+-----------------------+----------+-------------+
| 1N52vv | Zener | 75 Vdc, 3 places | 6 ma | 0.1 ua |
| | | | I~z~ | |
+---------+---------+-----------------------+----------+-------------+
| 272.002 | Fuse | 125 V working, | 2 ma | NA |
| | | | | |
| | | \>500 V open | | |
+---------+---------+-----------------------+----------+-------------+
| Rn | R | 400 V | NA | NA |
| | esistor | | | |
+---------+---------+-----------------------+----------+-------------+
### Failure analysis
Failure modes of the crowbar devices after the power supply has failed:
- If the SCR fails shorted, the crowbar will not allow the voltage to
rise above a low voltage.
- If the SCR fails open, the crowbar will not protect the sensor. The
zener diodes and the resistors will have the full power supply
voltage across them. The zeners will conduct as much current as the
resistors will allow.
V ~resistors~ = V ~output~ -- V ~zeners~.
I ~resistors~ = I ~zeners~ = V ~resistors~ / R ~resistors~
The zeners for this design are expected to be in the range of 75 to 180
volts. The resistors are approximately 130 K ohms. The current should be
less than 3.3 ma. The lowest zener value (75v) will allow the voltage
across the resistor to exceed the specification of the resistor by about
10%.
- If the zeners or upper resistors fail open the crowbar will not
protect the sensor. The crowbar circuit will survive the 512 volts
across it.
- If the lower resistor fails open the crowbar will not allow the
voltage to rise above a low voltage.
- If one of the zeners fail shorted the crowbar will operate at a
significantly lower voltage.
- If upper resistor fails shorted the SCR gate current will be higher
than needed until the fuse operates of the operator turns off the
supply. The maximum current will be 1/200^th^ the maximum allowed
for this device.
- If the lower resistor fails shorted, the crowbar will clamp the
output voltage at the zener threshold voltage plus a few volts due
to the voltage developed across the conducting zeners and the upper
resistor.
### Materials safety
The plastic enclosure used for the Layer 00 module is a CN-0303 model
from PacTec Enclosures
([www.pactecenclosures.com](http://www.pactecenclosures.com/)). The case
material is a Polylac ABS plastic and it holds a UL94HB flame class
rating. The printed circuit board material is standard FR4 fiberglass
that is used throughout the industry. The components are common types
and packages used throughout the industry and HEP systems.
|
en
|
converted_docs
|
199580
|
**5.3 Vacuum Vessel**
**5.3.1 Introduction**
The vacuum vessel, shown in Fig. 5.3.1-1, provides the vacuum
environment for the plasma as well as the first confinement barrier for
radioactive materials. The vessel also serves as the support structure
for all in-vessel components, provides the first level of nuclear
shielding, and helps provide for the passive stabilization of the
plasma. The vessel system includes the torus, the ports and port
extensions, the gravity supports, the supports for internal components,
the passive stability plates, the internal control coils, and the
integrated coolant/bake-out lines.
{width="6.933333333333334in"
height="4.6722222222222225in"}
**5.3.2 Vessel Concept**
The vessel torus is a double wall sandwich structure consisting of 15 mm
thick inner and outer face-sheets attached to poloidal ribs. The space
between the face-sheets, which varies from 20 mm on the inboard side to
540 mm on the outboard side, is filled with radiation shielding material
and coolant. Water at 20-50 C and 1 MPa is used to remove nuclear
heating during normal operation. The water temperature is raised to 150C
for heating the vessel and internals during bake-out. The shielding
material can be single sized stainless steel balls with a packing
fraction of about 60% or stacked plates with a similar packing fraction.
The vessel parameters are summarized in Table 5.3.2-1.
The primary advantages of the double wall structure include higher
bending stiffness (for a given total material thickness) and better
integration of cooling and shielding. Most vacuum vessel designs in use
(JET, JT60, DIII-D) and most designs on the drawing board (ITER, KSTAR)
use full or partial double wall vacuum vessels. Figure 5.3.2-2 shows a
cutaway of the vessel and pertinent dimensions.
There are 16 sets of access ports around the torus, which are used for
RF heating, remote maintenance, diagnostics, internal cooling, fueling,
and pumping. There are large, 1.3 x 0.7 m midplane ports, upper and
lower trapezoidal ports approximately 0.15 x 0.5 m, and upper and lower
oblong vertical ports approximately .08 x 0.15 m in size. The sets of
port openings are identical at each toroidal location to provide
structural and design symmetry, but the port extensions may be varied to
match their specific purpose. The port extensions are required to extend
the vacuum boundary past the TF coil legs and through the cryostat
region. {width="5.875694444444444in"
height="4.539583333333334in"}
**5.3.3 Vessel loading and analysis**
The vessel is subjected to large gravity, seismic and electromagnetic
loads, as summarized in Table 5.3.3-1. The total vertical load is
estimated to be about 20 MN, while the net lateral load is about 7 MN.
To react these loads, the vessel is supported near the midplane on the
outboard side via vertical and lateral links to the TF coil structure.
The vertical links are attached to the radial ribs to spread the applied
loads vertically into the vessel. This minimizes the local bending
stresses in the vessel and provides a means for adjusting the vessel
location globally relative to the TF coils. Lateral supports are located
near the vertical links, and are tied to the top of the midplane ports.
The vessel must support all internal components, including the divertor
assemblies, the passive stability structure, and the first wall tiles.
The outboard divertor modules are actively cooled via pipes at each of
the upper and lower auxiliary ports. The passive stabilizing structure
is actively cooled with imbedded cooling tubes. The first wall tiles and
inboard divertor are cooled by conduction to the passive structure. All
components must have robust supports to react the electromagnetic loads
from a plasma disruption.
Preliminary structural analysis of the vessel indicates that the present
dimensions are acceptable to support the various loads. A finite element
model was developed for an earlier version of the vessel geometry, and
the stresses and deflections obtained are summarized in Table 5.3.3-2.
As seen in the table, there are some peak stresses around the divertor
supports at the top of the vessel that must be mitigated with additional
structure. Details of the stress and deflection analysis are contained
in Appendix D of this report.
**5.3.4 Passive plates and internal coils**
As indicated in Section 2, Physics, a system of highly conducting and
actively cooled passive plates and a set of internal control coils must
be incorporated into the vacuum vessel. The passive plates consist of 25
mm thick copper sheets that are bonded directly to the surface of the
vacuum vessel. The sheets are actively cooled via
internal water passages connected
through manifolds into the vessel cooling system. A bonded connection is
thought to be the most straightforward approach, since cooling can be
provided directly by the copper plates to both the
{width="6.501388888888889in"
height="4.706944444444445in"}
first wall tiles and the vessel, and continuous structural support can
be provided to the passive plates by the vessel. The method of bonding
has not been decided, but hot isostatic pressing (hipping) is one
possibility. The geometry of the passive plate system is shown in Figure
5.3.4-1.
In addition to the passive plates there are a pair of control coils
located between the outboard walls of the vessel above and below the
midplane ports. Multiple turns of conductors are run in permanent pairs
of conduits that are routed directly through the outboard wall. The
conductor will receive a moderately high radiation dose (\>10^9^ Rad)
and will be insulated with either MgO or a polyimide insulation system.
Redundant turns are being considered to mitigate one of the failure
modes. Each coil is designed to carry up to 75 kA.
**5.3.5 Fabrication and assembly**
The vessel is fabricated in octants, as shown in Figure 5.3.5-1. Each
octant consists of the torus, associated gravity and internal supports,
short reinforcing stubs around the major port openings and the active
and passive stabilizer systems. At assembly, each vessel octant is
rotated into the bore of a pre-assembled TF coil pair and connected via
the support links. The TF/VV subassemblies are then positioned relative
to each other with the mating joints located at radial planes between TF
coils, through the center of the ports.
When all the octants are in place and positioned, they are welded
together from the plasma side of the torus. The field joint for the
double wall structure uses splice plates on the plasma side to provide a
means for accessing the coil-side facesheet from the plasma side of the
torus. This type of joint has undergone significant, full scale testing
using remote welding equipment as part of the ITER R&D program. After
the vessel is welded, the gaps in the passive stabilizers are filled
with plasma sprayed copper to complete the upper and lower stabilizing
circuits. After the torus is welded, the port extensions are fitted and
welded to the port stubs. This completes the vessel
assembly.{width="5.990277777777778in"
height="4.586805555555555in"}
|
en
|
markdown
|
562998
|
# Presentation: 562998
## Facility Strategy
- RHIC performance overview
- Luminosity and polarization evolution
- (towards “enhanced luminosity”)
- Future upgrades
- EBIS
- RHIC luminosity upgrade
- eRHIC
## Gold Ion Collisions in RHIC
**RHIC**
**AGS**
**BOOSTER**
**9 GeV/u**
**Q = +79**
**1 MeV/u**
**Q = +32**
**Beam Energy = 100 GeV/u **
## RHIC Au-Au performance – 2 x design luminosity
**Injector**
**RHIC**
- design luminosity
**Luminosity [x10****26****]**
**0**
**5**
**10**
**15**
## RHIC Run 5 Delivered Cu-Cu Luminosity
**RHIC Run 5 Delivered Cu-Cu Luminosity**
## RHIC polarized proton accelerator complex
_***BRAHMS***_
_***STAR***_
_***PHENIX***_
**AGS**
**LINAC**
**BOOSTER**
- Pol. H- Source
- Spin Rotators
- (longitudinal polarization)
- Solenoid Partial Siberian Snake
- Siberian Snakes
- 200 MeV Polarimeter
- AGS Internal Polarimeter
- Rf Dipole
- RHIC pC Polarimeters
- Absolute Polarimeter (H jet)
- AGS pC Polarimeters
**Strong Helical AGS Snake**
- Helical Partial Siberian Snake
_***PHOBOS***_
- Spin Rotators
- (longitudinal polarization)
- Spin flipper
- Siberian Snakes
## New AGS helical snakes
**New AGS helical snakes**
- 2.6 m
- 2.6 m
- 30% s.c. helical snake build at BNL SMD
- Installed in March 2005
- Warm snake avoids polarization mismatch at AGS injection and extraction.
- Cold strong snake eliminates all depolarizing resonances in AGS.
- 5 % helical snake build at Tokana Industries funded by RIKEN.
## Siberian Snake in RHIC Tunnel
- Siberian Snake: 4 superconducting helical dipoles, 4Tesla, 2.4 m long with full 360 twist
- Funded by RIKEN, Japan
- Designed and constructed at BNL
## Polarization survival in RHIC
- Spin rotator ramp
- Acceleration and squeeze ramp
## RHIC – a Uniquely Flexible High Luminosity Collider
- (Nucleon-pair luminosity *A*1*A*2*L* allows comparison of different species)
- Luminosity increased by 2 orders of magnitude in 4 years.
## RHIC Accelerator Complex Operations
**7 major accelerator systems (2 Tandems, Linac, Booster, AGS, 2 RHIC rings) consisting of:**
- 6 miles of evacuated beam lines (large part of it below 10-10 Torr)
- 4.5 miles of superconducting magnets and cryostat
- 25 [email protected] He refrigerator (12 turbines, 25 compressors,...)
- 2 rapid cycling synchrotrons (16 MW and 40 MW power supplies)
- 42 high power rf systems (0.1 – 200 MHz)
- 1300 programmable DC power supplies
- 54 pulsed power systems
- FY05 operations budget ($95M, equal to the recommendation of $95M [2005$] from 2002 RHIC operations review) is sufficient for safe and efficient operation of 31 cryo-weeks with excellent availability.
- Ongoing investment to improve operating efficiency (cryo upgrade: 2 MW reduction of el. power consumption, EBIS)
## RHIC availability and time in store
**RHIC availability and time in store**
- Excellent availability despite very complex operation modes.
- Machine set-up time reduced to just 3 weeks.
**FY05Q2 Weekly Availability**
## Major contributions from non-DOE sources to the RHIC accelerator complex:
RIKEN, Japan: RHIC Spin (~ $70M, RBRC)
NASA: NASA Space Radiation Laboratory ($4.5M contribution to EBIS)
NSF and Canada: RSVP (construction not started yet, major infrastructure upgrade to Booster and AGS)
- RIKEN, Japan: RHIC Spin (~ $70M, RBRC)
- NASA: NASA Space Radiation Laboratory ($4.5M contribution to EBIS)
- NSF and Canada: RSVP (construction not started yet, major infrastructure upgrade to Booster and AGS)
**Connection to other programs**
## Future plans for RHIC
- Machine goals for next few years with upgrades in progress:
**Enhanced RHIC luminosity (112 bunches, ********* = 1m):**
**Au ****– ****Au: **** **** 8 ******** 10****26**** cm****-2**** s****-1 ****(100 GeV/nucleon) **
**For protons also 2 ******** 10****11**** protons/bunch (no IBS):**
**p******** – p********: **** **** 60 ******** 10****30**** cm****-2**** s****-1****; 70 % polarization (100 GeV)**** ****150 ******** 10****30**** cm****-2**** s****-1****; 70 % polarization (250 GeV)**(luminosity averaged over store delivered to 2 IRs)
- EBIS (low maintenance linac-based pre-injector; all species incl. U and pol. He3; avoid Tandem investment; ~ 3 year pay-back period)
- RHIC luminosity upgrade (e-cooling, ~10 **** more luminosity, R&D in progress)
- eRHIC (high luminosity (1 1033 cm-2 s-1) eA and pol. ep collider)
- 2 achieved
- 6 achieved
## EBIS/Linac-based RHIC Pre-Injector
- Highly successful development of Electron Beam Ion Source (EBIS) at BNL: meets RHIC performance requirements.
- EBIS allows for a reliable, low maintenance Linac-based pre-injector replacing the Tandem Van de Graaffs
- Greatly reduced operating costs, and avoidance of ~ 9 M$ in reliability-driven investments in the tandems
- Highly flexible to handle the multiple simultaneous needs of RHIC and NSRL
- Produces beams of ALL ion species including noble gas ions (NSRL), Uranium (RHIC) and polarized He3 (eRHIC)
- Ready to start construction, CD0 received; Cost: 19.4 M$; 3.5 year construction schedule: FY2006 – 09NASA participation ($ 4.5M)
## EBIS layout
## RHIC luminosity upgrade
- Eliminate beam blow-up from intra-beam scattering with electron beam cooling at full energy!
- What will remain the same:
- 120 bunch pattern
- 100 ns collision spacing ( ~ same data acquisition system)
- Only one beam collision between DX magnets
- 20 m magnet-free space for detectors
- No “mini-beta” quadrupoles
- Approx. the same bunch intensity
- No new beam intensity issues
- Background similar as before upgrade
- What changes:
- Smaller transverse and longitudinal emittance
- Smaller vertex region (Increased luminosity within detector acceptance)
- Beta squeeze during store to level luminosity
- Store length is limited to ~ 5 hours by “burn-off” due to Au-Au interactions (~ 200 b)
## Electron Cooling R&D
- Superconducting ERL
**Electron Cooling R&D**
- Buncher Cavity
- Cooling Solenoids (2 x 13m, 2-5 T)
- Debuncher Cavity
**Gold beam**
- Benchmarking of IBS and cooling simulation codes
- Demonstrate high precision (<10 ppm) solenoid (2-5 T)
- Demonstrate 20 nC, 100-200 mA 703.8 MHz CW SCRF electron gun
- Develop 703.8 MHz CW superconducting cavity for high intensity beams
- Build R&D Energy Recovering Linac (ERL)
- 54 MeV, 100 mAelectron beam
## RHIC Luminosity with and without Cooling
**RHIC Luminosity with and without Cooling**
- With e-cooling
- Without e-cooling
- Luminosity leveling through
- continuously adjusted cooling
- Store length limited to 4 hours by “burn-off”
- Four IRs with two at high luminosity
- 2 mm
- 5 hours
**Electron cooling simulations**
- Transverse beam profile during store
- Also able to pre-cool polarized protons at injection energy
## RHIC Luminosity Upgrade with Electron Cooling
**Gold collisions (100 GeV/n x 100 GeV/n): **** **** w/o e-cooling**** ****with e-cooling**
- Emittance (95%) m 15 40 15 3
- Beta function at IR [m] 1.0 1.0 0.5
- Number of bunches 112 112
- Bunch population [109] 1 1 0.3
- Beam-beam parameter per IR 0.0016 0.004
- Ave. store luminosity [1026 cm-2 s-1] 8 70
**Pol. Proton Collision (250 GeV x 250 GeV):**
- Emittance (95%) m 20 12
- Beta function at IR [m] 1.0 0.5
- Number of bunches 112 112
- Bunch population [1011] 2 2
- Beam-beam parameter per IR 0.007 0.012 ?
- Ave. store luminosity [1032 cm-2 s-1] 1.5 5.0
## Electron-Ion Collider at RHIC: eRHIC
**Electron-Ion Collider at RHIC: eRHIC**
- 10 GeV, 0.5 A e-ring with 1/3 of RHIC circumference (similar to PEP II HER)
- 10 GeV electron beam s1/2 for e-A : 63 GeV/u; s1/2 for e-p: 100 GeV
- Electron cooling required for high luminosity e-A and low energy e-p collisions
- Polarized e-He3 (e-n) collisions with EBIS
- Existing RHIC interaction region allows for typical asymmetric detector
- Luminosity: up to 1 1033 cm2s1 per nucleon (1 1034 cm2s1 with linac – ring scheme)
- BNL, MITcollaboration
## Summary
- Since 2000 RHIC has collided, for the first time,
- Heavy ions
- Light on heavy ions
- Polarized protons (45% beam polarization)
- Heavy ion luminosity increased by factor 100
- For next 4 years planned:
- Factor 2 increase in heavy ion luminosity
- Factor 6 increase in proton luminosity
- Factor 2 increase in proton beam polarization
- Future upgrades:
- RHIC luminosity upgrade (~10x) using electron cooling at store
- Electron-ion collider eRHIC
## Back-up material
## RHIC design, achieved and enhanced design parameters
| Mode | No of bunches | Ions/bunch [9] | * [m] | Beam polarization | | Lpeak [cm-2s-1] | Lstore ave [cm-2s-1] | A1A2Lstore ave [cm-2s-1] | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Design values (1999) | | | | | | | | | |
| Au – Au | 56 | 1.0 | 2 | | | 81026 | 21026 | | 81030 |
| p – p | 56 | 100 | 2 | | | 51030 | 41030 | | 41030 |
| Achieved values (2004) | | | | | | | | | |
| Au – Au | 45 | 1.1 | 1 | | | 151026 | 41026 | | 161030 |
| p – p | 56 | 70 | 1 | | 45% | 51030 | 41030 | | 41030 |
| p – p | 56 | 170 | 1 | | | 151030 | 101030 | | 101030 |
| Enhance design values (2008) | | | | | | | | | |
| Au – Au | 112 | 1.1 | 1 | | | 301026 | 81026 | | 311030 |
| p – p | 112 | 200 | 1 | | 70% | 801030 | 651030 | | 651030 |
**Other high luminosity hadron colliders:**
- achieved goal scaled to 200 GeV
- Tevatron (2 TeV) 1001030 2001030 201030
- LHC (14 TeV) 100001030 1401030
## Alternative eRHIC Design: Linac - Ring
- Electron ring replaced by energy-recovering linac, electrons in RHIC arcs:Higher luminosity (1 1034 cm2s1), simpler IR design, multiple IRs possible, 20 GeV upgrade possible
## EBIS Completion
**EBIS Completion**
## FY06 cryo-weeks reduced from 31 to 12 weeks
Combine FY06-07 runs for some models. Avoid summer running. Begin on 10/1/06 after 15 month shutdown.
$300K (ions) - $325K (polarized proton) / week running and $75K / week power costs when off
EBIS construction is expedited. Funding increased from $2.0M to $3.6M (+ $1.5M from NASA). Reprogram AIP ($0.5M), capital ($0.7M + $0.4M)
Operations manpower reductions of 30-34 FTE (355->325-321 FTE)
The efficient and safe operation of the accelerator complex with the proposed staff size is more difficult. Present staff workload and stress levels are high. Concern that key accelerator physicists will move across the Atlantic. Loss of expertise is a major issue.
Some staff would be assigned to RSVP, if funding arrives in time.
Electron cooling R&D will be reduced as EBIS takes priority and RHICII recedes into future
Reassign waste management funding. 50% used to support FY06
- Combine FY06-07 runs for some models. Avoid summer running. Begin on 10/1/06 after 15 month shutdown.
- $300K (ions) - $325K (polarized proton) / week running and $75K / week power costs when off
- EBIS construction is expedited. Funding increased from $2.0M to $3.6M (+ $1.5M from NASA). Reprogram AIP ($0.5M), capital ($0.7M + $0.4M)
- Operations manpower reductions of 30-34 FTE (355->325-321 FTE)
- The efficient and safe operation of the accelerator complex with the proposed staff size is more difficult. _Present_ staff workload and stress levels are high. Concern that key accelerator physicists will move across the Atlantic. Loss of expertise is a major issue.
- Some staff would be assigned to RSVP, if funding arrives in time.
- Electron cooling R&D will be reduced as EBIS takes priority and RHICII recedes into future
- Reassign waste management funding. 50% used to support FY06
**Impact of FY2006 Presidential on Accel. Ops.**
## Impact of FY06P + constant effort (flat) funding on Accel. Ops.
- Combined FY06-07 run.
- With EBIS:
- Reprogram funds to complete EBIS project (FY06-09).
- No run in FY08
- Combined FY09-10 run.
- Yearly 24 cryo-weeks running FY11 and later. Reduced operations cost form EBIS completion allows for more running.
- Without EBIS:
- Reprogram funds to complete Tandem reliability upgrade (FY07-09)
- Combined FY08-08 run
- Yearly 20 cryo-weeks running FY10 and later
- The efficient and safe operation of the accelerator complex with the staff size is more difficult.
- This funding model supports the most favorable but still a dwindling long term physics program
## Impact of FY06P + “flat-flat” on Accel. Ops.
- EBIS will not be built.
- Flat-flat funding would only allow for a combined FY06-07 and a combined FY08-09 run and then unable to support a physics program thereafter.
- Loss of expertise to complete the proposed runs is significant.
- The efficient and safe operation of the accelerator complex with the FY06 staff size is more difficult.
- This funding model rapidly leads to RHIC termination.
## BNL proposed (FY2005 + constant effort)
- 31 cryo-week each year
- Physics program includes ions and polarized protons to 500 GeV cm.
- EBIS project completed in 3.5 years
- Reduce injector group manpower
- Accelerator R&D support of electron cooling for future RHICII and eRHIC would remain on a fast track.
- AIP support to continue to replace aging machine components and improve performance, eg. RHIC cryogenic system is 25 years old, would be accomplished in an orderly manner.
- RHIC running efficiency and safety are not a concern.
|
en
|
markdown
|
678957
|
# Presentation: 678957
## Poisoning Deaths- Time for a new definition?
- Lois A. Fingerhut and Clare Griffiths
- May 2004
## Counting poisoning deaths as an underlying cause of death
- ICD-definition in mortality matrix
- Unintentional
- Suicide
- Homicide
- Undetermined
- ICD codes are:
- Drug-related
- Alcohol- related
- Gases and vapors
## Drug-related codes in Mental Health Chapter of ICD
- F10-F19
- Alcohol (F10)
- Opioids (F11)
- Cocaine (F14)
- Other (F12-13, 15-16, 18-19)
- 4th digits..
## 4th digits... (leading ones in US)
- 0 acute intoxication (primarily alcohol)
- 1 harmful use
- 2 dependence syndrome (primarily alcohol)
- 3-9 other
## ICD ‘definitions’ of drug poisoning: this analysis
| | | ICD-10 |
| --- | --- | --- |
| Nondependent abuse of drugs |
305.2-.9 | F11-16, 18-19 (not .2) |
| Dependent abuse | 304 | F11-16,18-19(.2) |
| Unintentional | E850-E858 | X40-X44 |
| Suicide | E950(.0-5) | X60-X64 |
| Undetermined | E980(.0-.5) | Y10-Y19 |
| Homicide | E962.0 | X85 |
| Alcohol intoxication | 305.0 | F10.0 |
_**ICD-9**_
**Notes:**
For this presentation, my co-authors and I agreed that there were various ways one could define drug poisoning deaths. For t he orange block there was unanimous agreement. Note however, that the nondep abuse codes have never been an accepted inclusion into the definition of poisoning death. In E&W, The codes for Dependent abuse of drugs are included in their poisoning death reports (separate from all cause reports). Alcohol intox is not included but a case can be made for it...
## Drug poisoning deaths, ages 35-54 by intent and abuse
## All (??) Poisoning deaths: US 2001
## National Academy of Science May 2004
- U.S. Institute of Medicine has recommended that WHO should review and reform the ICD codes for poisoning
- NCHS should review the methodology of its existing surveys to maximize the value....for poison prevention and control.
- From: Forging a Poison Prevention and Control System (2004)
|
en
|
markdown
|
592538
|
# Presentation: 592538
## Performance-Portability and the Weather Research and Forecast Model
- John Michalakes, Richard Loft, Alfred Bourgeois
- National Center for Atmospheric Research
- Boulder, Colorado U.S.A
- HPC Asia 2001 September 25, 2001
## Outline
- WRF Model Project
- Performance portability and why
- Studies
- Storage order using whole code
- Detailed profiling using kernels
- Conclusions
## WRF Project Overview
- Develop advanced model and data-assimilation system for mesoscale NWP
- Accurate, efficient, applicable over a broad range of scales
- Focus on 1-10km resolution
- _Advanced dynamics, physics, data assimilation, nesting_
- Flexible, modular, performance-portable
- Large, multi-institution effort
- Promote closer ties between research and operations
- Pool resources
- Milestones and status
- First release Nov. 2000
- Current release: May 2001
- Research community version in 2002; full operational implementation 2004
- Dynamical cores:
- Time-split explicit Eulerian
- 5th order advection
- Height and mass coordinate
- Semi-implicit Semi-Lagrangian
- Full physics with multiple options for each type
- 3DVAR, 4DVAR
## WRF Project Overview
- Develop advanced model and data-assimilation system for mesoscale NWP
- Accurate, efficient, applicable over a broad range of scales
- Focus on 1-10km resolution
- Advanced dynamics, physics, data assimilation, nesting
- _Flexible, modular, performance-portable_
- Large, multi-institution effort
- Promote closer ties between research and operations
- Pool resources
- Milestones and status
- First release Nov. 2000
- Current release: May 2001
- Research community version in 2002; full operational implementation 2004
## WRF Project Overview
- Develop advanced model and data-assimilation system for mesoscale NWP
- Accurate, efficient, applicable over a broad range of scales
- Focus on 1-10km resolution
- Advanced dynamics, physics, data assimilation, nesting
- _Flexible, modular, performance-portable_
- Large, multi-institution effort
- Promote closer ties between research and operations
- Pool resources
- Milestones and status
- First release Nov. 2000
- Current release: May 2001
- Research community version in 2002; full operational implementation 2004
## WRF Project Overview
- Develop advanced model and data-assimilation system for mesoscale NWP
- Accurate, efficient, applicable over a broad range of scales
- Focus on 1-10km resolution
- Advanced dynamics, physics, data assimilation, nesting
- _Flexible, modular, performance-portable_
- Large, multi-institution effort
- Promote closer ties between research and operations
- Pool resources
- Milestones and status
- First release Nov. 2000
- Current release: May 2001
- Research community version in 2002; full operational implementation 2004
## WRF Project Overview
- Develop advanced model and data-assimilation system for mesoscale NWP
- Accurate, efficient, applicable over a broad range of scales
- Focus on 1-10km resolution
- Advanced dynamics, physics, data assimilation, nesting
- Flexible, modular, performance-portable
- _Large, multi-institution effort_
- _Promote closer ties between research and operations_
- _Pool resources_
- Milestones and status
- First release Nov. 2000
- Current release: May 2001
- Research community version in 2002; full operational implementation 2004
- Principal Partners:
- NCAR Mesoscale and Microscale Meteorology Division
- NOAA National Centers for Environmental Prediction
- NOAA Forecast Systems Laboratory
- U. Oklahoma Center for the Analysis and Prediction of Storms
- U.S. Air Force Weather Agency
- Additional Collaborators:
- NOAA Geophysical Fluid Dynamics Laboratory
- NASA GSFC Atmospheric Sciences Division
- NOAA National Severe Storms Laboratory
- NRL Marine Meteorology Division
- EPA Atmospheric Modeling Division
- Aerospace Inc
- University Community
## WRF Project Overview
- Develop advanced model and data-assimilation system for mesoscale NWP
- Accurate, efficient, applicable over a broad range of scales
- Focus on 1-10km resolution
- Advanced dynamics, physics, data assimilation, nesting
- Flexible, modular, performance-portable
- Large, multi-institution effort
- Promote closer ties between research and operations
- Pool resources
- _Milestones and status_
- _First release Nov. 2000_
- _Current release: May 2001_
- _Research community version in 2002; full operational implementation 2004_
## Conflicting concerns
Best possible performance
Maintainable software
What can we control?
Run-time and compiler options; libraries
Padding, alignment, sizing of arrays
Blocking factors, vector length
Storage order/loop nesting
Crucial issue in WRF design in 1999-2000: can we stay portable to vector systems?
Needed decision on storage/loop order while code still small
Trend in U.S. has been away from vector
Vector vendors dropping support, however...
Still significant installed base outside U.S.
Expedited “Storage Order” study to support decision for WRF
- Conflicting concerns
- Best possible performance
- Maintainable software
- What can we control?
- Run-time and compiler options; libraries
- Padding, alignment, sizing of arrays
- Blocking factors, vector length
- Storage order/loop nesting
- Crucial issue in WRF design in 1999-2000: can we stay portable to vector systems?
- Needed decision on storage/loop order while code still small
- Trend in U.S. has been away from vector
- Vector vendors dropping support, however...
- Still significant installed base outside U.S.
- Expedited “Storage Order” study to support decision for WRF
- Performance Portability
**Notes:**
Why is performance portability important
## WRF storage-order
- What’s the best order of three-dimensional array indices and corresponding loop nesting: IJK, KIJ, or IKJ?
- Original study:
- M. Ashworth (Daresbury Laboratory, UK), ECMWF ‘98 workshop presentation: compared k-inner versus i-inner orderings for array dimensions and loop nesting in a test kernel.
- (“Optimisation for Vector and RISC Processors,” in Towards Teracomputing, World Scientific, River Edge, NJ. 1999. pp. 353-359.)
- RISC relatively insensitive (~30% penalty)
- Vector was very sensitive, by up to factors of 4 on Fujitsu VPP300 and 8 on NEC SX-4
- Reproduce Ashworth’s study with WRF prototype
- Generated three versions, IJK, KIJ, and IKJ
- Benchmark various problem sizes on representative systems
- Present results to WRF collaborators
## IJK versus KIJ for all patch dimensions X,Y=(21,41,81); 41 levels throughout
KIJ is the favored order on RISC; IJK is strongly favored on vector for adequate length of X
Surprise: vector prefers KIJ for short X (no physics in tested prototype)
RISC penalty for IJK decreases with increased length of minor dimension
Penalty is most severe for sizes typical of a DM patch
- KIJ is the favored order on RISC; IJK is strongly favored on vector for adequate length of X
- Surprise: vector prefers KIJ for short X (no physics in tested prototype)
- RISC penalty for IJK decreases with increased length of minor dimension
- Penalty is most severe for sizes typical of a DM patch
- IJK versus KIJ on RISC and Vector
## IJK versus KIJ for all patch dimensions X,Y=(21,41,81); 41 levels throughout
KIJ is the favored order on RISC; IJK is strongly favored on vector for adequate length of X
Surprise: vector prefers KIJ for short X (no physics in tested prototype)
RISC penalty for IJK decreases with increased length of minor dimension
Penalty is most severe for sizes typical of a DM patch
- KIJ is the favored order on RISC; IJK is strongly favored on vector for adequate length of X
- Surprise: vector prefers KIJ for short X (no physics in tested prototype)
- RISC penalty for IJK decreases with increased length of minor dimension
- Penalty is most severe for sizes typical of a DM patch
- IJK versus KIJ on RISC and Vector
## IJK versus KIJ for all patch dimensions X,Y=(21,41,81); 41 levels throughout
KIJ is the favored order on RISC; IJK is strongly favored on vector for adequate length of X
Surprise: vector prefers KIJ for short X (no physics in tested prototype)
RISC penalty for IJK decreases with increased length of minor dimension
Penalty is most severe for sizes typical of a DM patch
- KIJ is the favored order on RISC; IJK is strongly favored on vector for adequate length of X
- Surprise: vector prefers KIJ for short X (no physics in tested prototype)
- RISC penalty for IJK decreases with increased length of minor dimension
- Penalty is most severe for sizes typical of a DM patch
- IJK versus KIJ on RISC and Vector
## IJK and IKJ Penalties versus KIJ: EV6
- Penalty for I-innermost is much less severe when K is middle dimension
- WRF adopted IKJ ordering in April, 2000
- IJK vs KIJ
- IKJ vs KIJ
**Notes:**
On the microprocessor platforms, KIJ is always best. And if we were able to rule out ever running on vector, KIJ would be the choice.
Given the desire to maintain vector portability, however, we were forced to look for a way to minimize the penalty for an i-innermost ordering. Surprisingly, and for reasons that are not yet understood, putting the K dimension second so that the storage and looping is over i-k slabs shows considerable improvement over the IJK ordering (where storage and looping is as i-j slabs).
This slide shows the penalty for IJK ordering relative to KIJ (left) compared with k-in-the-middle IKJ ordering relative to KIJ. The penalties, computed as 100 * (Tslow-Tfast)/Tfast, are much less, and for some subdomain sizes nominally reversed.
## Detailed Performance Studies
- Follow-on to WRF storage order experiments to determine effects of controllable aspects:
- All MxN subdomain sizes: 2 < M < 80; 2 < N < 80
- Padding: 0, 1, 2, and 3 extra cells around patch
- Effect of shared memory tile size
- Storage order
- Computational kernel: ADVANCE_W
- Implicit solver for vert. propagation of acoustic modes
- Compute-intensive, fully 3D; vertical recurrence
- Three versions: IJK, IKJ, and KIJ
## Detailed Performance Studies
- Procedure
- For each processor type
- Run ADVANCE_W test code over 6400 different domain sizes and 4 array padding options
- Generated detailed performance data using hardware performance counters available for processor
- Architectures:
- IBM
- 375 MHz (Power 3), patched version of AIX
- Hardware performance counters: Cycles, Flops, Loads, L1 cache misses, TLB misses, Prefetches, etc.
- Silicon Graphics
- 250 MHz MIPS R10000
- Perfex and Speedshop to count: Cycles, Flops, L1 misses, L2 misses, TLB misses, etc.
- Compaq, Fujitsu, NEC... (In progress)
## IBM Results
- Overall performance: KIJ is the best overall storage order but IKJ is nearly as good; IJK is worst
- Effect of varying subdomain size:
- Most significant is the occurrence of pathological TLB behavior for certain sub-domains
- Sweet spot: 15 < N < 35
- Not well correlated with L1 cache behavior (L2 could not be measured reliably)
- Prefetching appears more significant
- Effect of varying tile sizes:
- Any tiling in minor I-dimension always degraded performance
- Very slight benefit to having thin tiles in major J-dimension
## IBM Results
- Effect of varying subdomain size:
- Most significant is the occurrence of pathological TLB behavior (106 or greater) for certain sub-domains
- Sweet spot: 15 < N < 35
- Not well correlated with L1 cache behavior (L2 could not be measured reliably)
- Prefetching appears more significant
- Effect of varying tile sizes:
- Any tiling in minor I-dimension always degraded performance
- Very slight benefit to having thin tiles in major J-dimension
## IBM Results
- Effect of varying subdomain size:
- Most significant is the occurrence of pathological TLB behavior (106 or greater) for certain sub-domains
- Sweet spot: 15 < N < 35
- Not well correlated with L1 cache behavior (L2 could not be measured reliably)
- Prefetching appears more significant
- Effect of varying tile sizes:
- Any tiling in minor I-dimension always degraded performance
- Very slight benefit to having thin tiles in major J-dimension
## TLB
- IBM TLB
- 256 page-entries
- 4KB pages
- 128 two-way set associative banks
- Least recently used replacement
- 128-byte cache-lines
- Miss Penalty: 25 to hundreds of cycles
- Translation Look-aside Buffer (TLB)
- Associates virtual addresses to pages in physical memory
- ADVANCE_W has 20 3D arrays
- What happens when an arbitrary index (I,J,K) is touched in every one of these?
- Assuming arrays are allocated contiguously, the touches will be to pages at regular intervals
- _Hopefully these addresses will be scattered around memory and evenly distributed over TLB, but maybe not_
- Certain array sizes can cause clumping around a few entries, and because of the low-associativity of the IBM TLB, there isn’t much margin
## TLB
- IBM TLB
- 256 page-entries
- 4KB pages
- 128 two-way set associative banks
- Least recently used replacement
- 128-byte cache-lines
- Miss Penalty: 25 to hundreds of cycles
- Translation Look-aside Buffer (TLB)
- Associates virtual addresses to pages in physical memory
- ADVANCE_W has 20 3D arrays
- What happens when an arbitrary index (I,J,K) is touched in every one of these?
- Assuming arrays are allocated contiguously, the touches will be to pages at regular intervals
- Hopefully these addresses will be scattered around memory and evenly distributed over TLB, but maybe not
- _Certain array sizes can cause clumping around a few entries, and because of the low-associativity of the IBM TLB, there isn’t much margin_
## Remediation
- Observe that pattern does not change with array padding; it simply moves
- Detect subdomain sizes that are liable to TLB misses and pad accordingly when the arrays are allocated
- Entirely driver-level
## Remediation
- Observe that pattern does not change with array padding; it simply moves
- Detect subdomain sizes that are liable to TLB misses and pad accordingly when the arrays are allocated
- Entirely driver-level
## IBM Results
- Effect of varying subdomain size:
- Sweet spot: 15 < N < 35
- Not well correlated with L1 cache behavior (L2 could not be measured reliably)
- Prefetching appears more significant
## IBM Results
- Effect of varying subdomain size:
- Sweet spot: 15 < N < 35
- Not well correlated with L1 cache behavior (L2 could not be measured reliably)
- _Prefetching appears more significant_
## SGI Results
- Storage order
- KIJ is the best performer for N < 30; worst N > 45
- IKJ slightly better than IJK N < 30
- IJK is best for N > 45
## SGI Results
- Effect of varying subdomain size:
- L2 data cache miss behavior best explains storage order behavior
## SGI Results
- Effect of varying subdomain size:
- Pathological L1 data cache miss behavior for N = 64
## SGI Results
- Effect of varying subdomain size:
- TLB behavior interesting but not significant
## Summary
- WRF design provides flexible runtime control over tile and patch sizes, padding
- Patch size is a significant factor, and most machines exhibit “sweet spots”
- Padding can be used to avoid patch sizes that result in pathological array-memory layouts on the IBM
- Some aspects of code, such as storage order, are rigid
- Design decisions that can’t be easily changed, should be based on careful study
- KIJ ordering is overall best for microprocessors (but fatal on vector)
- IKJ ordering is best compromise between vector and microprocessors
- General observations
- Beyond these relatively high-level aspects, trying to outsmart compilers usually doesn’t pay
- Hyper-engineering, even when effective, introduces architecture dependencies
- Obtaining detailed processor performance statistics is a problem, and is likely to get worse
|
en
|
all-txt-docs
|
095916
|
MONTRLY WEATHER BEVIEW.
FLUCTUATIONS OF TEMPERATURE AND P R E W R E AT THE
BASE AND SUMMIT O F MOUNTSHINGTON.
[By Prof. H. A. HAZEN, Wenther Bureau.]
~
__-.--& . At the end of the maps in this Review will be found a continuation of the
curves previously published in July and August. There have been added thiz
month the fluctuations in pressure at the mnniit as well as at the Lase. It will be noted that these pressure changes present almost exactly the same
Frequently the suninlit curve lags a little
Eehind that at the base, as has alreadybeen noted. See Annnal Report of the
Chief Signal Officer, 1882, pp. 897-926.
Attention is called to the remarkable abruptness of the flnctnations of
temperature at Mount Washington, especially when the temperature falls atler
hase at the summit a3 at the base.
SEPTEMBER, 1891.
a htorni has passed and a high mea :q'proaches. E\amples of this may be
nvtad a< f i i l l i >w : J:LIIU:W~ r I , IS79, fall of ?Coin 8 hours: January 25. 1x79, :3 2 O in
16 hours ; Februar) 1 , 18H0, 38' in 11, huurs ; Febinary 9, 1880, 30O in 8 hours;
March 7. lh80, '36' i n 8 honrr ; .Jauiiary 32, 1S82, 41' in 16 hourb ; February
17, ISV?, allo i n 6 Lours ; ani1 hlnrcli 24, 16P", 2 4 O in 8 hours.
These vrrv railid fall5 in temperature m:ky IJe doe to the downward action
of a cold wale as a Gtorni pas'es OK. I t invariably occurs 011 the east side of
a high area and many huut\ befure its center reaches the summit.
Jt should ~I S I J be noted that the close agreement hetaeen the fluctuations of
temperature at the Lase and summit seems to indicate some general and far-
reaching effect prnducrd Iiy estended waves of heat and cold, rather than a
more or less local effect produced by the \rind or by more intense radiation
to the sky at some times rather than uthers.
The month opened warm an 9 closed OREGON* with clear, cool weather and general
1 Alrrhniirn--Cont'd 0 ' 0 0 ~
1 ~.
~
rllabnnia-Cont'd
0 Ins. Livingston(a)t ..... 92 52 74.2 1.01 I
70.6 2 .s ~ Lyiint ............................... 1.32 Tnlladegat
75.0 3.81 Opeliksi ........... yo 50 70.3 0.94 Thoninrvillet ...... 0.57 Orrvillrf 93 52 ! 75.0 1.96 ' T U W ~O O S ~ t .......
..... 3.59 Pine .\pplet ........ g j 53 73.2 3.25 TusCUI~llJia(2)t
77.0 1.70 ~e ~i i i a (1 ) t .......................... 1.03
74,3 0.77 hlt. Vernon B'ks..I 93 56
~
76.4 3.S5 Tallassee Fnlls t .
..... .......... yo 52
~
72.3 2.31 Tuscuinbis(1)t ....
73.5 4.80 Posliinntah~t ...... 91 1 57 I75.7 0.62 Uiiion Sprin s t ... ~i i i o n t o w n f . .. :...
75.1 6.90 Osnnnxt ........... ....
light frosts.
Lakeview. 2d : minimum. 22. at Weston and Beulah. 30th.
-
Temperature.-The mean was 0.7 above the normal ; maximum, 100, at
0 0
................... ............ go 54
g j 53 g j 54
54 51 91 61
yz 55
A.ecipitation.-The &,rage was 0.70 above the normal ; greatest monthly,
6.14, at Astoria ; least monthly, 0.00, at New Bridge.
Wind.-Prevailing direction, southnest.--Hoth H. E. Hayes, %aster Stale
Grange, Portland, director; B. S. Pague, Observer, Ireather Bureau, asst.
PENNSYLVANIA.
Temperature.-The mea was 5.4 above the n o r i d ; maximum, 94, at Coats-
ville, 26th, and at Somerset, 17th ; tuiniuiutu, 32, at Well~bi)ruugh and
Columbus. 30th ; greatest monthly range, 111, at Somerset ; least monthlj
range, 37, at Erie. A.ccipitatioti.--The average was 1.18 below the normal; greatest monthly,
6.00, at Kennett Square ; least monthly, 1.05, at Carlisle.
rPind.-Prevailing direction, southwest.- Uiider direction of the fiaiiklin
Institute, Philadelphia; L. N. D y, ODseruer, Ilbat?ier Bitreail, assistuni.
Q SOUTH CAROLINA.
Temperai~re.-Mnsimum, 92, itt Batesbnrgh, Greenville, and Spartanburgh,
A.ecipitation.-Greatest monthly, 6.06, at Charleston; least monthly, 0.40,
Wind.-Prevailin direction, northeaqt.-A. P. Butler, Observer, Weather
19th, and at Columbia, 33d ; minimum, 50, a t SIiartanburgh, 38th.
at Greenville.
Bureau, Columbia, %rector.
SOUTH DAKOTA.
Temperature.-The m&n was about 8.0 above the normal; maximum, 107,
at Forest City, 16th; minimum, 24, at Brookings, 29th ; greatest monthly
range, 76, at Webster ; least monthly range, 53, a t Spearfish. A.ecipitation.-The average was 0.67 below the normal; greatest monthly,
4.11, at Webster ; least monthly, 0.18, at Kimball.
Wind.--Prevailing direction, south.-S. W. Glenn, Observer, Tl'eatiicr
Bureau, Htiron, director.
TENNESSEE.
The most marked features of the month were the deficiency in rainfall and
the abnormally high temperature. These conditious rendered the niuntli
rather disastrous to farmers.
Temperature.-The mean was 2.0 above the normal; tuaAinium, 100, at
Arlin ton, 22d ; miniminu, 44, at Arlington, 4th; greatest niunthly range, 56,
at Arfngton , least monthly range, 18, at Lewisburgh.
A.ecipitation.-The average was '3.30 below the nurmal : greatest monthly,
3.08, at Bethel Springs ; least monthly, 0.00, at Waynesborongh.
69.9 2.73 Selma (2 ) t ........., 94
~
54 1 76.5 I 1.90 Vallev Headt ...... 92
..... ............... .! 3.19 , Warrior t ......... .I..
Wind.-Prevailing directions, north a d east:--J. D. Runkct, M. D.,
TEXAS.
Z'emperature.-The mean w&ahout normal in the eastern part of the state, and above the normal in all other part<, escept along the immediate coast,
where there was a slight deficiency, amounting in some localities to 3.0 ;
masimum, 100, at Graham, 12th ; minimum, 40, at Orange, ith, aud at Hans-
ford. :hl ; greatest niunthly range, 55, at H~tisford ; least monthly range, 20,
at (;nlvest4ln.
A,ecilr,ittatio,i.-The aveiage was about normal over the central and sonth-
western Iwts of the state, and the rainfall was deficient in the extreme easterji
an11 ntirthwrbtern parts, and over the coast region it was unevenly distributed;
gTente,t monthly, 11.49, at Brazoria ; least iuonthly, 0.23. at El Paso.-D.
11. Riyan, Gnlrestoii, director; I. M. Clitie, Observer, Teatker Bureau,
ass istn 11 t.
UTAH.
Tmp,erafure.- The niean w& above the normal during the first half of the
month, and below during the latter half; masimum, 104, at Saint George, 3d;
miniwutu, 28, at Scotieltl, 80th.
Precipifntion.-The average was slightly above the normal ; greatest
monthly, 3.60, at Losee ; least monthly, 0.62, at Deseret.-G. N. Salisbtwy,
Obsert,er, TI'entRer Burenu, Salt Lake City, &rector.
Naahaille, director ; J. R. Marbrrry, Observer, Weather Brireau, assistant.
I) VIRGINIA.
Ten~~erat~ire.-hIasitiiuni, l&, at Richnioncl, 19th : minimum, 42, at Dale
Enterprise, 9th ; greatect monthly range, 53, at Nottoway, C'. H., and Rich-
mund ; least monthly range, 3 1 . at Norfulk.
E3.ecil,itatioii.-Createst monthly, 3.40, at Stanardsville; least monthly, 0.98,
at Wytheville.-l~r. E. A. Craighili, Lynchbzwg?i, director ; J. hr. R$ker,
Observer, Wentker Burenri, assistant.
WASHINGTON.
Tei,~~ercrfure.-hIsximom, 00, at Fort Simcoe, 311; minimum, 26, at Water-
x ille, 20th ; greatest monthly range, 62, at Baker City, Oregon : least monthly
range, '39, at East Sound.
A e r i ~i f a f i o i i .-(~r e a t e ~t monthly, 11.06, at Tatoo4 Ialand; leakt monthly,
0.06, at Fort Simcoe. Wii,id.-Prevailing directilon, south.-E. B. Olwy, Clbswuer, it re at he^-
Eli reu t i , Olynip iic, director.
WISCONSIN.
Teni~era~irre.-Masinlum, 98, at Whitehall, 18th ; minimum, 27, at Flor-
Prrci~)itcrtiott.-Createst monthly. 2.<11. at Plover : least ntonthly, 0.02, a t ence. 4th.
CaJiz.- If7. L. Moore, Obseriw, Weather Blirercu, Miliiwukee, director.
46
........
CONTRIBUTIONS AND ORIGINAL ARTICLES.
Alabama. Ala'Jnnrn--Cont'd. 0
Bermuda *t ........ 1 5 1 f 1
7:3
1 F:; 11
Double Springs t .. .I 49 Beasemer.. ........ 74.3 1.21 Eufn~ln (2 ) ...... ../ yo
Brewtont .......... 05 50 76.0 2.00 Everereent ......... 02
0
55
2:
METEOROLOGICAL TABLES.
Heteorologieal record of Army post srcrgeona, eoluntary, and otiier co-oper- atfng obseruers, September, 1891. Neteorologicul record of voluntary observers, bc.-Continued.
Te in pera t u re. (Pnhrenheit.) (Fahrenheit.) 1 Temperature. I
I 2
~
Temperature.
C- (Fahrenheit.) .s St:ltlons. 5 I Stations.
Temperature.
1 (Fahrenheit.) 1 =$ 1 1
Carroltori t .. ....... 52.4 I 25 ~~o r <n e e t . ........ .I... ...... . Chepultepect 67.5 0.20 Fort Depositt ...... Citronellel ........ go 1 2 bo 1 77.0 2.23 Gndadent .......... .....,..... / gz 1 1
Columbiann t ........... I.. .......... j. I ? Goodwater h 7 .. .... Cordova t ........................... 3.00 Greensborough .... Deentur (I) t ........................ 0.87 JaRper t ............ Decalur (z )t ...... 1
ga I 48
1
70.4
1
1.20
!I
Livingston(I)*t ... 53
a
3 -
0
.... .... 72.6
74. 71.5 72.0
72.8
7s. 2
66.4
....
-
-2 e.
e &
InS.
1.57 2.29
1.60
1.46
0.75 0.70
3.59
2.70 3.62
.- U
-
2.02
SEPTEKBEB. 1891 .
Arieonn . Aris . Can . Co.Dan1.t
Benson ........... Buckeye t .............. Calnhasns *t ........ CanaGrande* ...... Chiricahua M t s t Crittenden ............. Do8 Cnbezos t .......... Dr oon 'iuininit* . Du%eyviile+ ....... %le Pnss ............. Fnrleys Camp ..........
MONTHLY WEATHER REVIEW .
111
92
92 I I O
.......
gz 99
.. 095
Tucson (21 ........ Wnlnut Grove t Wnlnuc Rmnclit Whipple Bnrracks .
100
........ ........ 97
Los Xnueles* ....... 1 93
Los G;rlos( I ) *... ..
~
gs
Lon B 6 0 s *.. ...... '102
Los (iatos( 2 ) ...... 8s
hlxnimoth 'rnnk* .. 113
Mare Islxnd L . H ...... hisrtinczr .......... 84 blsrysville (I )* .... 93
hlnrysvillr (2 )s .... 100
Mc~ilo Park+ ...... S4 .. 47
Neteorological record of voltcntaiy observers. &e.-Continued.
Temperature . I (F a h r e n h e i t .) I .:
B
I 1
Temperature . . I Fnlirenheir . ) G
c+ n t I nns
.. -e ....
d
E ..
.- .
0
53 49
42
30 55 3s
52
SS 00
50
50
52
53 $3
20
45
52
5"
...
... ... 56
44
5s
GO
...........
I.
... .. :: =:a
0 fiu . ' ~o ~p w i i i r r -~o n t .~ . 0
50 .I /io.3o 11 nei-enclo* .......... 1q
45.0 1 8.25 ;I Berkeley ..........
~
S g
!
~
BishopCreek' ..... 100
95 84.9
~
0 . I 8
~
k%lJCa'. ............. '
75.0 I 0.34 , Burden* 1%
......I 1'. . Boulder Creek* .... roS
72.6 I 0.35 Brentwoorlr ....... 103
86.8 0.00 ~~
Brighton' .......... 105
8.24 Bvrou* ............. IOO
0.31 , Ciliente' ........... 'roo
0.79 ' I C:ilistoo:i+ 1 9' 0 .1 5 c . nlen3ocino L . H .....
0 .2 2
I Ciintroville * ....... So
0.10 ' 8 Centreville ......., 9.1
99 0.70 ' I (%iw* .............
0.25 ~
C:isvo* .............. 82
~.b r , CaaIfmx* ............. 99 0.61 l:ulton* ............ IOL
............
..........
0 rfIs . 73.5 0.3( 01.3 0.7: 72.3 o . 1 5
54.2 0.tk
75 .I 0.0.
59.2 I . 1;
7u.3 0.3'
74.0 0 .. 01
7 4 .9 , 0.2;
72.7 . 0.5.
hS.5 0.4;
..... 3.2:
63.b 0.21
07.n 0.21
75.4 0 .I t
51.3 0 .2
t5.s 0.w
73.8 0 .M
73.0 0.a
..... 2 .q
..... 2.9;
"'I . I 1.31 76.0 , 0.M
74.7 ' 0.4:
01.5 . 1.55
...... 0.5:
55.0 I 0 . s4
72.5 . U .U
70.5 . U .E
70.9 0.9
73 . I 0.31
67 . .i
55 63
..... 53
04
..... 1 .....
60 77.4 47 1 73.7 4s Os.o
..... 81.4
40 51.5
33 64.8
52 73.5
50 74.2 41 09.8
55 s4.0
70 64 :: .
35 06.0
43 71.4
.......... ..........
..........
08 87.2
1.21
I . l i
0 . oc
0 . u
0 . 0s
0.2;
0.7:
0.1:
0 . s;
0.93
0 .2 j
I . 1:
0.5' 0.5
1.0;
0.7:
I . 15
1.24
0.48
....
0 . oc
C!o rninp + ........... 105
Crescent City .......... Cr?swnt City L.H.'. ... 1kl:ino * ........... I&
D..rvnep ........... 102
1)nnnigun ........ .I 9s
Uiineiuuir * ........ go
E:iat .tlrotherL.EI ..'.... Eclgwood " ......... l S7 El (Insco* .......... 1105
El Dorado ....... ., 10;
E I ni i I'Y* ............ lob
El Vernno* ......... I 92 Eniigrniil Gnp ....
~
53
Espwto 9s Evergreen .............. r'.irmington* ....... 103 E'rl ton ............ gg
P'ernando * ......... '104
F l o r e n c b .......... 94
Folsonl* ........... 102
F o r t Hidwell ...... 193 Fort Gnston ....... 99 Fort nissoll ......... 79
l+esno* ............ ' 103
F r u t u * ............. ' 105
U X I t" 103 Iirorpetowiit ....... 8
C;iiroy ............ ;i (iir:ird ............ IOO
............. Drltm 104
..........
...............
(ilrI1 Ellen* ........ 93
Goshen* 105 Grars Valley .......... H a ).w ~d ~ * ........ ~.80
Holliater 4 ..... IOO
Hoi-illrrook' .... ::::I 9s
H u ~i i t ~u l d l L.H ......... Hplasville t ....... 76 I n ~l i o * ............. 114
lows Hill* ......... 1 06
1 u 1 i :in t ............. 951
97 Iierler - ........... l i r e i l r * ............ 197 King City' ......... 8 102
Iiingshiir h a 1
Knight's &niid;i;$: 102
L.iurel* ............ IOI
...........
h i r e * .............. !IO0
Lmtlrrop .......... 103
57 49
45
41
.v 50
44
51 54
44.1
50
5'(
43
53 5'J
49
....
2;
....
5.7
50
5Y
5'
53
Knvrnnn * ..........
Koclilin f
.......... 105
Rumney ' .......... '103
Rncr:~!iirnt~i[z)L .... 93
.... 92
s :l r ~t n l e n l o ( 1 ] ..... ' go
11 Hrrnnrdinot ... 1100
II l l i y w H'ks .... 1 91
11 (;tdrit. l = ....... '105
I I J ...st f
.......... S9
iitii M.irg.irita* ... 97
1it:i 3Iar.n ............
r i t ~ Ynriii.a* ..... ; 30
I1t.l l ..l l l l .i ~ ....... rota ~o s i t .........
3 .E . F:irrmllon L.H.1 ...
3p:dra .. ...........
i l i h d I. . ..... '. ... 1'ropii.o- ........... 100
rllrl#bPk ......... ' I 0 2
i-rllclirr (I ) ...... ' I(S
ruhrr' ............ 110s
......... roq
iv i I low ( I )t ........ 1100
Niiitrrn .......... 104
i e r h Liuenm 1, . H . .I ....
tv i I lo 5%' ( 2 J * ........ 1 99
42
39
51 53
53 52
30
55
53
44
57 5s
s5
30
35
49
54
55 55
40
.i 0
40
50 5s
50
54
39
40 bo
50
45
40
43
50
4 2
ss 5'
50
49
53
52
52
52 6s
bO
46
42
70
52
53
...
...
...
....
....
...
%I
........... 57 so.2
$5 75.2
........... 63 . 79 .I
........... ............
0.4'.
0.0'.
1.11
0 . o(
0 .1 2
0 .0 c
0 . u
0.12
1.01
0.77 0.35
0.1:
0 . 0c
0.3
1.4'
5;. . 2
75.5
72.9 04.2
73.5 72 . o
74.6 5b . 2
03.4
D3.4
77 .I
.... ...........
41 . 7?.3 54 ' I(b.3
............. 1.22
............ 0 .7 ~
69 87.4
~
0.x
60 b1.2 ! 0.05
..........
~
0.44
............ 0.5s
37 ' 64.8 1 1.48
............ I ."j
70 . 87 . I I 0.03
49 . q1.2 I O .4 B
4s . 79.2 I 0.22
........... 1 1.3C
73.7
7 i .O
30.5 0 . I7
"7.5 0.0:
04 .I 0 .4 2
05 .I 0.42
..... ....I... ........................ ... .. ... .. Arkunsnr IC1 ty 1 ...................... BInck R8ick.i ...... 9s i 4s 75.9 1 0 .9
Brinlrley t .......... g j . 40
~
72.1
~
u.40
Conwmya ........... 92 j 53 . 7t.6 : 0.67
Cnmden f ........... 9; . 50 73.6 ! 1.45
C!ornrr Stone* ..... go 51 73.S I 0 .2 0
Dsllast ............ 94 1 4s 70.8 ' 2.33 Uardnnellet .........................
~ 1.00
77 .I )
35.2
71.9
57 . 4 56.5
71.0
'7.5
57.4
74.9
i4.7
p s >5.0
74.9
56 . 0
76.7 " . I
73.0
76.7
!5.7 '4.2
92.6
56.3
75.0
72.7 4 .S
'9 . s
74.7
70.5
is . 2
2 .7
....
....
1 0 . 0
77.2
I" . 0
I2 . 0
I? . 2
u . U"
0.27
0.3u
U .b l
0.19
0.21
0 . OC
0 . 0 C
0 . 00
0 .IO
0.02
0.70
2 .os
1.32
0.50
o . l a
0.47
0 . 48
0 .tis
0 . $9
.....
0 .2 0
0.00
0 . 00
0.00
0.29
0.00
0 . 23
0 . 'j
0.33
0.34
0 .1 5
0 . 11
.... v . b.5
Devall H l l l f l t ....... 99 45 72.2
El Dnrnrln t ........ gr 40 71.S
Fnyettevillet ...... 95 I 42 70 . : PorreskCityt ....... gb qS , 7.1.'
00
44
5?
4? 40
50
S t
4bC
5s 37
54
37 j S
53 47
37 55 55
53 32
54
54
37
44 5m
50
50
52
@I
....
....
.....
.....
0 2
Fullon .... ......................... 2.15
H e l r n a l r l t .............. 1 ............ 10.38
Gnines Lnndiug t ........ 1 ...... !......I o . a,
Harrisburgt ....... 93 1 02? 77.6 0.w
05.3
04.5 72.6
....
67.2
... 71.6
53.0
bq .5 5s .5 64.0
75.2 os . g
03.3
72.0
72.t 71.0
....
5.1. 1
;;: 1 04 . I
6S . 2
t.2.S
71.0
72.9 hS .0
i 5 .1
5y .0
t.4 . 6
....
71.0
0.50
0. bg
0.30
0. IJ
r.oQ 0.65
1.17
0.00
n . 70
1 . OS
0.27 0.17
3.35
0.08
0.77 0.25
0.95 2.50
0.50
0.35
0 .2 3
0. g i
0. e 8
1 . 1s
1.3s
0.21
0.02
0. ov
0.00
0.07
0.10
0.20
.....
U.UO
0. ou
0.00
0.04
0.50
0.q
hloruinet ...... ... 79 25 53.2 1.45 Pagodnl n?ar)t ..... ss 28 56.8 2.46
P:rrndor .I 2.73 1'I:rtorojt .......... 1 71 zz 43.7 5.98
Red Clitf ....... ....I.. ............... 2 .q
Par:tchute t
~
90 43 64.6 2.50 ........ .......... .................
.
~~~
Lenloora* .......... '16 Linie Point I .. H ... I
Liwrniore. ........ 1';;' Livingston' ....... 105
Imig Bench'. ...... , ~3
~~
Helenx(2 jt ......... 96 I 4s .. 74.4 Hot 8 lings ........ 96 47 75.0 Leati k'iI1*; ........ io2 I 45 . 75.0 Lonoken ........... ' 9s , 52 75.b
0.31
0.82
0.33
0.12
0.37
2 . og I . 00
0.53
O.tO
0.65
0.54 0.7s 0.92
0.50
0 . 2.3
j . I2
0.70
0.03
5.80
0 .til
0.82
0.3s
I . 13
0.75
1.00
0.1s
0 . oc,
0.12
0.00
1.01
0.00
0 .OH
0.49
0.9s ....
.
~
.. ..
Mndding ..................... , ..... 75.1 Monticellot ........ i 94 40 74.S
Mount N e b t ...... SS
~
51 71.S New Ciuscony ..... .I .... .. ........... Nevport(1)t ............ ' ........... Newport(z)t ....... 97
~
50
~
74.b C?sceolnt ........... 92 . 5: 71.0
Malvernt .......... 95 I 51
ueoiie T .............
8 ~(g 48 Pnrwnuldt ............. .I ...... PineCBliirt .......... 94 i 4y
Prescott t 93 1 50
Rogerst ............. 94 1 40
Ruaaelvillet ....... ... .'... . s t u t .t g a r t t ......... Texmrkann t ........
.4 4catr;rz I?lland ..... 70 j 37 AIInadrn* ........... qy 52
..........
.......... C'olifurnin . , 1
Analrrinl* ......... 100 00
Angrl lslsnd .......
~
67
~
47 Antioch' ........... ' ng ' 55
Athlone' ........... IOS
~
53 Auburn ............. g~ , so Bakersfirld* ....... i q 57 Ballast Point L . H ./.....I.. ... Baratow t .......... 16 I 49
Belmont .......... 86 , 54
Benicia Barracks .. 1 92 . 45
............. Aptosb 1 6 47
Beau niont+ ........ ~* i 50
?. .. Mercrd *. .......... 107 , 52
M i l tun [n e a r )* 57 ..... nro~lreto* .......... 1 2 . hlohnve *. .......... 105
nionsoll 103 ?dont:igue ........ 95 Monterey ........ 84
Monterey [Hotel
drl Monte)* ...... sz
N:i pa (: i by [ L ) ..... s5 N:itionnl C i t y t ..... 95
h'rP~II+?i t .......... 114
N c a l ~s l l .......... IO$
Nrwnrnn * -. 103
N i l w * 90 Norrihotft .......... 100
Norwnllr .......... 100
(hiklnnd ! I I ........ Sti Uaklmnd (z )* ....... 73 Ogilby ............ I I U
..........
....... New Cnstlet 1 Of
.... ..... .............
............... Cllet s 90
72.0
75.4 71.0
58.6
0s . 9
75.5 "j.0
71.5
02.4
77 . 3 70 . I
77 .I
73.8
08 . b
67.9
......
73.3
..... 1 ...... 3
926 MONTHLY WEATHER XNVlEW. SEPTEMBER, 1891.
~ ~
.. . ______
I . _~
Centmlin+ ......... 194 Chnrleston ......... 95
Chester$. .......... 1
Collinsvillet ....... 1'94
East Peoria* ....... gr
. 1 43 .........
1 46 52
Connecticui-Cont'd. Leh:inun ............... Mnnsneld .......... MiAlletown ..... 1. .New Hnrtford (I ) t . Newington ............. N. Groivenor Dale.
North Woodstock..
0
2 86
82
Archert ........... De h n d ( I ) t . ...... De Land ( z ) ........ E u s t i s t ............ Fort Barrancas ..... Fort Mende I ... .... Gninesville t ....... Honieland ......... Hypoluxo* i ........
94 92
go
92
97 88
83
go gr
;~ Green~tmrgh t Hnrrodsburgh t.... Loaisxt ...................... Middl~sborouglit..
1 ~e w p o r t ~:r r r a c k s .
............... go . 42
8s 49
94 i 45 Miami t ............ Orange City t.. ..... Passndena t ........ St. Frincis B'ks ... St. Petersburu t ....
Eg 94 92 87 90
Connersvillet. ..... lJe Gonia Springs .. Delphi. ............ Evnnavillet ............ Farmlnnil ......... Franklin ........... Huntingburgh .....
89
go 91
gr go gS
Tarpon Yprl,ngs t.. .
AlhRny t.. .......... Allapnhst ..........
Qeorgaa.
Americus t ........ A t h e n s (r ) ......... A t h e n s (z )t ........ Bainbrid et BI*kely*?..::::::::
92
91 go 91 88
go
;: Marion ............ Mn11 zy Mtohig:in City ..... Mount V e r n o n (i )t . Mount Vernon (2 ).
nfunciet ............ Point Isnbelt ...... Princeton b t . ...... Rockville .......... Sevnlourt.. Yh'elhvville *t . ..... 'Terre-Hautet..
\'aIpnrnisot.. ...... Vevny.. ............ Vincennes t. ........... \Vortliingtont ..... Indim Territory. Eufaulnt.. ............. Fort Supply Heal<lton 7.. South McAlestert . 1lllr:it.. ............... Wooclwardt.. .......... loton.
.............
........
....... .......
I.
go
92 94
....
93 gS
93 go
93 go ........
91
9'
8s
96
90 go
.....
Cnrtersvillet ........ Colunibus t .. ....... Corclele t ........... Enstin:int .......... Elberbon t ......... Forsyth ........... Fort Gninest. ...... Gainesville t ....... Gillrrville*t ....... Griffin t ............
90
84
96 go go 95 91 85
La F x r e t t r t .. ...... Lnlir'Cl1nrle.l ...... Lnwrenre t. ........ Lihwty Hill .......
~' h l n i i i l r v i l l r (i ) ..... ............. 1 Luling
94
fg ood
100
90
91
........ Fort Riley I 50 Fort Scirt.t. ............ F r r i n o n t t .. ........ ~;O Z
;lobe *... 90 ::ovr c1ty.t ....... 100
trenola 97 :rinnrll ........... , qs
H:ilste:id. .......... 1 6s H:rrenaville*t.. ....
~
93
HIJrtolit.. 91 h t c l i i n a o n t .......
~
93
Indrpendencet.. ... gS
I<ans;is City .......
Kirwiil t ..............
Ln Hnvpr. ... .....I., .. La!iin t... ......... ./. ... Lnrnedt ............
..........
.irninfirld.. ........ 196
Krllngg ........... ~3
...........
.........
LR C:luanet.. ...... .I.*
nl i nnexpolis ....... go
hl(Jrtl> 11 ............ I 00
Sew E~igl'tl Knnoh t 102
........ hlonniiient, 9s Mortlet.. 94
ILl:llilry ............ 9s
0-nIlal1 ............ 95 cKwe-o t... ........ 101
page Eity .......... 93
...........
(.)iJ?rllll t ...............
.
Milledgevillet. .... Millen t... ......... Monticellot.. .......... Newnan t .......... Point Peter ............ Poulant ............ Quibninn(1) ............
85
94
SS
94
Tholn!isville (z )t ..
Union Point t...... Washington t...... Way Crosst ........ Wnyiirsborough t.. West Point t ....... Alnho.
m c o a t ............
94
93 SS
88
92 go
90
........ Bnncroft t.. Hrlle Plxine ....... Hl:ikey i I le +. ....... tluii:rpnrte *..
C':irroll ............. Cedar F d l s t.. Cedar Krpicla t .....
(:h:rrles C:ity 7. ..... CI:irindn t .......... Clinton IlolIegeSprings *... Cordn v n ................ (~:vrning I I ) ............ O ~r n i n g (2 ) t ....... Corvrlon t...
......
.....
............
.......
89 94 I 00
94 87 91 90 97 go
9? go
88
90
lhilJ~J~lr:llIx.. ........... West End \Vinn.sboronpli,. ... .Iffline.
, ..... ....................
gs ' 42
Fort Bherninn ..... Henrys Lnlcet.. .... Kootenait .......... MuIIan*t .......... Ruthberg *t ....... n .t i ~t o ~.
% 95
96
;, Cornish ............ Ennt hInchi;ra ,I.. ... Fnirfielal ........... , Farniingtont ....... Fort Pri-tde.
!' Rennebrc l r s e n n l . . . I i e n t s Hill .........
I Lewiston .......... Magfielcl
Orono t ............ P e t i t hlennn ....... 1 West Jonesport .... 1 .Warylni1d
' BarrenCreekSp'gst
.......
...........
43 43
7s 3y 85
9; % 90 43 86 40
64 41
66 40
79 41 36 40
69 43 74 44
S8 , 49
Xeteorologica2 record qf oo7unfary obsel.~~crs, &e.-Continued. Neteorological record qf volrcatary oburlrem. dc-Continued. -
i
e.
Q
6 -
IW. 0.50
3.49 2.26
1.00
3 75 0.97
0.59
3 '4
2.39 2.31
3.92
3.72 4.00
1.so
1.40 0.69
2.41
1.34
4.40
....
1.00
3: : 3.30 1.23
1.44 1.41
2.34 1.74
2.54 2.30
1.45 1.67
1.52
2.71
0.49
3.03 1.65
0.43
2.96
0. bo
o. 76
0.74
3 .9 0.05
2.85
0. 08
0.92 3. I2
3.03
2. I 2
2.12
....
1.95
1.00
1 .0 0
5.00
0.40
0.17
0.75
1. 14
3.26
3.01
2.23 1.27
5.40 4.10
1.33 11.17
1.05
2. j o
2. '$4
0.59
0. ' 5
2.75
2.44
4.20
2.55 2.63
2.35
9.79 1.90
1'.
2.15
1.55
3.53 2.41 2.63
2: a
1.45
2.45 0.3s
1.58
3.08
2 .2 0
I . 10
.....
1.00
..... .....
0.53
-
r
a .-
U u
a" -
616.
5.36 4. 0s
3.46
1.35
4.64
3. a;
3.70 5.47 1.68
4. IO
I .6 b
1.41;
2.22
....
3.84
1.00
....
4.70 0.15
6. OS
1.45 4.20
6. ?i
5.02
S.51
s. 22
....
2.97
3.91 7. I O
3.72
5.40 0.70 8. 86
s. 55
7.73 0.08
6. IS
0.95
0. w
3.66
1.44
0.64
0. $3
0.94
1.87 0.07 1.41;
2. os
3.27
1.09
0.98
1.82
1.35 0.57
1.00
1.11
I. 10
1.12
0.71
1.50
1 .2 4
2.52
0.97 0. gs 0.84
1.13
2.40
2.84 3. So
2.47
3.24
0.05
0. 3s
0. b2
2.21
1.01
2 . I2
I . IO
2.01
0.44
0. u5
0.70 0.71
1.55
2.t6
1.20
0. 21
Temperature.
i (Fahrenheit.)
ii
Ytations.
P
- E:
2 z __
0
.... 63.7 64.9 62.0
68.3
64.5
....
....
.... .... 64.6
64.3
66.0 ....
....,
68. ti
70.2
69. S
69.3 .....
71.b 72.6
79.1 7Y.z
77.4
7s. 2
70.6
79.4 79.7 79.9 so. 0
.....
;%
..... 78.9
77.4 77.8
78.7 76. I
79. I
76. s 75.b 76. 5
72.9 72.3 77.0 7s. 3
73.4
72.4
73.6 75.9 74.4 72. I
77.2 70.6 70.6
74.2 73.2
.....
73.8
72.5
09.5 74.1
75.4 73.2 71.7 6s. 4
74.5
77.0 ....
.... .... 77.6 71.0
74.0 73.4
75.3 74.9 76.2
56.4 62.7
54.6 58.6
4s. 8
s4. 7 53.6 66.4
Stationa. -
2
2
.... 43 44
42
.... 4s
43 ....
.... .... 45 43
34 ....
....
50
....
52
52
51
....
49
59 60
61
54n
....
63
2
E
72
72
62
6q 66
71 61
67
Go
57
56 60
65
....
at
57
5'
59 5b 58
55 bo
51
52
61
54
....
;: 2 56
51 56 57
60
....
....
.... .... 60
54
58
2: 6r
60
23
30
23
3'
1s
30
3' 50
.... 40
44
40 ....
2
-
d
E .-
~~~
42
43 54
42
44
37
43
44
42 4s 4s
48
40
...
... ...
50
51
43
44
50
46
39
44
44
39 40 44
43 3s
46 42
45 5s 44
50
43
3s
...
....
$ .... 46
49 4s
47
42
41
39
40
....
...
35
,... ... 56
42
54
44
48
53
43
46
....
45 ....
....
4 1
46'
.... .... ....
37
3s 37 3s
29
33 34 47
52
35
35
41
37
40
4? 40
.... .... 35
39 30
39
30
35 33
43 32
49 ...
~
c d
E ... __
71.6
64.7 72. I
70. S
73.6 ts. I
72. I
06.5
72.2
63.0
72.2
08.0
....,
.... .... .... b8. 5
72. o
73. I
.... .... 70.9
.... %.3
72.3 b7.8
69.1
....
....
.... 67.2 72.0
67.5
65.6 68. 8
67. 8,
70.4
73.2 67.8
....
....
....
$2 ....
7s. 2
7s. 2
75.2 77.3 7S.o
75.8 so. 2
76.4 72.6
77.2
75.4
77.4 75.4 76.6 76.0 73.2
77.0 73.4 78.0 76.6
76. o 71.2
76.2
74.2 70. 2
76.6 76.0
76.4
73.7 70.0 76.2 76.6 76. s
....
....
....
.... .... 74.2
62.0
60.7
60. 2 ....
63.4
62.4 62.4
00.4
62. I
bo. 8
a:: ;
....
5s. 4
57.8
56.3
69. 0
~-
~
Ills.
1.4'
1.05
1 .4 2
0.92
1.52
I. 2s
I .S 2
3.34
0. 13
0. go
1.23
2.33 0.55
I.XZ
1.27
1.74
1.33
2 .5 1
0.51
1.11
0.96
I .?7
0. 04
0.53
0. so
0.26
1.35
I .os
0.24
2.51
0.49
2.25
1.55
2.00
1.70
1.28
2.00
0.40
1.74 2.14
0.66
2.47
3.55
0. 37
5.45
3.75 5.3s
5.40 1.90
3.20
0.41
3.53
1.99 5. b7 1.70 0.70
0.79
3.72 4.73
1.07
0. $8
2. 30
1.50
5.45 1.64
2.95 4.20
1.40
3. 12
0. gs
1.77
0.97
2 . Sti
1.3'
0 .j 6
1.7h
1.22
::E
2. c.0
2.12
0.15
4.00
1.15
2. I j
1.40 1.46
1.40
3.02
2.56
1.77
4.05
1.75 1.25
s. 00
2.60
' I . 40
6.00
0. S7
2.25
1.21
2.00
2 . IC
....
0
60.5
OD. s 7;. 2
70.7 72,s
0;. b
.... 71.8
y. 0
72.8,
73. 72.0
09. Y
71.5 tiS.6
65. 4
05. 7 67.2
71.8
70. z
os. 4
67. s os. g 07.0 67.6 66.3
71.4 07.9
615.4
07.9 66.8
66.7
66.6
68. I
67.4
74.9
68. 8
00.0
.... ....
.... 70.4
....
....
?a. 2
69. s
....
....
69.7
65.2
b7.S
bY.7
.... 0s. Y
.... .... 71.6
70.4
09.7 70.3 70. i
71.3
.... 69.4 tB. 6
65. I ....
... 71.1
7-1.4
.... .... ....
66.0
07.8
Mi. I
67.7 05. '.I 65. s 68. 5
69.3 73.9
05. 9 6h. 0
67."
6b. 5
64.4 9:;
..... ..... 97.5 07.7 64.6
64. a
98". 7
65.8
68.4
65. 3
73.9
05.5
.....
P;ialine ............ ! y5 1 37
~
~~ii~iiyai,ur.~it .....I g~ 40 Ple;lsant. Uxlr... ..., 94 . 37
I. 5" 3.45
3.33
3.41
1.55
3. ys
2. by
1.55 I . $4
1.90
1.2s
3 .7 3
3.91 1.33 1.53
1.27
1.33
1.92
3.59
3 . 00
1. I ?
1 .2 1
1 .2 0
1.00
2.00
3. 2 0
3. s i
0.75 1.4s
0.61
1.62
0.37
0.01
2.02
3. '33
2.99
2 . :i
1.95
2. IJ
1.00
1.55 1.39 1.23
2.45
3.73 5.65 3. js
1.b7
1.70
1.31
I . IS
1.95
1 .I j
1.48
1.sr
3.4Y 3. I1
1.85
1.71
2.79 1.92
1.46
0.34 1.64
1 .5 1
1.32
3.25
1.52
0.60
0.50
3. 0 5
1.61
0. 07
2 . al 2.04
1.05
1.9!
1.2s
I.6C
0. gc
1.93
2.3s
[.X I
I. IC
0.2c
0.6'
0.4 I
1.06
0. 31
0.4r
0.1:
0. 9:
1 .3 1
3. 0 c
0.04
0.51
1.3:
1.1:
I .I <
2.20
?. ?h
1.01
Grisgsville t . ...... 100
H r n n r p i n t .......... 97 Irislitown.. ............ Jordnns (;rutre* ..... 96
L:ll.on * 7 .. 92
Lnnnrk. ............. 92 hI;irtiiiavillr* ...... yz
h1:tscoutah .... .....' gS
.........
olney ( 11.. ......... 9.5
.......... Ollley (2)*
~
94 Orwryo * ..........., 92 1Jttnw:tt ............ 93 PIilestiiiet ........ ..! 93
Pnna *, .............. 94 Peoria ( I )t .. ....... I .. .. Peori;i [ 2 ) ......... j 93 Philo t ............. I97 P<Jlltl:lC *. ....... ...I I o 0
scdnn t.. ...........
Shlelqlst ............ gg 39
stnftor~l*t .......... sg
~
45 Strrlingr.. ......... 93, 1 42
93J
~
34k 1 ribuiie.. ..........
W:lkrtiL~ld ..... ....I g t
~
42
Wn liemey ........ 94 ...... w :l l l ~l ~~~[ I)t ........ I .......... w:lll:lce(2] ......... 1102 ......
~
Wrskon (1 ). 47 Fates 4;entret ...... 1 $ . 35
Bowling c;rrrn t ... g; 52u Burkewille-i. ..... .I.. ........ Burnsialr 7 .. ...... ./. ......... c'n~ldo * 7 .. ........ .' 92 57 ~;:itlettsl.~orght.. .. .I .. ........ C :~~l i t ~~l l ' t .......... I p s 53
.......... Se11ec;rt.. i 95 :I
, I .
i , Ulysses ........................
........
l<mitwk!/. 1
C!entr:d l ' i t y t .......... Earlinaton.. ...... .l ' o s I.';;'
WaterKury ......... go West Siinsbury ........
55.4 w .8
"9.3
fltl. J
*4
04.7 b5.5
6 .4
t7.6
fm0.0
01 .J
6.0
cm7.2
0s. 1 02. y
00.3
07.5 68.3
05. 2
b 2
b3.0
05.0
71.0
W.9 71.0
....
05. b
7% 4
....
.... .... .... 09.5 71.2
i5. 3 Ob. 0
09.2
i r .4 i5.4 74. s b9.7 69.9 69. s
70.5
70.4
72.3
7". I
05.0
....
.... ....
....
n7.2
72.8
fig. 3 70.0 bg. 8
71.3 74.2 t">. S
73.4
71.0
09.0
65.0
71.0
69. 0
70. o 70.6
b j .0
70.5
69. I
"9.4
9.3
....
....
....
....
bg. S
....
.... ....
....
75.6
.... .... .... 74.4
....
31
44
44
jh
41
39 .... ....
40
4 0
SS
3:
55
40
3
40
33
39
41
37
30
32
42
37
40
4?
....
35
.... ....
40
42
42
44
5Y
37
37
40 50
52
45
44
37
40
39
.... ....
-43
3s
4s
47
....
44
....
.... -If
30
42
40
45
3s
37
47
....
.... ....
41 3'
33 35
31
33
40
....
.... .... .... 3s
....
40
40
35
.... .... ....
41
Riley t ............. ' 93 Kucliford ......... .# 93 Hock Islaud Ars'l.. Hushville.. ........ Santlwich t ......... 91
l Edmo<tont ........ i 8, i j g F :r l ~n u u t h (r )t .............. , Fort. ~~i o r i i n s ... ...1'93
~
42
~
Fr;rnlitbrt (
. 1 t.. ..............
57
....
65
54 50 54
5! 50
03L 47 47 55
54
51
53
50
55
57 47 5b
00
, -, Ha>iner t. .......... .; 92
Hun n ):it 94 d:rckson Bwrncks.. 1 "3 ...........
.......... 67.1 ' 0 .1 5
71.4 I O.02
71.0 1.00
....
SEPTEMBER. 1891 . MONTELY WEATHER REVIEW . 227
~ - ~- ~~.______
~~
.... ~- .
~
Jfeteorological record qf voluntary &servers. &c.-Continued. ,IleteoroIogical record of voluntary observers . tl.c.--Continued. _ ..... ~- .
d a .. 0
a" -
Ill8 . 1.33 1.30
0 .bo
0.21
1.36
1 . 18
0.49 1.24
1.52
0.56
3.33 1.37 1.70
1.13
2.01
0.46
1.00
0.65 2.30 1.90
2.25
4.95 0.75 1.30
0.81
2.07
0.75
1.22
4.33
1.73 0.79 0.89 0.30
0.80
a . 30
1.93 2.03
1.54
0.39
0.09
0.93 4.24
1 . 18
1 . 16
1.45
1.49
1.05
0.90 4.20
0.67
0 . s5
1.06
1.59 0.63
0 . s7
1.05
0.30
0 . sg
0.45 0.61
2.03
1.08
0.80
1.05
0.80
0. S7 0.89
0.70
1.34 0.30
1.09 0.50
0 . .w 1.51
1.70 1.6s
1.48
0.43
0.00
2.00
0.87
1.68
0.20
0.00
....
0.00
0. co
1
....
2.s3 1.85
2.09
7.53
3.47 7.54 0.82
1 . 58
2 .6 ~
1.76
1.74 1.58
1.0s
0.86
1.35
-~
Ternpernture . (Fnhrenheit.) Stations .
...
Temperature . 1 F.ilrrenhrit . ) - . .. ci ..
2 a
11lS .
D . 25
1.54
I.@O
.-
0.sg
0.81
1.00
y . S9
r .
D . no
0.0"
3 .So
0 . .'j
0.37
0 . "5
0 . 40
0 . 15
0.39 3.27
2.1::
0.32
0.51
1.72
0.50
0.75 0.35
1.02
1.s5
0.25
1.1s
0.10
0.55
0 . s z
0.0s
0 . Di)
. C
L
c( .z .
0
76 . 5
75.0 77.6 70 .I
74.0 73.2 70.5
7 4 .2 73.2
7" . 0
75.5
75 . I
70.9 73 . s
73."
75.2
74 . n 79.5
73.2 77.0 72.9
74.0
75.4
65.6 70 . o
74.8
_I I .. , ..
....
73.6
, .... 70.7 70.3 70 . o 72 . s
bo . 2
09.7 .....
Stations .
E l 5
0
68.5
t.7.9 67.8 bb .7
.... 67.7 63.0
70.4 67.6 64.6 66.3
68.5
07.0
65.5 71.3
66.0
61.4
68.4
65. fi 66.7
63.0
65.4 69.7 6S . 0
65.9
65.3 66: 4
6 .4
....
....
....
....
6e .2
.... .... 66 .a
73.9 e b 2
.... .... 70.4' b7.3 65 .I
71.7
$1:
69.4 65.1 07.0
65.7 68.7
.... ....
57.4
65.4
53.9 60.3 64 . S
tlS.8
t.2. a
57.' 58.4
63.9 ....
55.0
50.2
04.3
57.9
$4.9
;;: 5
00 .4
t o .0
c 1 .5
64.2
55.7 64.7
57.4 61.5
59 . I
55.6 01.8
00.4
62.5
64.7
64.4
GO . 2
.... .... 59.6
b3.5 63.4
59.3 b1.J 62.6
....
55.9
64.7
03.9
....
63.6 61.4
....
~
' I
~orvinti&Cont.cl .
~ 0 ' 0
~ 0 1 Ins . ' ' .11ictiiynil--Cont.d . 0
Cuin'berlan.l(I)t ... i 65 . 40
~
67.1 ,.2.46 BerrienSprings(2) ..... Fort McHeiiry ..... So 51 ti9.3 . 4.68 1 Birch Run ......... 8s
Frederick .......... go 49 70.0 , 2.17 , Biiminghaln ....... SS
(inithersburgh* .... Sg ..... 71.1 I ..... Bronvorr ........... SY
Leonnrc1town.t ....
Tanej. t o w ~l t ..... ;. Woo qtoch ........ Maanchusctls . :
Grent F.iIIs'. ...... 65
New hlnrket ....... ! !;
0
37
4s
39
36
30
3s 35
35 39 3s
35
48
...
....
41
42
....
:: 33 34
41
45
30
48
39 58 40 46
37 36
31
42
.... .... 45
50
35
4s
34
30
43 44
32
45
40
35
45
.... ....
.... .... ....
27
3 34
25
40
30
24 2b
33 9 19
5
3"
34 34
30
30
30
34 37 19
27 29
45
3' . 16
30
2.5
42
30
48
....
Z:!
.... .... 30 39
$ 38 36 ....
33
40
37
42
....
36 ....
,Vt.bm~k;rc-Cunt'd. 0
De YIltO ........... Duniiiiig* ............ Z2 Ericrnii* t 91 E \v i w *t ........... y5
FxirGiry 92 F:tirticltl* .......... FtIit Kiulir.ira ..... $
97 F o r t lil1I.ih.L Kurt K o h l e o n ..... Fvrt Siclney ....... ! Tz Frmklinb .......... 9.1 Frrliiont* .......... 90
G;eno:r t c.erii1g.t ............
1;r:int ................. I1:irtington T ....... Haatiiigst .......... 1 %
Helrun ........... ., 90
Hulslrrgr .......... .I ....
.........
..........
.......
I:rnev:i .................
Gr., 11.1 Isl>ln.l91~ ..... 93
HAY +r i n g s t ...... / 94
............
~
2
...... ti3 . 6
64 . S
t.O . 9
r.5 . 2
bu . 1
t.5 . 0
t,5.4 c.4.0
61.7 03.7
6n . 3
5 j . ;
"3.7
tu . . 1
01 .I
1r2.2
. 2
00 . u
1.75 I . 1 .i
2.7s 2.27
2.gr
2.35
3.00
I . 27
1 .4 2
I . 39
1.117
1.51
1.42
1.55
1 .Y I
1.55
1.90
1.39
0 . sp 0.73 1.27
0 .go
n . 5. o
0.73 j . 20
2.36
1.34
2 . 17
1.55
2 . y1
j . 12
1.47 2.02
1.69
I . I..,
2.63
.... 3.01
1.40
1.37
1.33
1 .~7
I . t 7
0 . . g
1.42
3.1"
0.55
2.u2
1.50
2 . '3
2 . S;
I .c i C l
I . tl0
1.22
I .b 2
I .h O
....
0 .i t . .
U . q'J
1.92
s.y>
1 . "5
1.55
2.41
2.4a.J
1.7:)
2 .2 5
2.34
........... 52 i 0.0; C::ilumet ! sn ........... I I O I ......... ........... .........
.............. Adanis ............. i 85
hniherst ............ 80
ArnherstExSLn(l)./ 89
ArnherstExSta(2).~ 92 Andover ........... 58
h4.S I ... ' ConL~urd ............ ss C:urunn;r ........... 9" 37 03.6 . 2.21 . Crystal Falls ...... 90
65.3
~ 2.00 i tJgerfiel4 ........... go
l d9 Ashlnn rl ............ ' ................. 2.44 Ev:rrt .............. S9
$ . 6 j .d ('i.25
iF 5 2 .8 1.80 Edr.11 ...............
BlueHill(sunr.t) .. Blue Hill (base 1 ... ........ bg
BlueHill[valley) .. Boston
Cnmbridge ( I I ..... Cnrnbridge(2) ...... ....... Chestnut . Hill ...... .......... Chicopee Clinton 92
Coucordt Cotuit ............. Dewfield ..... ....
.....
.......... ...........
.........
..............
...... .......... ...... ............. ........ ............ ......... ....... Frnnringlinm ...... Gilbertville ....... (iroton ( I ) .......... Bench* ............. ........... Hoosac 'L'unnel ..... ........... K ~I I ~~I I (;reen ..... ........... LRkeCochituate ... ..... ................ .......... .......... ..... 1.0b Noble .............. So
............
RI.to....lit .............. 96 N :l t .' ~l r t %t . ........... 94
P;tIaI .\It<. t ......... 03
Pwrt 4;ilNsont ....... 1 u7 rnzi b............ I 94
ip Irlnnol t ........ 90
i i I I en7 ............ I 03
..... j oti
I l l <l l l ..l l .L t ........... ! 47
P<>IltOt.Wt ......... 144
2s
39 35
30 .
32 59.Y 37 , 59.5
QO I bo.0
~i i i j w r i h ........... 1 p5 1iiiirli;ill t .......... 95
Lrxiiigton' t ....... 97
Liim, lii ............ 91 Long Pilip ......... 110
NehraslinC:ity .... 91
........ hl:rrr u r t t e * 92 b ~l l l ~/r l l * ........... 92
NurfOlkt ........... 89
Norch L o u p t ...... sg
..........
4 J . 05.s
33 00.9
35 . 61.2
hdrinn t ............ I 9s Anvlvton (:i t r t .... ! 0 2
0j.h
65.2
60 . 4
64.7 5y . 11
01.9
t'3.7 b7.n
"5.4
62.0
bS . 5
"5.1
05.4
4; . 3
b< . 3
t.4 . 2
t.l . 0
r3.0
b3.3
02 . b
00 .I
50
.... 4s'
3s
50
44
37 45
40
42
4? 30 45
42
42
....
....
................... I r*
Lawrenre .......... hY
Leicester .......... 1 so
~e o m inster ....... .I ..... Long Plain .......... SO
Lowell [ I ) ......... Lowell(z) ......... I si 1.owe11 I 3 j ......... / 92 Ludlon.(i) ......... l bS
2 n i i ................ I So
so
anshrld ..........
39
~
70.1
40 I 70.8 4 o d 06.1
0 . tmj
0.57 O.b,
u . -, n
00.7
b2.S
'15.2
t.7. 9
63 . j
55.4
6 r .r ,
0u . 2
55
52
37
43
42
5"
51 30
42
37 34 43
44
42
37
4.5
42
50
50
....
....
....
....
.... ....
25
30
24
30
3s .-, 4
2;
2b
3:
23
30
34
35
30
4 2
40
32
30
40 ti
....
....
....
42
..... 10.54
r.y.5 1 0 . j E
72.9 0.55
...... 1.15
7" . n
....
I. ilwrt y ............ 52
I . ..iii.i..n.i Hiinlye ..... 3l.,rsl,:dl (2 1 t ...... 9'
h l l l l ' . 1,:tJlIJt.tr ...... 42 43 05.3 42 . t.7 . j
. 0.3"
0 . c. 5
I . IO
" 20
Y.01
I. . '. 7
... 53
" . 3 :
I .
I . ('4
u . sa
1.25
0 . su
0 . r>s
0.00
I .0 h
0.04
0 . t;u
1.00
0.71
0.56
0 . ss
0 .I S
0.67
I . 30
0.70
1.55
u . "7
I . Sj
...
70 . 0
71.3
7u . . >
"2.4
70.7
7r.S
r l l .2
7b . x
...... G9 . 0
7u.0 t.9 . 0
70.9 71.0
......
...... ...... ......
52.7
00 . J
5s . n1
5s . 4
"3.4
5s . 4 r+ z
54.9 53.4
66.0
lis . 8
73.7 0S.g
71 .I
03 . 2
......
............. 'son ('ity ........
Illt'B H:rllc~ll ..... ....
Elkol?) 50
96 Eurr1i.r
F-118. l u l l * ........... 102
Grnu.1 b5
(;cnlt-jlid:i 94 H ~~l l w k * 93
Hot Springs'. 95 .
Llh\rlleyYIllC ....... j go
E l y I 90
............. ................ .............
.............. ......... ........... H:iwtliornr( 1 1 % .... 93
Hawthorne (2 ) ..... 95
Hulirlmlilt f
........ SS
97 Rlill City Monitors Ranch .... s5
......
...........
.......... Pnlinn$le 9s .......... I SO
42 0s.j jo 01.0
35 1 "5.3
32 I 59.9
4" . 1.7 . I
...........
.....I ......
2.47
1.13
4 . UY
0.31
2.79 j . y2
I . h.4
1.51
4.54
5.43
0 . 9'
1.92
0.73
j . c q
1.41
1.34
2 . s5
1.23
0.4 I
1.3s
1 .2 0
0 . c. s 0.7"
I ' . 44
7 !'O
1.9'
0.29
0.22
1.50
0.77
I ' 33 0.99
0 . r. 0
I .2 D
I . In
..... I ...... 36 f'ti.4
?D ! tms.5 .; i t12.S
.. q; I 00.5
34 c10.0
j s r i . 67.5,
..........
4 1 6I.b ..... tm3.0
44 70.1
50 71.5
4s 70.4
52 7S.5
52 7ii.4
49 7f.0 49 7".9
50 73 . Y
I
..........
3%
41
3q
30
44
39 43
33
35
....
3 45
39 3s
Adrim
......... ............ Allrgnn 93 Almn .............. Ann Arbor ......... ' SS
Arbeln .................. Atlsntic ........... 77 Ball Mountnin ..... Ss
Bangor ............. 92
Benr Lnke ......... SS
Brllnire ........... 91 Bell Branch ........ 82
B.nton Hnrbor ..... gr
Benzonia .......... 8g Berlin ............. 94
...... ~-<t:l,!.abk(l.
Anslrg t ........... Ll4
. \*l i l .m l * .......... Aulmrnf I l ' t .......
b :i t rim- i ..........
Creighton t
l j u \re I I *
f.rrt.e ............... ~' u l l w r t *n n ( I l t
1:ull,*.rt.son( 2)'.
......... .I . ...
........... ........
......
.......... I H:inovrr(
.
) ........ H;iiiover (2 ) ........ 85
Lake. Villiige ........... 0.95 Littlcton 8.3
1.43 . 3l:incliwter ....... s7
0.00 Mine E'alls .............
90 i .S j N:iehnn
1.34 1 NnrthC'onwny ..... 90
2.00 Prirnichuck Stntion ....
..........
............ 1.3,)
~
Pir\vton ............ ss
62.3
h2.0
Ca.6
69 . I
62.3 66.2
"4.2
64 .I
68.4
5 S ?l
64.0
...... ..... ........... .......... 2.07 Enterpriset ........
23 8 MONTHLY. WEATHKK, REVIEW. SEPTEMBER, 1891.
__~ ~-
~
~-
~
-
N. Hnnbpahirc-Con.
Plyn1out11 ......... Strntford .......... Walpole ........... West hlilan ........ WierR Brid-e .......... Wolfhoroug%. .......... Ne10 Jerxey. Asbury Park ...... Ba onne ........... Beylev i I le. ............. Belvidere .........
Billingsport L. Ha.
Blnirstown ........ Bridgeton( I )... .... Brid r t o n (2 ) ....... cam8ien ............ Cape ,May C. H. t.. . Deokerton ......... Uover .............. Egg H:ub?.rCity ... Frnnklinvllle ...... Freehold ........... Gillette ............ Hanover ........... Highland Pnrk. .... Bi litstown ............
Junction .............. Lsnibertville ...... Moorestown ....... Mount Holly ....... Newark (I ) ........ New Brunswirk (I )
New Brunswick (2 )
Newton t ........... Oceanic ............ Paterwon.. ......... Rancocas *. ........ Readingtou j* ...... Balein h ............ Somerville ......... SouthOrmgeb ..... Tenafly ............ Trenton *... ....... Vineland .......... West Yummi t.. .... Whiting ........... 1vew Mezico.
Albert t ............ Antelope S p r i n g s t . Bernalillo ............. Bloornfiald t ....... Chninat ............ Coolidget .......... D u k e t . ............ Eddy. .............. Estalina Springst.. Polsomtg. ......... F o r t Bayard ....... F o r t Stanton ....... F o r t Wingate ...... Hillsborough t..... La Lua ............. Lordsburgh.. ..... Los L u n a s t ........ Monero t.. ......... Nogd .................. Oliot .............. Pojuaque .............. Red Canon t. ....... ? r i n g e r t ..............
Wallacet ........... New YorL
Alfred Centre ...... Arcade ( I ).
Beverlyt ...........
I"l%\yatowu ........
&os t. .................
Addison. .......... .I
.........
O
88
88
81 38
86
91
93 go 87
gt 90 39 85 97
go go So
' 86
87 84
90
88
87
93
gi 95 55
83
90
S 92 gY
93 85
94 90 8.9
84
93
93 99
87
90 89
8s
105
.... 92
3 87 91
92 96 96 S4
ya
93
93
88
l 65
ForL Porter ........ Fort Schuyler.. .... Fort Wndsworth .. Grnevn t. .......... Hninlnondsport.. .. Hevs Rand Statiout II o ne Y ni em1 Brook .
2 90
93
85
Sg
83
3.33
2.53 1.70
1.47 1.57 5.91 2.30
2.18
0.72
2.76
....
...
2.21
I
1 1
Perry City ......... Plaltsburgh ........ Plnttnburgh H'ks ..
88
89
gr
66.9 60.4
.....
3.18
3.33
2.55
s3.9
04.4 63.8
.....
2.05
1 .4 0
1.28
1.6c
West Point ............ White Plnins *..... Willets Puinl ...... Norih Carolina.
So
89
Baldwinsville ...... Batavin ................ Bedford ............... Bethlehem Centre.
Binghanitou t ...... Biooda Depot. .........
Brentwood ......... Brockport ......... BrookReld ......... Canton t ........... Carnie1 ............. Central Park, N. Y. Chennn o Forks
Boyd8 Corners.. ...
89
.... 88
88
84 68
85
3 91
.......
68.3
7F.4 m.5 71.1
73.3 09.0
49.0
...... ......
71.3
1 .1 2
1.23
2.61
1.qc
o.Rc
o.St
1.41
, 2.oc
4.4:
j .Z C
Arlii~~$oiit ......... A 3 h l ;\n d (I ). ....... Ashl:tn*l (2 )
Bandon
Beulnht ............ B u r n s t .............
........ ............
90 E6
94
72 95 79
Jonpstone Mount *. Sourhrrn P i n e s t ... \Vatlesb~irough ..... Wndeville 7.. ...... Wndiington 7.. .... 'Weldon t . .......... Willeyton ......... lVorth Dakota.
Cnrringtont ........ E l l r n d n l r t ......... FArw t .. ........... Fort Bufbrd ....... Fort Pwihina ......
.... 92 86
88
97 90 90
g6 g6
92
99
91
75.2 71.0 3.42 1.37
David8 Island ...... De KalbJunction..
DepoFit ..#... .......... Dunkirk (2 ) ............ Ension ................ Eden Centre ....... Elmirat ........... Factoryvillet.. ....
@
....
86
@
go
59.4 58.4 65.2
......
-53 2.3s
I.? 1.01
Meteorological record. of oolicnia y obserrela, &c.-Continiied. Netenidoqical record of iiolzcntarti obscrsers. &.-Continued. -
d a
0
.-
k -
IlU.
9.79
D. 65
I]. 38
2.51
3 .0 0
2.50
0. 00
0.05
0.45 0.13
3.33 3.95 0.42
2.39 2.71
1.60 3. IO
1.33
2.51
1.05
4.55 2.51
2.04
2.46
1.53 1.98
1.95
2.37 1.85
1.00
;: 2:
.... :: 23
1.50
2.54
1.99
2.82
1.77
2. I b
2.53 2.71 2.07
2.01
2.38
2 . 11
3: s 0.28
1.07
2.90
2.17
3.41
2. 02
1.01
a. 65 1.m
3.34 I. 50
1.34
2.20
1.19
1.8s
2.67
2.55 1.31
2.03
I. 17
1.57 1.31
3. og 2.45 1.71
3.25 4.12
2. 15
1.29
4. 12
1.35
2 .2 0
2.39 2.89
2.47 2.23
1.W
2.30
4.30 1.35 1.50
1.79 1.88
1.82
1.49
2.11
2 .2 0
2.49
2.43 2.77 2.90
2.57
2 .0 0
....
~
d
0.
2 u .-
d: -
Iru.. 1.23
1.43
1.75 1.71
;: d
4.45
3. IO
2.24
2.02
2.43
2.35 1.74 1.09
2.20
1.83
1.54
2.5s
Temperature. (Fahrenheit.) Stations. -
~~
Temperature. (Fahrenheit.)
I4
Temperature. !' (F a h r e n h e i t .) 1 -i i Stations. Stations. ._
i 1 .g 1 g i ' f , ' d
a 1 a
Temperature. 1 (F a h r e n h e i t .) , c
--I S= Stations.
2 Z I ' i 2 ;;
- C
A
0
58.9 64.7 62.4 60.0
..... .....
6s. 7
69.7
67. I
67.2
70.8
06. I?
70. o
72. I
70. 8
9.0
00.3
66.5
07. o
a.0
67. I
64.3 '4.9 tis. 2
6S.8
....
....
.... os. 3
67.9 68.8
b8.9
71.0
07.4 66.9
74.3 69.6
70.3 67.0
68.4 65.6
67.0
73.0
09.3 65.5
69. I
....
2:; .... 70. o
58.9 01.4
56.5
78.9
61.6
66.5
62. 8 62.6
69.6
07.3
64.3
6S.7
....
66.3
76.5
54.8
....
.... .... .... 67. a
$2.9
c.0.7
64.8
00.0
....
.... .... .... 64. I
68. 2
66.0
60.5 61.7
71.0
59.3
67.6
....
64.?
66.5
.... ....
h I .0
.... .... .... .... 62.9
66.6
6.1.3 65. I
-
i
E .-
-
0
34
35 40
32
..... .....
52
47
4 1
46
52
41
50
49 51
49
41
42
41
44
45
42
40
43
45
46
47 48
51 44
45
48
52
47
53 56 42
43 48
39
50
47 44
45
45 40
45
30 30 30
52
38
41
35 32 45
40
58
3s
.....
..... .....
.....
.....
23
41
44
.....
..... ..... ..... 40
:: 3.5
40 .....
..... ..... ..... 38
55 49
45 30
3s 43
54
.....
..... ..... 35
50
36
..... ..... ..... ..... 38 44
35
43
ti
I S
ti
l i ,. .
~~
IV. Lkihol~i-Cont'd. 0 0
Gr:Lld Fi,rkst 11 ..... S; I 32 61.6
G r :~n <l Hnpirlst ..... 07 24 63.0
Hoprt.: ............
~
S5
~
30 5 S .S
Lnk<lt:It ...............
1Cr 10 ............ , 92
~ 2s 0 I .U
0
54
53
50
43
52
49 41
40
41
38 40 42 26
40
40
...
...
.... ... ... 40
34
39 47 45 34
36 45 34
32
3s 39
37 40
37 42
38 41 42
53 37
33
30
47
33
42
42
40
30
40
33
50
51
43 42
49
54
45
M
....
.... ....
....
....
....
3s
....
....
....
.... ....
:; 51
45 5"
51
49
45
....
.... ....
5.1
46
55 60
4b
53
54
47 5s 55 55
49
48
30
32
29
:: 35 28 26
0 ' 0
26
~
53.6 26 60.8
24
~
57.0
.i? 58.6
42 , 00.6
31 61.2
28 ' 59.6
3s 61.1
48 ' 59.6
22 58.8
34 1 59.8
4 0
~
57.5
34
~
50.2
I,,*.
2.37
3. t'4
2.SY 1.50
3.23
2. go
0.72
0. 07
1.fJg
2.04
2. I 3
1.75 1 .M
1.71 1.s7
2.56
1.74 2.25
1.91
1.22
70. o
bS. 6 67.1
65. 0
G S . 4
70. o
04.9
62.5
6 4 . I
$3.5
05.4
5s. 5
64. d
61.5
0 2 .2
....
....
60.2
.... ....
......... 28 60.6
34 .....
31 57.8
20 57.4 27 02.7
33 63.3
25 SY.5 3' m.s .... 59.2
19 50.7
44 67.2
49 67.0
42 60.0
1.07 I Rloorriiii::c;rove'.. Si 2.33 I Blur Knot!.
0.51 Brookville t ........ '. ... ........ I 84 43 $7.9
37 ' 03.6
40 b5. 0 ............ 2.60
2.07
0.50 1.07
2.40
I.SO
1. j 1
1.75
1.20
1.41
3.01
0. 42
1.65
2.19
0. io
0.s2
1.48
2. I O
2.75 0.42
1.40
1.33 1.95 0.4s
1.00
a.40
1.19
2. 33
2.40
2.04
0.65
1.58
1.36
1.3tj
1.91
0.70
1.00
1.22
....
2.9s
I . 10
2.05
2.67
2. so
2. so
0. Sa
0.90
1.71
0.45 1.61
0.57 0. Yd
2.0s
1.ti3 0.7t'
1.25
3.53 0.?3
1.22
0.93
6.60
I . 17
1.05
1.4"
2.19
0. I O
0.77
1.10
?.SI
0. 30
0. I D
3.92
I.bO
2.51
2 . s2
2.9s
0.85
0. 59 I. IS
1.86
I. 27
0.39
.....
Brotvrrs Lock ... ..I ... .I ..........
9142 ............ /'02 1 ' 43
Irsville ........ 8s 1 37 12::; O l l (l )t ........ .....,...... .....
~n y I es t uwn ........
~
: : ... j. .... .I. ....
Eniporinm.. ...... .I 88 i 38
~
66.5
~.~~~n t s v l l l ~... ....... Contluence t .. ..... ...... ............. Dnvia IslRnd Daint.1 ..............
Du Bois f ............... , ...... L))'bel'ry 7. 87 1 34 ~'60:6 E a s t o n .. 66.8 Edinl,orouylr* ...... S6 , 40
~
65.4
E'raiikt'ord Arsenal.1 94 , 70.6 Fredrrick. ......................... Freeport t .. .... t.iirnrrlvitle ......... Grnmpian Hills.... Greensborough t... ..
......... ........... j 86 45
F'lcs oCNeshrrniiny.~. .... /. .;;. .;. ....
.........
......... Hulnwvllle ........ Huntingrlorit ....... Jolinstotmt ........ Kennett Square.. Kiliner*.'.. ...... L;iilcnster. .......... IJ:iniivtialr .... .... Lebnnon
.......
..... ... ... ........... ..I.. ... .'. .... hIcC'onnellaburgIi ../ 92 3y i 66.0 Rlrslioppen ........................ NewC':ratlet ........ 1'91 ! 36 I 69.8
Oil Cityt ........... , .... Uttsville .......... ,I.. .. Pnrker's 1,iintIingt .!.... Pliilndelphial I 1. ... I.. .. Pliilwlelplii:i(z).. .. Pliwnixville ....... i gi Pleas:rnt Mount.. ...... Point Pleassiit.. .. .I . ...
......... 66. Y
51 bS.4
J? ' 69.1
37 E.4
64.2
41 , $4.5
40 Q .7
43 68.4 ..........
41 ' 65.5 J4 Ob.2
44 ......... 4s 72.2
40 4.0
42 60.4
35 63.1
50 W.5
..........
..... .......... !..... ..... 1 ..... ..... I ..... 49 171.6 42 1 43.4 .....I 01.8
65.9
,
..... 2.7n
73.4 71.9 I O .5 5
..... 10.s3
.......... 46 07.3
42 67.S
&$ 65.2
.......... ..........
j?
~
67.3
41 I p j .9
4 2 167.9
..........
38
~
00.0
40 M.9
..........
..........
69.0
~
1.4c
...... 1.Sq
61.7 I d.0C .......... 47 , 70.1 44 63.1
..... Ih5.8
......... ....... Rc;irlinpt..
Pot t s tow n Qu;rkertnwn 89
S\v:lr~l,l,,ore. ...... .: 91
'Troy 1.. 90 L1 n i on to wn .........
~
s:, Wnrrent ............... Wellsborough .... .' S6
weat c~:llester ...... 190 West Newtont .... ... \Vilkrs B a r r e t ..
w YSOX ........ .:::i 91 97
Rhudc lxlaiid. 1 92
Hristol ............. E2
Fort .id;rnls. ....... I i i n o s t o n (1 ). ... ...I :i I<in&on (2 ) .......
~
82
Lont;ixle .......... , .... 0 1 neyvi Ile ......... 88 Pnwtucket
Providence (2 ) .....I 92
............
YCrk ...............
.......... .....I .....
44 I 64.6
..... I.....
......
..... I .....
.......... 33 j 62.2
40 63.3 40 1 b5.4
.......... 47 169.7
:: 1 2:: 35 43
40 34
41
23
40
33
34 30 35 43
34 30 38
29
39 34
22
5s. I
59. I
59.3 55. 7 53.0
4S.S
60.8
59.2
57. 4
55.4
5s.o 01.7
5s.5
59.0
50.4 60. 2
60. E
k3.9
....
..... 59.0 b9.2
68.3 64. I
69.0
66.4 66.0
65.4 64.4
.....
..... 68.0
66. I ....
66.5
....
32
46
44 37
40
....
2; 45 48
51
48
47
....
....
;SEPTEMBER. 1891 .
Cornwul 1 ............... Enoqhur h Falls t . H a r k w f t .......... J acksonvi I I e .......
MONTHLY WEATHER REVIEW .
45
54
sg
229
Soulh Carolina . Aiken .............. Allenrlnlet ......... Batesburgh t ....... Belniont .......... Blackvillet ........ Branchville t ....... Brewer Mine ....... Caniden t ............... Gheraw(1)t ........ Cheraw(a)t ............ .Chestert ........... Eftingheui t ............. Florencet .......... Greenville t ........ Greenwood t ....... Hardeevi I I e t ....... Jack.uonborough t .. Kin s t r e e t ......... Kit%inb *s M i l l s t ... Nichols r ............... Port Koya1.t ....... . &int Geor e s t .....
Sinipsonvllle ...... Bocivly Hill t ......
Yktesburght ....... Trial ............... Wateree t ..............
Yorkville .......... &ulk Dnkola .
Saint Mattfewst ...
%partuiiburg( 2) t ...
Winnsborought ....
.. ~-
Neteorologfcal record of voluntary obsmer8, &c.-Continued.
92
9' 92 88
90 S9 go
go
go
91 Sg
92 SS
go ' 9 5 92
SS
59 Sg 91 85
92 86
91
89 go
.
Meteorological record of cohinlary obseruers. &e.-Continued.
l!l:irksvill~ t ........... Unle Enterprise t . . t l n n v i l l e t ..............
.
E'
2 a
In6 . 2. 28
1.55
0. a7
3.31 0.66
1.07
0.68
1.85
1.37 0.58 1.48
1.93
1.04
0.91
0.33 0.18
0.72
1.60
1.42
0.38 0.76
1.82
1.78
2. 60
1.41
0.27 1.29
1.52
1 . 18
0.75 1.31
2. 40
2.91
0.64
1.73 1 . 05
1.13
1.25
2.08
1.44
0.48 0.58
1.37
4
.
0.21
1.96
1 . 10
1.00
1.70
2.49
0.42
0.92
1.74
0 .go
1.so
0.61
1.76
1 .q
0.61
2.32
2.53 2.80
4 .IO
1.44
3 .9
1.48
1.00
2. I 1
5.81
2.3s
5.14
7.69
-
90
Temperature . I (Fahrenheit . )
O*llkosht .......... Pepin .............. Pes ht igo ........... Phillips t .......... Plovert ............ Portnge ( 1 ) t ........... Prairie du Chien ... Rhinelander ....... Phawano ........... Shell Lake ......... S y r t a t ............ \ I roqunt ........... Wntrrtown ........ Wnu lies hx t ............ Westfield t ......... Wt?aton*t .......... Wliit.elinll t ........ Illyonring . Cnrnp P J o t B u t t e .. Evana ton
Fort D . A . Rusuell . Fort Fettermsnt ... Fort Mcliinnpy .... F o r t Wsshukie .... Fort Yellowatone .. 1, snder ............ Lnraniie ( I )t ....... Larumie(2) ........ L w k t .............. swntoga t .......... Shrriilnn ............... Snnilnnre .......... \vheatlallll. t ........
Gu.*hniiEE. ....... Leon ale Aldeinas .. Mamtlnn ........... h l ex i co ............ Puel #Io .............
..........
:- -mrrco .
.1 1 q1vlol~nmpo ......
- . e
?
G
.. u
~
Ins .
1.90 1.39 0.68
2.30
1.39
0.54
2.65
5.25
1.30
3 . 50
2.37 1.49 3.27
2.55 1.03
3 . IO
5.25
4.93 0.30
4.62
1.95
1.37 5.03
2 . 05
0 . 32
5.69
0.37 0.89
2 .0 6
2.39
5.40
1.37 2.14
4.40 2.30
1.35
4.04 0.71
3 .w 3 .I O
2 . 1s
2.21
0.00
....
1.21
'r .
1 .M )
4.39
5.?1
3.55
2 . 45
2.55
2.54
3.03 5 . 10
0.58
I . 90
2 . "5
2.97 3.55
0 .go
1.79 2 . 17
3.42 3 . 10
3 .I S
1.69
1.?4
0.60
2 .2 s
2.42
G . 20
0 . t 7
I . 20
'.pS
1.27
1.46
I . I 5 0.71
2 .Or;
1.53
3.59
1 .4 4
0 .0 2
v0 -.4 1
2.44
2.7s
2.7?
o . 70
0.81
1.60
1.85
2 . Ll
1.07
0.70
I . 29
2.44 2.14
2 . I b
2 .I O
....
I 91 94
go 91
&
97 88
g i
92 91 94 91
gz
98
8g
92 88
too
S7
85
79 87 78 77
9s
S7 88
65
84
go
74 76
p3
Temperature . ( Fahrenheit . )
Brookingwt ........ Cnstlewood t ...... Clsrkt .............. Cross' ............. De Smct t .............. Elkton ............
d e
E
.. U
a
~
lt16 . 2.25
z . 98
2.34
I . 47
2 .I.$
1.60
0.83
....
I . 16
I . 54
1.40
2.05
2.40
1.34 1.43
1.03
2.15
3.20
1.50
2.13
1.25
1.59 2.73 2.32
3.40 1.77
I . 12
0.9s
2.02
s . 52
3 . og 0.23
0.75 4.24
4 .So
0.06 0.14 1.78 o . 15
$ . 03
2.78
4.15
2 . 6s
0.39 0.33
2.25
1.27 1.46
1.63
0.38 0.48
3.20
1.32
5.4s
....
....
1.02
.... 4.07 I . 63
0.30 ....
$ 100
ss
92
Teinperuture . I (Fahrenheit.)
Johneonville t ......... Kingnton( I 1 t .......... Kingston Springs+ . Lewisburgli'. .....
Temperature . ' I (Fahrenheit.) 1 -:
go Sa
Stations . . C
3
0
64.0
61 .2
63.0
71.4 65.0
65.6
bo . 0
65 . 0
05.2
67.6 60.4 b4.2
66.0
68.0
67.2 63.8 65.2 67.0
.....
69.4
.....
64.9 6 4 4
62.0
65 .2
62.2
67.8
64.8 65.1
67 .a
66 . z 62 .2
61.2 61.2
....
.... 2: 3 62.6
63.9 64.8 66.4
66.0
67.3
60.4
65.7
55.8
54.9
54.5 64 . 2
b3.2
52.2
58.6
f.4.0
55.2 58.8
56.6
53.0
59.7 55 . 1
65 .I
67.7 83.7 61.8 63 . 1
87.2
Yo . 6
57.6
77.2
....
....
-
Stntions .
Tenaesnee-Con'd . Rugby ............ 86 Savaniinh * ......... i
02
0 0
53 66.6
52 72.5
54 71.3
52 71.4
0
49
59 60 60
60 58
$ .... 55
52
5s
52
58 62
56 57
64
69
58
5f 50
50 61
56
62
58
....
....
....
01
....
281
30
31
24 24
33
32
a8
27
33
29 35 37
32
40 28
34 28
31 34
'4 28
34 27
34
2s
39 35 28
39
57 44 53
so
52
43
48
53
....
36
.... ....
.... ....
49
48
49 56 55
:a 5'
50
47 ....
.... .... $3
04
52
53
48
58 60
54
....
2: ...
56
0
65.8
70.7 75.4 74.6 72 . 2
74.3
73.8 73.3
72.2
73.0
74.8 70.6
74.0 75 . B
74.3 74.8 76 . 8
74 . .f
74.0 74.4 72.0
72.9 73.2 72.0
75.6
75.6
.....
.....
.....
.....
.....
73.4
59.2' bS . 5 63.2 65 .I
63.5
64.3 64.2
65.7 70.3 b5.4 69 . o 64.i 6s . 4
@S . 3
E: T
IRP . 3.13
0.83
1.61
2.61
2.40
5.54 1.72
2 .0 0
3.26
1.21
1.31
2.05
I.SO
2.0s
0.49
3.72 3.53 1.33 1.50
1.53
1.91
2.9s
4.2s
1.77
3.42
3.47
3.3' 1.84
1.68
1.56
0.43
2 . 04
0.48
1.26
1.57 1.49 0.50
0.35
1.20
J: 2
1.11
1.66
I . 02
1.24
0 . s7
0.30
1.37
0 1 0
.I . .~~. . ~.6;:i
35 i 60.6
i 33 1 59.4 42 63.6
1 42 63.1
j 6 ' 63 .I
~
40 65.1
!
~
4s . 69.7 44 . 66.6
57
~
71.9
~
59 72.2
............
............ ............ 42
~
67.6
............ . 59 . 72.4 47 69.7 44 68.2
42 65.6
54 70.0 43 71.3 47 ' 71.6
47 75.3
44 69.7
46
39
. 32
.i 7
31
43 43 44
46
29
3s
58
~
75.4
......
38
......
~
40
40
! :; 56.i
~
26 i 57.6 !I
, 49 66.4
............. ........ 1 ......
~
46
~
68.0
.............. .............. 44 63.7
3s
~
61.6 .............
.............
c C
C
c 1 I I I F I I
1 I I
0
93
95 92 93 92 94 90
89 96 92 95 91 95
92
....
....
0
32
35 27
51
34
40
45
31
34 35 38 29
33 36 43 39
38
35 30
29
29
33
30
35
31
40
37
29
39 29
....
...
...
....
58
2;
;i
....
33
40
37
33
19
30
....
%
22
33 32
24
31
31
30 27
29
25
34 30
50
50
74
49
50 49 75
41
70
....
__
WL~coi~sin-Con t '11 . .entrnlin ........... :hippewn F s l l s t ... ;
:0111111 bus ......... :randon t .......... )odgerille t ........ Eau Claire( I ) ...... Ellaworlli .......... Embarrass* t ...... Florence t .......... ~o n d du Lac ...... Inniniowl t ........ larvey t ........... / Ingwnrdt .......... Iillsborou Ir ...... Ioriry Iudson Cree$* ......
~
.............
............. Sprin dale+ ........ 92
Yhnrp
s t r a w t e r r y .. Plains t 1 renton ............ go
Union city* ........ / 97 Waynevhorough .. go
Arthur Cityt ....... 1. ...
93 Berlin ....... ......I 99
Terna . 1
Austin( I )t .......... 93 Austin ( 2 )* .........
Big Ypring .........I.. ..
Colorndu 13) ....... ! .... (lolumtiint ........ Corsicann (z )t ...... ! '9: 94 DurIinni ........... j ....
Fort Bliss ......... 1100
Lhllas ( 2 ) t .........
DuvnI ............. ! gS
Port . Brown ........ 94
Fort McIntosh .... $6
Fort Clark ......... 98
Fredericksburgh* ti 95 (iainesville t ....... 93
Gallinat! t .......... 100
Graham t ........... IOO
Grapevine t ........ 100
Hansfordt .......... H a r t l r y t ........... 97 Hayniond He.irnrt ............ Houston t .......... Huntvvillet ........ I 92
Llano t ............. I g6
1. ongview t ......... I 94
I. u l i n g t ............ 198 RIennrdville* t ..... y5
Mesquite t ......... 1 98 M i d I nnd ................ hionntnins ringst . i 95
New Brsunrelst .... ! 95 New Ulni ..........
~
95
0dr.asnt ............ j 9 9 ~
/ 92
Pnrist ' 96
Quan:th t ........... i 94
ILohy t ............. 98
I ~o n n d Rock t ...... / 9s
. malcrson ............. erra Blnnca(1) t .. !io2
e r r a Blanca(z) ... / .... lver Fallat ....... ; 98 Tyler? ............. fig
\ enus t
\\'ne0 12 ) t .........
lilrth .
Benvert , 9'
.Creek *. ...... ' 90 It? Gote t ....... I Rg
u t g 1 93 nile* ...........
~
52
Deseret t 90 Fort ljoudns Fort DuCT>esnY::::l r;rren River t ...... GronaeCreekt .... .i .... Iielton* ............ 94
1, nke Park .......... 90
Levan ..................
Fort Hancock ..... 1102
Or:ln,yt P a l l t r r ............ .
%in Antonio
~
96
~
97
\ve:rtlierfortit ..... 1;;
............... ..............
........
............
............
............
..........
. ........... 51 6S.6
57 73.2 48 0S.r
........... 65 80.8
5s ' 77.4
54 ! 79.0
4s 75.1 60 , 76 . 1
56
~
75.6
51 7?.4
...........
03 . 7h.2
;:
~
;;;; ............ 45?1~' 6g.on
61 179.2
........... 58 176. S
52 76.2
5b 1 79.2
........... ~- ...... 65 . S
56 . S
57.4 62.7 60.7
55.8
57.2 57.5 65.9 bo 8
55.3 b3 . S
60
50
60
42
64
50
52
51
47
52
40
45
S4
01
.....
;$ 50
50
54
53
51
47
53
s2
679
40
.....
.....
s1.5
77.9 75.7 so . u
72.0 80.4
74.7 7b.o
76.7 76 . o
70.4 h7.4 63.3
76.4 76.7 77.0 Yo . 0
76.8
79.2 74.5 7b . s
75.6 77.8 77.4 81.5'
....
....
74.0
7s . I .....
57.4 9 .4
00 . d
b1.i O.h7
06.7 1.17 66.5 0.50
66.4 0.1%
63.1 0.7s
60.9 1.95 63.5 I 2.32
b2.5 1.20
67 . I
66 . S
b6.0
63 . 4 6% 4
0.3s
0; 2 5
r .. 0.71
0.26
4 .1 1
0.23
0.35
0.90
0 . R7
0.62
I . I 2
3 .OS
1.24
2.92
2 . og
0.61
0.91
o . 90
0.686
0.32
0.65
0 . 3s
2 .2 2
0.25
1.0.;
0.72
0.25
1.71
1.01
1.00
0.10
0.70
52
52 . 76.6
50 ' 7Y.S
57 75.4
5' 74.8
44 74.8
50 73.8 47 77.6
52 77.3
54 7b.4
30 60.9 30 64.1
3s 65.3
39 t,6.4
37 60.9
52 i 6 .0
...........
............
;; 2;;;
32 61.1
40 70.6
Kowlenhurgh ( I )...I... ...............
Westnnt ......... 1 ................. W h e e l i n g (r )t ....................... \Vheeling(2, +t ..... 91 . 51 72.0 White Hulp'rSp'gst ..................
n n l l e r y .......... sa . 42
~
6ti.4
I l ' i .~c u i ~i n . .
70 . o 47.6 66.6
75.2 71.5 70.2
71.5 GS . 4
72.8
73.2
...... ...... 71.3 ...... ...... 72.0
73.6
72.7 71.0 71.6 69.2
72.4
75.7 72.4 70.4 69 . o
'1 111 hers t ............ 0 I 31 153.2 1.37
39 . 66.0 10.71
34 65.8 , 0.53
40 . 04.7 , 2.8t
jo 60.2 0.29
js 67.0
~
1.05
29 59.5 1.46
2s ....... I . 73
22 th.s ' 1.71
A p p l .t o n (l )t ...... 15s
n;trnbon t I94 ntrrrot1 t ............ I 90 ...........
Bnytieltl ............ I 91
Hrnver Dnin ........ ! G I Berlin ............. 195
RlnckRivrrFaIIs .. 95 ntlttrrt1ut.t ........ 1 o~ ~ ~
._ 64.3 .
0 .0 2 ' 8 "
I ':idiz .........................
-~ ...... .... _.
Ket.eicet1 too late io be irsztl i i h yeiiercrl tEi.wrcssi~~t~ jbr September. 1891 .
~
.. -
........... 39 . 05.4 36 I h3.2
..... 1 5 Y .S
33 63.6
31 57.9
43 "5.5
34 ' 60.7
..... 53.6 34
~
64.9
1 1 Alilbrrmn . . ~'liiI<lvrstwrgli ..........
Ar'imnn . 1 Antel0 1 f. V.rlley ........ Im.h,ir\ ...... ......I.. .. Pror1:1 ............. Rnascllville
'rwIllp* ............
60 71.8 0.68
42 69.S 1.85
50 b7.2 1 2.92
I /
l...g.ul .............. 1 90
Loaeet .............
hIonnt Carmel*t ... ! sg
(:)-den ( I ) * .........
~
S6
G r k (J i t y t .........
Proinontor{. ...... 1.90 35 61.7 Provo City .............. 55.7
S t i n t t.rorgest ..... scofiel<lki ..........
Soldier Suniniitt
SOCktOn t
Hnowvillr t
Terrace' ...........
Mu.dlt .............. I 3
Pnrownn t .......... 1.9; 34 00.4
Rlclrfiel8lt .......... 95
~
32 66.5
........
32 59.1 1.37
45 04.4 1.16
41 1 63.6 0.70
c'nl tj5rnin .
'~:;tlll Q" ............. 90
Jolon .................. Plitcvrville (2 ) ...... 1 93
I 94 Yrt.k.1
I 94
Lawrence 90
..............
I l l i n n i s . i
h.nnsm . :
......... L4Jlli!4Ville
..........
.3 In ryl ufid . (:unitirrlnnd (T) ....
~
90
...... 70.0 0.40
73.8 '0.38 ............ 1 0.00 Eugene ................ ..... I ...... 1 ' ~n p p y Valley ....... 92
&n, (h Cnroli,ln .
~
22 ~
55.' 0.52 , . Tillers Ferry ..........
T .
33 ! 63.4.
~
0.37 !!
...... ' ...... 1.56 26 1 56.6 1 0.74
I I ...... 1.30 70.5 0.90
70.2 0 .7 ~ ......I ...... ' 4.22
72.4 10.27 69.4 ..... 70.8 1 1.30
67.6 .....
70.0 0.61
Ternr . ............... 1 1 Kent
............ ....
~ ~~
70.0 0.97 Brnttlehorongh(i).i 85 i 39 163.2
...... ; 0.95 Burlingtont ........ / 8s 43 53.8
. ............ 67.8 , 1.02 Chelsen 75 40 54.5
230 MONTHLY WEATHEE BEVIEW-. SEPTEMBER, 1591.
-. _-____ -
A: 2 1 0.00 I
O'O0 '
1
North Cnrdinn.
South Carolinn.
Washington ......
Tillers Ferry .....
Benumont ......... Cisco.. Qlen Ellen ......... Newark ............ Ontario ............
Worado.
Beaver Creek .......... Brandon ............... Chivington.. ...........
Go d Hill .............. Qranada.. .............. Minneapolis ...........
............
c o p e ...................
wrsy ..................
Flmida. . Eomeland .........
100
90 I&
100
r q
95
6 .q
o.71
o.05
5.71 4.79
.__
L e t t e r s of t h e alphabet denote t h e number of days missing from t h e record, thus:
4Extremea of temperature from observed readings.
the l e t t e r c indicates t h r e e days missing, etc., etc.
' t Weather Bureau instruments.
Dakota" instead of "South Dakota."
Corrcctiona: July, 1891, page 176, under "Reports received too late," etc., read "North
..
Quehec, Qur .......... ...I ZGij nionLrenl q u e . .......... 29. 8g Rocklitbe' Clnt ........... 1 29.60
l i i o g *t o n ' .~n t . .......... , 29.~0 Toronto Ont ............ 29.74 WIiitr $iver.(>ut ........ 25.70
Pnrt St.;rnley,Ont.. ..... .: 29.50 Saugeen Ont ............ 29.41 Psrry So'und,Ont ......... 29.4: Port Arthur,Ont ......... 29.20
Winnipeg, Jlnu 29.9 nfinne0ios.t nlan ........ ./ 2s.11 Qu' Appeli:, Assiniboin..
~
27.68 Medicine Hat, Assinihoia 27.57 Swift Current, Assiiiiboia ....... (.dgnry, Alberta.. ...... .( 26.3s
~~~~~~~~~~~~k .~t .~' ~:~~..~~:~~
Port R.l(~olly, B.C ............... St. Albnns, Man .......... .... 26.72 Ed nion ton A I bel ta..
Battleford kaskatchewnn, 28. IO
Grindston:. Gulf Yt. L..' 2g.q Hamilton, Bermuda.. .. .I 29.68
..........
I stony >fountain, n h ..........
27.54
--__
5.95 I Mexico ...........
Received too late .for piibliccclio,i i,n Aug(ist, 1891. I ~atcl.fronr Cullailitrn stutivlla.fiir the moirth of September. 1891.
Pressure. l'emperature. Precipitation. E
.- - 0
2 . 5;
tC'S
E
=- Z O
a > .-
&
~
W.
0w.
W.
0w.
nw.
SW.
SW.
W.
W.
W.
SW.
0.
W.
0.
Be.
....-
s w .
nu.
nw.
ne.
n. e.
8 . '
s w.
W.
a.
.....
se. n.
W.
nw. nw.
.....
sw.
ne.
-
Stations. '-
I = i d - 9
a ..
0
....
71.2
71.6
66. I
80. I
....
66.7
.....
71.8
83. I
63.5
-
Stations.
7-11 -- --
-
d
E .-
-
0
50
.... .... 69 65
64 41
54
57 60
.... .... .... .... .... .... .... ....
74
d
E .-
-~
5 Q_:
t!? S E
t o e a
B
c
__
Inches.
........ + 0.48 ........ - 0.50
$ ::;2 + 0.05
2.23 1.47
+ O.9b - 1.15
- 2.20
- 1.64
- 1.65
- 1.06
- 0.62
- 0.79
- 1.97
- 0.23
+ 0.20
- 0.14
- 0.31
- 0.15
.......
....... ....... .......
2 :..: + 5.25
- 0.27
....... ....... ....... .......
5 E
I
I o
......
Alaska.
Coal Harbor.. 70
drizonn.
Chiricahua M t s ........ Lochiel ................ Peoria ............. 108
Willcox ........... 102
0
...
94
9 9 1
93
97
...
104
....
103
2
1738. j
5.40
i
Georgia.
Quitman( I ). ......
0
....
50
44s
40
61
....
25
....
45
76 50
c
c:
f --
0
53. 3
57. 8
59. 8 59.0 57.5 57.8 59.4
57.2 52.8
57.0
55.6 91.4
53.4 61.0
bo. 3
59. I
55.7
54.4 51.6
51.2
56.4
50.8
49.3
51. I
56.4
49.6
56.4 76.8
......
01.2
01.2
......
2: ;
53.2
Bidiintia.
Richniond ........ Inches.
............. 1 30.w
29.91 ...... 30.01
30. al .. , 30.03
30.01
2.47 1
' Saint Johns, N. F... .... ., ?g.S7
....... .............
1.93 ~hnl'~Ottt.toJWll, P. E.1 ...~ Chnthnni, N.B.. ......... ~0 .0 2
Fntller Point, Que ..... ..i 20.97
birhea. hChe8.
30.01 ....... 30.06 + .04
30.10 + .os
30.~0 ....... 30.12 + .os
30. aq
30.05
30.04
..............
h i l t l s f l S .
Tribune.. .........
Ninnexota.
Rolllng i:rren ....
- 1.6 2.90
+ 1.8 3.72
+ 2.0 5.55
........ l 5 .q
............... + 3.3
~
3.05 ........ 2.15
........ 2.07
+ 4 .2
~
4.19
2.52
........ ........
~
2.03
+ 3.6
~
2.73
+ 3.: , 2.30
+ 5. , 3.24
+ 1.9 : 1.14
f 1.3 ' 0.77
- 0.4 4.27
+ 5.6 1.69
+ 0.1 1 8.59
+ 5.3 1.23
........
~
0.43
........ 1 5.71
........ 1 8 .9 1 I
..............
........ i 0.56
........ 1 1 .2 6
..... 89.4
s4.1
78.3 60.2
74.9 66.7 81.5
.... .... ..... ..... ..... ..... ..... .....
82. o
...... ......
$ :::
$2 - .OI
+ .07
+ .04
+ .oS
+ .& ......
. 01
.OI
- - .03
- .04
-
...... . 01 -
jo.00
30. co
30. Og
30.05 30.11 30.12
30.03
30.13 30. 1 1
30. Og
29.95 29.91 29.89 zq.91
29.64
29.w
29.98 29.84
29.86 29.61
30. M
.......
29.91
29.87
......
......
- .os
- .06
.oo
+ .OI
...... ...... ...... ......
SEPTEMBER, 1891. XONTHLY WEATHER REVIEW. 231
Table of miecellancous meteorological data for September, 1891- Weather Bureau okematim.
-~
Pressure, in 1 Temperature of the uir, in degrees inches. Fahrenheit.
2i ,"
Districts and uta- $$ ,* tions. -0
.- u- 3; .G
-
8m England. Eaotport .......... 53 15
Green Mountain.. .......... Portland .......... gg Munchester zf ....... 147 . I t . Killington ............. I t . Wnshington ... 6,279 21
Nurthtield.. ....... Boston ............ Nantucket ........ 14 5
Wood3 Hall....... 22 14 Vineyard Kaven.. ....... 5
Block lslund ...... 27
.. Nnrragnnsett Pier., 22 IC
New Kuven ........ rq rg New London ...... 47 21
wd. Allaniu Slnlcs.
185 21
Barrishurg ......... 377 4 Philudelphia ....... 117 21
AtlnnticCity ....... 53 18
New Hrunswick ............ Baltimore ........ 179 21
Washin-ton. D. C . I I Z 11
Lynchburgh ...... 685 21
Norfolk ........... 43 21
E. Atlantic states. 1 Charlotte... ....... I Batteras .......... 1 7?: Kitty Huwk ....... g 16
Raleigh .... .......I 393 5 Bouthport ......... 1 34 16
Charleston ........ Columhiu
Albnn ...... ......, 85 IS Newjork, N. Y ...
Cape Hznrlry ............. 18
Wilinington ....... 78 21
........... 209 20
87 11
...... 43 20
Roridn PeniRx1da.
Jupiter ...... Key West Micco ........... ........ l'nmpa ............ 36 ... Titusrille ......... 1 44 5
%tern ffdfAqtatm. ' Atlunta ........... 1 .. 131 13 Pensncolu ......... 50 12
Auhnrn IO
Mobile.. .......... Montgomery ...... 217 20
Meridinn .......... 358 ... Vicksbnrg. ....... University 5
HewOrleans ...... Port Elids
Shreveport ........ 2491 21
Fort Smith.. ...... 1 4921 IO
Little Rock, ....... 1 309 13
CorpiisChristi .... 1 201 5 Gdveston ......... 1 441 21
Palestine .......... 511 IO
Sun Antonio ....... , 705 13
Brownsrille ....... 57 16 Rio Grnnde City .../ 171 14
Uhattmnogu I3
Rnoxrille ......... 9'30 21
Meniphis .......... 1 330 21
Nushvi 11 e 553 21
1,exingtnn.. ...... .I .. .... 7 Louisville ......... 20
Indinnupolis ...... i 700 21
Cineinnuti ........
Pittshiirq ......... 847 21
Parker.shnr,gh ..... 1 638 4
Loiaer Lnke Reginn.
~
BofEilo ............ oyo 21
Osweno ............ ' 335 21
Rochester ......... 1 523 20
Erie. .............. Clevelund ......... Snndnsky 1 :st i? .... ....., bzg 15
Toledo ............
~
674 21
Detroit ............ 724 21
Upper. Lake Region.
~
Alpenn ............ 609 20
Escunnhu.. ...... ..I.. .... 21
Grnnd Haven. .... 1 628; Z I
Mnnistee .......... 615 4 Murqiiette ......... I 734 21
Snult de Ste.Marie.1 642 4 Chicago ........... 824 ZI
Milwirikee ........ 1 673 21
Qreen Bay ......... 617 6
Rin Qmnde Vnlley.
Ohio Val. & Tenn.
....... ' 7'33
.........
' 55!
.........
........ Port Eiiron 639 18
81
28 nw.
~
.;;. .;;.. 20 w.
....
~
.....
:; I ",.
99 ow.
48 ne. 41 1 n.
s e .
22 ' sw.
.........
.?.I .....
~ ~~~
I
44 24 52; 23
.............
20 30 391 17
54 15 60 17 54 * 60 16
5? 9 61 23
36 ' 5 49l 33
50 g bo! 20
5b 9 61 20
I 64.8+ 1.1)
58.44- 3.2 7f
62.8'+ 5.1 85
04.5 ...... 8F
44.0 ! ...... 51 bo.6 ..... 8:
66.714 4.6 gc 65.4 ...... 7;
05.8 ...... 8(
07.9 ...... 8(
...............
...............
......
......
51 I 8:
.......... 56 i 8:
55 ' 7;
.....
......
...
...... ...... 1 se.
4,008! nw. 3,012 8 .
...... ne.
1,948 se. 4,195 ne.
.....
......
...
...... ...... 1 se.
4,008! nw. 3,012 8 .
...... ne.
1,948 se. 4,195 ne.
ag.88 30.14 ......
23.95 30.12 ...... 29.21 30.13 ...... 30.01 30.15f .&
.................
30.14 30. I5 ...... ................. ................. 30.13 30. I D + .Os
30.02 .....I ..... : ......I 30.13f :o+
30.09 30.14 00;
.....
.. ...'..... 39 ! 8: 3 :; 8.
5s I 7'
59
~
8:
....................... 8 17 6.9/4&6' 188135.2
Ib 7 5.4bo.6 199151.6 6 6 3.d66.7 189159.3
g 4 3.6165.4 is91 60.5 8 7 4.765.8 189160.0
4 9....'67.g 189161.1
I2 6 4.7~Ob.81 188160.8
10
141
..... 1 .....
59
~
8;
b2 Sc
8 .
se. n.
n r .
w.
11.
8W. .....
nw.
e . nw.
ne. n. ne. lie. s e . ne. ne.
ne. ne.
ne. ne.
.....
.....
W.
23
30 28
24 16
28
24 IS
I4
18
42
44
24
29 24
36
...
I ..
21
,..
25 26
18 76
18 77
79 26 so
18 75
26 79
1s 79 I8 so
5 79 I9 92
191 61
59 7c
61 77 63 %
....
2 .... 62
62 68
65
65
65 70 b6
70
66
69 70
75 74
72
73
....
....
51
69
.... 69
64
69 72
65 61 62
72 71 62
62
2
....
72
07
62
60
63
58
$ 5 t
5Y
55
59 59
55
55 56
57 57 50
50
55
55
54
54
53 55
51
55
...
.... 81
R!
sc 81
77 81
77 82
se
83 96
8a
86
8j
9s
77
86
....
....
....
85
73 SO
S3
71 74 74
82
so
....
....
7s 71
73 so
77 71 46
$7 72
79 75
74 io 68
63
C*4
74 66
;:
72
75 74 74 07
70 72
54
7? 70 75
66
70 70
76
....
51
..I 91 13' SI ... ... I ..... I .... I ..... 5.46+ 1.0' 5
3.12 - 0.91 5
3.131- 1.71 c
1.69-2.2, g
3,3691 ne. 7 3 2 0 ~' n.
8,734; ne. 1,927; ne.
5,450' ne.
4,1271 ne. I ne.
4,3951 1 1 ~
S ,R ~S / ne.
6,9591 ne.
5,251' e.
5,810' ne.
...... I e.
s,449! n.
.,OSZ/ ne.
3, IPS: e . 3,909; 11.
5,6731 ne.
I
....... 11.
... ..., ne.
29.35 30 I T + .06
30. 3c: .og 30.12 30.13 ...... 19.75 30.1b ...... 30.08 30.11 ...... 30.06 30.14
30.41 30.12f :z
19.94 30.161+ .& 3O.W 30 13I-k .07
30.051 3O.10(+ .q
................
0.76'- 2.7i 5 4.04'- 2.11 10 I881 70.9 1881 70. o
1881 70. I
1881 7a.6 1891 71.6
1881/71.6 1881176. I
I%I 73.0
I
6.06' 0.01 11
4.94' 6
...... ..... 20
...... 4.05:- 1 .1 ' I 2
u.3;! .....I 3
3.43' 1 .5 i r z
4.35~-0:0i 5
2.15'- 1.0 s
0.35'- 3.71 4
0.85' ...... 1 4
4.0Ily .... 1 6
3.04 1 2
0.87'- 2.3; 6
0.57- 2.61 I .
4.05 ...... 7.01- 0.11 12
1.53- 1.9' 6
5.251- 0.6
3 .h - 0 .6 ~ I1
IJ.59- 2.8 1
1.25'- 2.7' 4
1.261 ...... 4
1.99:-1.0 6
0.74'- 2 .2 , 4
2.651+ 0.3' 7
1.05'-1.81 6
1.90- 0.7 7
,l:i+l.i:i 6
1.79-1.68 g
1.41- 1.0 s 2.s~- 1.3' 11
1.1'1- 2:o' 6
1.2s-1.61 7
2.01'- I 8' 5
.... 79.0 ......
................. 30.04' 30.0~1+ .os
29.57 30. IO^+ .05
29.74 30.12
2 9 .~0 ' 30.05(+':0;
30.02 30.03 + . 30.06~. ..... ~. .....
29.82 30 07'+ .o;,
29.75, 30. IO'+ .04
30.011 30.05'+ .os
29.52 SO.&'+ .01
29,321 30.0S1+ .u4
.................
29.60! 30: IO1+ .os'
30.001 30.021.. ....
' I
.......
19.44 30.101+ .og
........... I ...... I
29.44 30.10)+ .07'
zg. 22 30. ool+ .OI
19.47 30.1h1+ . 12
zg. 37 30.0&. ..... 29.25 30.111+ .q/ z9.36 30. IO + .& ag.421 30.09.. .... I
29.44 30 .Oq'...... 1
........ e . e .
ne.
n.
98.
.....
W. uw. s e .
ne. ne.
se. nw.
e. ne. e . ne.
....
nw.
S.
11'2.
s e .
0.
I888 1882
1880
I880 I888 1878
I880
#
#
.....
.....
:%
::2
1889 1875
1879
72.3!+ 1.1 90 77,O'- 0.5 89
72.7 ...... 92 76.61- 0.3 gr
76.0f.o.5 94 73.61 ...... 93 70.6+ 0.9 94 74.7 ...... 97
79.1 ...... 88
76.0+ 0.6
77.9- 0.3 90
75.61- 0.8 91
73.5'+ 1.1 94
74.s1+ 1.1.93
7s.n 90
75."1+ 0.2 92
..... 7 s .L 0.4 87
7S.b~+ 1.9 96 80.21- 0.6,
1854 70.5
188468.8
1887 75.9 188476.9 188471.9
1877173.6
18s4'69.8
25 ne. IO nw.
26 IIW. -- 23 I W.
2 1 1 SW.
26 ' w.
26 1 s . 38 I sw.
1 8 , w.
1883
1883'
1883 1879 1871
;%
#
8.
w .
nw.
ow.
3W.
SW.
W.
8 .
W.
T.W.
sw.
W.
S W .
....
27 19
3:
36
35
40
42
41 36
40
;:
24 71
2 0 72
19 74
24 71
14 72
' 5 75
24 69 14 76 16 76
77 *
59.2 ...... 87
66.0 ......
45 41 531 35 55
401 51 55, 41 ' 53
!232 MONTELY WEATHER REVlEW. SEPTEXIBEB, 1891.
_____ __ __
Table of ~~~iucellancoua meteorological datu for September. 1891- Wetcthcr Biweau ob~e~atiorts-Coiltilrued.
451 4
44 30
51 4
52 30 60 30
59 31
04 27
62 33
3s 41 56
44 41 60
40 291 01
42
29 27
__-__ .-
Pressure, in 1 Temperature of t h e air, In degrees inches. , Falirenhei t. Iumidi ty mid precipitatior Wind.
~-
:s i
:L:
-+.: i- 1
go:
:z i
.I
:1' ir -7
-~
51
45
4:
42
....
....
53
53
5.2
55
55
5? 50
62
54 56
57
58
....
56
....
55
50
55
43
49 50
40
41 34
41
35
44
51
35
37
37 50
54
57
61
....
62
59 44
44 41
51
43
39 28
37 44
37
35
34 40
55
51
49
52
51
49
52
47 50
53
....
....
....
44
57 62
~
-c -
:. z a -in tL *C c ;
ts'& :3 3.501+ I . I 1:
0.87;- 0.3 2 .4 3 1 - o.I
0.6bI- 0 .2 a 1.08- 2.6 - ......
0.49- 3.2, 4 0.29- 2.3' I
1.38-2.1, 2
0.46 ...... 3
0.3b ...... 4
1.29 ...... 4
0.57 - 3.0 5
h :Y -1 .9 I - 1.8
1.w ......
0.40- 1.0
0.70 ...... 1 6 0.91 ......I
Districts and sta-
tions. -
m : a,( -5
s ;
35
54
41
40 36
... 37
29 27 34 34
24
25
28
45
36
20
22
25
24
26
4s
03 48
..
..
$
2 36 38 37
4s 3h
42
30
30
4.5
2s
35
38
46
36
30
3 35 49
42
33
3s 42
24
36 24
72
'9
49
...
12
... 22
21
35 32 33 29
26
24
...
20
~
~
d .- - v u
a .-
W.
s w He.
se. n.
.... nw ee.
nw
nw
w.
W.
I1 w
11.
U' . s w .
3.
8.
3.
S.
s.
8.
n.
....
....
nw
se.
se.
ne. w .
SW.
n\v,
nw.
3.
s w .
n.
n.
e .
R.
R.
8 .
11.
3.
S\P.
ne.
ne. nu'.
nw.
sw.
.... sw. s w . s w .
s.
IIW.
S W .
sw.
se.
.... sw.
SW.
e.
.... 3.
sw.
11.
11w.
W.
nw.
....
nw. nw.
9.
~
Up.Lnke Rq.-con.l OuluLh ............ 6561 21
gztro~rs N~thur.%l. Moorhead ......... 935 11
Saiiit Vincent ..... 804 12
Bismarck ......... 1.698 17
F o r t Buford. ...... 1.899 13
Oppm Miss. Vnucy. Minnenpolis ............... Red Win ......... 758 ...
La Crosse ......... 720 19 Daven o r t ......... 613 20
D e n d i n e s ....... 869 14 Dnbuque .......... 651 19
Keokuk ........... 613 21
1
Saint PA ......... 850 21
........ 359 21
....... 571 21
Columbia.. .................. Kansas City ....... I 563 4 Springfield, Mo.... 1,356 5
Leavenworth ..... 842 21
Topeka. ................. 5
Omaha ............ 1,113 21
Crete .................... 5
Valentine ......... 2,613 7 Sioux City ......... I, 158 ... P i e r r e .. .......... I, 470.. . Euron ............. 1,310 11
Yanktonc .......... 1,232 19
F o r t Assiniboine.. a,6go 12
Custer Stationt.. .. 2,733 ... Helena ............ 4,116 12
Rapidcity ........ 3,260 6
Cheyenne ......... 6 105 21
F o r t McKinneyt.. 5:m 4
North P l a t t e ...... 2,841 17 Lander ............ 5,377 ...
Denver ............ 5,287 20
Pueblo ............ 4,734 4
Concordia ......... 1,410 7
Dod e City ........ 2,523 17 Wicfita ........... 1,366 4
Oklahoma City .... I, 139. ..
W t h r r n Sloua.
Missouri Valley.
NMlhmn slopL%
m a i s slope.
3,827 nw.
6,790 nw,
6.931 nw.
5,400 nw.
6,685 se.
4.870 SL.
3.s77 9.
4,912 SW.
5,766 11.
3,383 JW.
3,712 nw.
$055 8.
0,107 sw.
3,816 sw.
5,812 *e.
4,233 se.
8,5701 8.
...... 9.
2,947 J.
4*2osl 3.
...... 3.
5,823 3.
...... 9.
8,405 3.
9 -d 3.
6,951, ye.
12, 127' se.
7,685 S.
7,856 sw. 4.376 e.
+900 SW.
61212 nw.
6,649 11.
7,052 se.
3.577 9.
0.375 SW.
4,738; sw.
t::q ;.w.
ro,433 9.
6,221 s.
5,514 *e .
..... ..... 1873- 1873 1879 1863.
'73
1-
1879
I879
............
29.46 30.11 29.77 30.15 + .IO
29.45 30.13-k e 0 7 29.54 30.14+ .Og
,.....I ............ 2 g .q 30.09 ...... 28.71 30.11 ...... 29.22 30.10,+ .06
28.91 30.081+ .05 ..................
............ j ...... 27.30 29.971 ...... 26. 80 JO. 021.. .... 28.37 29.901.. .... 28.50 29.94 .06
27.10 29.911.. .. ../ 25.61 29.96- .031
26.61 29.911 ......
25.69 29.98- .oo
27.13 29.921- .04
...
....
......
.iI 8
I2
10
10
IO
I1
I2
I2
9
...... 71.6 ......
68.0 ...... 68.4 ...... IOI
.... .... ..... .... .....
.....
......
0.87'- 0.7
0.73- 0.11 12
...... 5.43 ......
0.2$-1.1' 7
- 0.21 0
+.69i+ 3.31 13
1.24+ 0.6. 0.88 ...... 1 4
O.gl+
O .I J + 0.2 4
0.62 0 ' 5 ' I ......
1.45 ...... 6
0.10:- 0 .2
0.77!+ 0.6;
0.5,: ... ...' 2
0.07 0.0' 0.27 ...... o.oh 0.4 0.0s 0.0 2
..................
' I
...... 24.06 29.97 ...... ...... 66
26.22 29.92!- .05 3.6' 96
29.71 29.85+ .q 83.4- 0.8110 26.27 29.53 ......
23.41 30.oj'+ .Oj 2.1 82
.....
...... 56.8
......
...... I104
3.3 100
F o r t Sill ........... Abilene ............ FortStanton ...... ,Youthern Plntsnu.
F o r t Sill ........... A Fort Stanton 6,152 8 ,Youthern Plntsn;.'*l 1 El Pnso ........... Snntn FB ........... Yuma .............
4,5$5 se.
5, 1c.o se. 4 ,z s w.
6,a;rS s.
6,504 s w .
2,0+s nw. &boo se.
..........
4,072 8 .
~~
Keeler.. .......... Mise Platenu. I 3 ~~' ~'
Carson City ............. 1 4 Winnemucca ......
Montrose ..........
.... .....
I 28 91 31 IS 6.760.0
28 61 4 20 7.0160.6
12
7; 5 18 6.6155.6
z 6 6 IS 7.156.4
18 61 12 IO 5.515h.o
!91 81 14, 6 5.066.31
.. e8: me17 ......
.. 81 7 15 .... 65.4
........ Fort Cnnby 179! 9 Nenh Bnv ..... I .... .... I... .
1883 55.3
......... 1888.54.5
186851.0
188851.2
18d56.9 1686!55.7 16SSi3.7
Olymfi. .......... 36 15
Tatoosh Island .... 1 86 141 ,7 8
Port ngeles ......
2,4361 S .
1,6701 s .
8,735 e.
2,zgs 11.
..... sw.
3,542 3.
Astoria 7 Portland .......... 60 20
Roseburgh ........ Mi, &. Coast Reg.
Eureka ........... 64 5
Red Bluff. ........ 342 14 Sacramento ....... 64 15
San Francisco ..... 19 2 1
Point Reyes Light, ...... S P ~~.W R -. 1 .' ' '
Fresno ............ 338 5
Lo8 Angeles ....... 330 15 San Diego ......... 031 20
I
3,3041 nw. 5,4011 IIW.
5,0201 RW.
0,8351 W.
..... nw.
4,704 nw.
2,532 w. 3.3y w.
n c o i n p u t i n r r h n d 1 4 (r
1) tn be conuidrrrd in
t Rvernyes
dpartures. Letters of t h e alphabet deuote number,ofdays missing from therecord.
.C.
|
en
|
converted_docs
|
518845
|
\* \* \* \* \* \* \* \*
READ AND **REMOVE THIS PAGE** BEFORE PLACING
THE SPECIFICATION SECTION IN THE CONTRACT
\* \* \* \* \* \* \* \*
[DIVISION 12: FURNISHINGS]{.underline}
SECTION 12511 ‑ HORIZONTAL LOUVER BLINDS
USE: Furnishing and installing \"venetian\" blinds and operating
hardware at windows.
**NOTES TO SPECIFIER:**
A. Options within paragraphs are identified by enclosure in brackets;
blank spaces enclosed by brackets \[\_\_\_\_\_\] provide for information
to be inserted, as appropriate, to individual projects.
B. **TO AVOID CONFLICTING REQUIREMENTS AND COSTLY MISTAKES,** the
specifier must edit (delete, substitute or add to the text). The
remaining paragraphs must be renumbered.
C. DELETE FOR FINAL COPY: Notes to the Specifier, located between lines
of asterisks; all \[brackets\], [underlining]{.underline}, **boldface**,
and *italics*, within the paragraphs; and this page. (Open Reveal Codes
\[alt F3\] to do this accurately.)
D. [To Edit "(Footer B)":]{.underline} (Corel 8). **ENTIRE FOOTER SHOULD
BE BOLDED.** Click in the footer and delete the "Project Name (ftr B)"
text and replace it with the **Name of the Project (upper and lower
case)**. Replace date with current MM/YY (WITHOUT BRACKETS).
E. The Guide Specifications are intended to be continuously reviewed and
revised. User's technical comments are appreciated. Also, other related
or similar specification that are written "from scratch" that could
benefit others, or other questions can be sent to NSTC A/E Group, ST
110, or call (303) 987-6868.
**DRAWING DATA REQUIRED:**
**REQUIRED SPEC MODIFICATIONS:**
[GENERAL NOTES]{.underline}
A. Whenever entire articles, paragraphs or subparagraphs are not
applicable, the articles, paragraphs or subparagraphs should be deleted;
when necessary, reletter or renumber articles, paragraphs or
subparagraphs.
B. See sample Work Data Sheet format enclosed with this Outline Guide
for developing the sheet to be included in the Contract. Work data
Sheets should not include items shown in the Bid Schedule, except those
developed for Contracts involving more than one project. The Work Data
Sheet is placed in the Invitation for Bids immediately preceding the
drawings.
C. THIS GUIDE IS NOT INTENDED AS A SUBSTITUTE FOR READING THE ENTIRE
SECTION.
[TECHNICAL NOTES]{.underline}
A. 1.01B: Select or add applicable specification sections. Do not list
specification sections from Division 12.
B. 1.02A: Select applicable words.
C. 1.03A; Select applicable phrase.
D. 1.03B: Insert number of copies of manufacturer\'s descriptive
literature required. Normally 5 copies are required. Distribution after
review is normally 1 copy to the COR, 3 copies to the Contractor, and 1
copy to the project file.
E. 1.03C: Insert number of copies of the manufacturer\'s installation
instructions required. Normally 5 copies are required. Distribution
after review is normally 1 copy to the COR, 3 copies to the Contractor,
and 1 copy to the project file.
F. 1.03D: Insert number of copies of shop drawings required. Normally 5
copies are required. Distribution after review is normally 1 copy to the
COR, 3 copies to the Contractor, and 1 copy to the project file.
G. 1.03E: Insert number of samples required. Normally 2 samples are
required. Distribution after review is normally 1 sample to the COR, and
1 sample to the Contractor.
H. 1.04A: Insert number of years required.
I. 1.05A: Insert number of slats required.
J. 1.05B: Insert number of assemblies required.
K. 2.01J: Select applicable cord lock and tilter operation location.
L. 2.01M: Select applicable words.
M. 4.01 and 4.02: When a \"lump sum\" Contract is used, delete the title
PART 4: MEASUREMENT AND PAYMENT, and both articles from specification
section. Measurement and payment will be addressed in Part 4 of Section
01010.
**REVISIONS OF THIS SECTION:**
CSI format, editorial changes: 11/01
Metric:
Technical Update: 06/92
SECTION 12511
HORIZONTAL LOUVER BLINDS
[PART 1: GENERAL]{.underline}
1.1 SUMMARY:
A. Section Includes: Furnishing and installing horizontal venetian
blinds and operating hardware.
1.2 SYSTEM DESCRIPTION:
A. Performance Requirements: Horizontal metal slat louver blinds
installed at window openings, manual control of raising and lowering by
\[cord;\] \[blade angle adjustable by \[cord.\] \[control wand.\]
1.3 SUBMITTALS:
A. General: Submittals shall be according to \[Section 01009 - General
Information and Requirements.\] \[and\] \[Section 01300 - Submittals.\]
\[and\] \[SEction 01365 - Certificates of Conformance.\]
B. Manufacturer\'s Literature: Submit \[[ ]{.underline}\] copies of the
manufacturer\'s descriptive data for the horizontal louver blinds to be
used on this project.
C. Installation Instructions: Submit \[[ ]{.underline}\] copies of the
manufacturer\'s installation instructions for the horizontal louver
blinds.
D. Shop Drawings: Submit \[[ ]{.underline}\] copies of shop drawings for
the horizontal louver blinds to be used on this project. Shop drawings
shall indicate the following:
1\. ab Field‑measured dimensions of openings scheduled to receive
blinds.
2\. ab Illustrations of special accessory components not included in
manufacturer\'s product data.
3\. Details of head and sill conditions, corner conditions, and
conditions between adjacent blind units.
4\. A numbering plan for identification of each blind with the proper
installation location.
E. Samples: Submit \[[ ]{.underline}\] samples of each \[color\] \[and\]
\[pattern\] \[style\] of the slats to be used on this project. Samples
shall be 6 inches long. Samples shall be actual material in \[Colors
required\] \[the full range of colors required.\]
1.4 QUALITY ASSURANCE:
A. Manufacturer Qualifications: Company specializing in manufacturing
the products specified in this Section with \[[ ]{.underline}\] years
\[documented\] experience.
B. Failure Criteria: Not limited to the following:
1\. Cord breaking.
2\. Cord lock malfunction.
3\. Tilter malfunction.
4\. Mounting brackets loosening.
1.5 MAINTENANCE:
A. Extra Materials: Furnish \[[ ]{.underline}\] additional slats.
B. Furnish \[[ ]{.underline}\] additional complete blind assemblies \[of
each size\].
[PART 2: PRODUCTS]{.underline}
2.01 MATERIALS:
A. Steel Channel Headrail: \"U\" shaped 1 inch high and 1‑1/2 inches
deep channel, fabricated from .025 inch thick sheet steel with rolled
edges at top. Head channel shall have two metal end support braces, 3/4
inch in height with full‑length double ribs for added rigidity.
B. Head Channel Hardware: Metal hardware shall be electroplated with
lift cords and ladders guided by grommets in the head channel which
prevent discoloration. Operating hardware shall be mechanically locked
into head channel. Cord lock and tilter shall be machine riveted to
assure accurate alignment.
C. Enclosed Metal Bottom Rail: Completely enclosed tubular shape, .030
inch thick electro‑galvanized and bonderized steel with prime coat of
chromate epoxy primer and finish coat of polyester baked enamel. Bottom
rail shall be formed after coating with locking groove to receive dust
cover. Thermoplastic protective caps in bottom of rail shall be used to
secure ladder ends and assure window sill protection. Bottom rail
thermoplastic end caps shall have a projecting bottom flange for window
sill protection and hold‑down bracket pins shall be molded in place.
D. Slats: Aluminum 1 inch wide, .010 inch thick before coating. Slats
shall have a precoating treatment to bond polyester baked enamel finish
coating. Total coating thickness shall be 1 mil. After coating,
thickness shall be .011 inch.
E. Ladder Drum and Cradles: Blinds shall have a cradle and ladder drum
for each ladder.
1\. Cradle: .040 inch thick electroplated steel. Cradle shall support
tilting rod, provide a smooth bearing and center ladder drum over ladder
hole. Incorporated with cradle shall be a separate grommet guide lift
cord and ladder through bottom of headrail. Grommet shall have rounded
edges to prevent cord and ladder wear and discoloration.
2\. Ladder Drum: .031 inch thick electroplated steel with a smooth
rolled edge hole each side to attach braided ladders.
F. Low Friction Cord Lock: Cord lock shall have 9/16 inch diameter nylon
main roller in conjunction with a sliding bar‑type locking mechanism.
Locking mechanism shall be free of abrasive locking teeth and offer
minimum wear to cord. Locking mechanism shall be of crash‑proof type and
shall lock automatically upon release of cord.
G. Tilter: A tilter and gear case arrangement shall be used on the wand
tilter. Gear case shall be enclosed type with worm‑and‑gear
construction. Gear shall be factory lubricated, designed for smooth
operation and shall hold slats at any angle and prevent movement of
slats due to vibration.
1\. Wand Tilter: Operated by a length of transparent extruded plastic
rod with a multi‑sided cross section measuring approximately 3/8 inch
across points. Plastic wand shall hang vertically by its own weight and
shall be of a convenient length for easy operation. Plastic wand shall
be easily detachable. Tilter shall be securely riveted to headrail.
H. Braided Slat Supports: Blinds shall have braided ladder which will
assure proper control and adequate overlap of slats.
1\. Material: Polyester yarn. Vertical component shall be not less than
.045 inch diameter nor greater than .066 inch diameter, which will
provide maximum strength and flexibility with minimum stretch.
Horizontal component, or rungs, shall be not less than four threads and
shall be 1‑3/16 inch long. There shall be 15 rungs per foot equally
spaced for proper support.
2\. Metal Clip: Machine clinched to end of each braided ladder to lock
in holes of drum and removable metal clip wire shall join braided
ladders at bottom rail. Distance between end support and end of slats
shall not exceed 6 inches. Distance between braided ladders shall not
exceed 22 inches.
I. Lift Cord: Braided with polyester jackets and rayon center core.
Cords shall be detachable, if required, and shall be of sufficient
length to properly control the raising or lowering of the blind. Lift
shall be equipped with tassel.
J. Cord Lock and Tilter Operation Locations: The cord lock and tilter
operating location when viewed from within the room: shall be located
with the \[Tilter at left, cord lock at right (standard).\] \[Tilter at
right, cord lock at left.\] \[Tilter and cord lock at left.\] \[Tilter
and cord lock at right.\]
K. Installation Brackets: Conventional hinged brackets, .042 inch thick
electrogalvanized and bonderized steel with prime coat of epoxy primer
and finish coat of polyester baked enamel in color to match headrail.
Brackets shall be marked left and right to facilitate installation and
shall have 1‑1/4 inch extrawide top to accommodate power screw driver.
Brackets shall facilitate easy removal of head channel. Optional
headrail pocket support brackets shall be electroplated, and shall
facilitate installation of blind in pocket.
L. Intermediate Support Brackets: Brackets shall be furnished for blinds
over 60 inches wide. Maximum spacing for intermediate support brackets
shall be 48 inches.
M. Size: Lengths and widths shall be as required for installation
\[between the jambs\] \[and mullions\] \[outside the jambs\] \[and
mullions\] \[as shown on the drawings.\]
N. Audio‑Visual Blinds: In addition to requirements for blinds, each
unit shall include light traps at headrail, sides and sill. Light traps
shall be constructed from aluminum or sheet steel, not less than 0.10
inch thick, U‑shaped, with legs not less than 1‑3/4 inches long. Edges
contacting blinds shall be rounded or beaded. Inside surfaces of light
traps shall be finished in a dull black color.
[PART 3: EXECUTION]{.underline}
3.1 EXAMINATION:
A. Verification of Conditions: Verify that surfaces and conditions in
which blinds will be installed are free of conditions interfering with
blind installation.
3.2 INSTALLATION:
A. General: Install blinds upon completion of construction and finish
processes in the rooms receiving blinds.
B. Horizontal Louver Blinds: Install blinds level and at a height to
permit full length operation. Use suitable type and size fasteners for
the application. Isolate metal parts from direct contact with concrete,
mortar, or dissimilar metals. Blinds installed in recessed pockets shall
be removable without disturbing the pocket. The entire blind, when
retracted, shall be contained behind the pocket. For blinds installed
outside the jambs and mullions, overlap each jamb and mullion 3/4 inch
or more when the jamb and mullion sizes permit. Include hardware,
brackets, anchors, fasteners and accessories necessary for a complete
finished installation.
C. Identification: According to the numbering plan, mark each opening
and the corresponding blind with identical numbers. For multiple windows
separated by mullions, the space required by each blind shall be
numbered separately. Use brass or aluminum plates, or stamp
corresponding numbers on unexposed surfaces of openings and the head
box. Fasten plates to the back of head box and sill track.
3.3 FIELD QUALITY CONTROL:
A. Audio‑Visual Blinds Field Test: When closed against full midday
summer sunny conditions, installed audio visual blinds shall be capable
of reducing the natural light level of the space to an average of 0.16
footcandles as measured by a footcandle meter.
3.4 ADJUSTING:
A. Requirements: Adjust clearances and overlaps to permit unencumbered
operation.
3.5 CLEANING:
A. Requirements: Clean soiled blind surfaces and components.
[PART 4: MEASUREMENT AND PAYMENT]{.underline}
4.1 METHOD OF MEASUREMENT:
A. ab Units: The work described in this section will not be measured for
payment.
4.2 BASIS OF PAYMENT:
A. Payment: No direct payment for the work described under this section
will be made. The Contractor shall include consideration for this item
in the bid price for other items of the Contract.
END OF SECTION
|
en
|
markdown
|
155967
|
# Presentation: 155967
## Communicating Evaluation Data
## Workshop Description
- This session will provide an overview of how evaluation questions and data collection can be implemented using a communications for sustainability framework.
- Participants will learn how to use marketing techniques and strategies to promote evaluation data effectively as well as to discover how to use this data to allow for the greatest impact with various target audiences in their communities.
## Session Objectives
- At the end of the session, participants will be able to
- Identify organizations within their community for potential sustainability partnerships
- Understand how to work with their evaluator to collect and disseminate data based on communications needs
- Create meaningful communications using evaluation data that is developed and gathered for specific audiences
## Sustainability Communications Mindset
- Look down the road not only for sustaining SS/HS initiatives but also for creating an environment that integrates the goals and mission of the initiatives into the fabric of your community
- Who needs to be at the table?
- What do we need to say to get them there?
- What data do we need to provide to make the information relevant to a particular audience?
## Who Needs To Be at the Table?
- Organizations with similar priorities as yours
- Think outside of the typical audiences
- Current grant partners
- Other community agencies/organizations
- Civic organizations
- Others?
## Who Needs To Be at the Table?
- Things to think about
- What are the top three priorities of our current partner agencies?
- Where is there natural alignment without money as a motivator?
- Within the community, what other organizations/agencies have priorities/vision/mission that align with one or more initiatives of SS/HS?
- Follow the money
- How does funding funnel into your community?
- How are existing youth initiatives funded?
## What Do We Need To Say to Potential Partners?
- Messages must be relevant to your audience
- Messages must be in a format that is easy for your audience to read and understand
- Messages must be delivered in a timely way by a trusted source
## Questions that you can use to help decide how to present your evaluation data to potential partners
What’s their definition of success?
What are their priorities?
What are they interested in?
What information do they trust?
What level of technical detail do they demand?
What data do you already have?
What data do you need to tell your story?
- What’s their definition of success?
- What are their priorities?
- What are they interested in?
- What information do they trust?
- What level of technical detail do they demand?
- What data do you already have?
- What data do you need to tell your story?
**What Do We Need To Say to Potential Partners?**
## Primary and Secondary Audiences for Communicating Evaluation Data
*Primary Users *are the individuals that you want to use your results; these people are your chief audience and often provide funding or other support
*Secondary Users *are individuals who may be associated with your program or have an interest in what you are doing (e.g., city council, neighborhoods, and service recipients)
## What Information Is Most Relevant to Your Audience’s Priorities?
- Description of
- Programs
- Cost
- Students
- School climate
- Services
- Change in
- Expenditures
- Student referrals
- School climate
- Academic performance
- Consumer satisfaction
## What Information Do They Trust?
- Caregiver-reported data
- Teacher-reported data
- Student-reported data
- Community member-reported data
- Administrator-reported data
- Agency staff-reported data
- Management information system data
##
Once you have completed your evaluation and analysis,
you should have information that provides an accurate
picture of your program as well as information to make
decisions about future program implementation. So, how
do you share your findings? Results can be reported not
only in a text document, but also in
Oral reports and presentations
Videos
Posters
Press releases
Newsletters
Other forms of communication
- Once you have completed your evaluation and analysis,
- you should have information that provides an accurate
- picture of your program as well as information to make
- decisions about future program implementation. So, how
- do you share your findings? Results can be reported not
- only in a text document, but also in
- Oral reports and presentations
- Videos
- Posters
- Press releases
- Newsletters
- Other forms of communication
**What Format Do We Use?**
##
Exercise:
Understanding Your Audience’s
Data Needs
- Exercise:
- Understanding Your Audience’s
- Data Needs
## Understanding Your Audience
- TO USE: Decide if each audience would prefer **quantitative** or hard data (QT); **qualitative**, self-reported, or anecdotal data (QL); or **both** (B). Then, for each audience, enter a **QT, QL, **or **B **in each of the boxes that represent the types of data your target audiences will most want to see.
| Audience Segments
Use space under each segment to specifically identify (e.g., does district leadership include superintendent? School board? Principals?) | Types of Data | | | | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| | Descriptive | | | | | Outcome | | | | | | |
| | Students | Program | Service | Satis-faction | Climate | Student Behavior | Academic Perform. | Service Array | Costs | Satis-faction | School Climate | Academic Indicators |
| District Leadership | | | | | | | | | | | | |
| Law Enforcement | | | | | | | | | | | | |
| Mental Health Providers | | | | | | | | | | | | |
| Policymakers | | | | | | | | | | | | |
| Business Leaders | | | | | | | | | | | | |
| Faith-Based Leaders | | | | | | | | | | | | |
| Community Members | | | | | | | | | | | | |
| Other | | | | | | | | | | | | |
## Inventory Your Data
- What type(s) of data do you have?
- Where did your data come from?
- What is the quality of your data?
- What message does the data convey?
## What Data Do You Need?
- What do you currently have? What are you currently gathering?
- Depending on the status of your program evaluation you can
- Work with your evaluator to ensure that evaluation instruments that will provide you with relevant data for communications goals are developed
- Use existing evaluation data in a way that is relevant to your audience
- Some of both
## Qualitative Data
- Provides answers to open-ended questions
- Derives from notes from observations
- Uses words not numbers
- Is obtained through focus groups and unstructured interviews
- Includes contextual detail about feelings and perceptions in an effort to gain a holistic understanding
- Includes relatively few participants
- Quantitative Data
- Provides answers to close-ended questions
- Uses numbers not words
- Is obtained through structured surveys and interviews, existing records
- Often includes a large number of participants
- Provides less contextual detail
- Is amenable to common statistical procedures
**What Type(s) of Data Do You Have?**
## What Type(s) of Data Do You Have?
- Descriptive Data
- Is cross sectional
- Describes characteristics of people, organizations, or programs at a single point in time
- Outcome Data
- Is longitudinal
- Tracks people, organizations, or programs over time by using the same measures
- Assesses change in people, programs, or organizations
- Has an established baseline
##
Exercise:
Do You Have What You Need?
Data Inventory Worksheet
- Exercise:
- Do You Have What You Need?
- Data Inventory Worksheet
## Data Inventory Worksheet
- TO USE: Check off the boxes that best represent the types of data you currently are collecting. Note where you might need to collect additional data, based on your findings from the Audience Data Preferences Worksheet. Discuss with your evaluator how you might fill in those gaps.
| Data Source | Type and Quality of Data | | | | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| | Qualitative Descriptive | | | Qualitative Outcome | | | Quantitative Descriptive | | | Quantitative Outcome | | |
| | Good | Fair | Poor | Good | Fair | Poor | Good | Fair | Poor | Good | Fair | Poor |
| Agencies | | | | | | | | | | | | |
| Parents | | | | | | | | | | | | |
| Students | | | | | | | | | | | | |
| Teachers | | | | | | | | | | | | |
| Systems Generated | | | | | | | | | | | | |
| Community Members | | | | | | | | | | | | |
| Academic Indicators | | | | | | | | | | | | |
| External Comparison | | | | | | | | | | | | |
| Other_____________ | | | | | | | | | | | | |
## So Far We’ve -
- Identified potential partners/audiences
- Analyzed the type of data and information that is relevant to them
- Determined the data that you currently have and/or are collecting and identified where there are data needs
- So how do we take all of this information and put pen to paper?
## Planning Your Project: Things To Decide Before Anyone Writes a Single Word
- Who is going to read this?
- What do they have in common?
- When they’re done reading, what do you want this audience to do or know?
- What materials do you have to work from? (See Data Inventory Worksheet)
## Planning Your Project: Things To Decide Before Anyone Writes a Single Word
- What kind of research and/or interviews are necessary? (See Audience Worksheet)
- Will this piece be printed only, or will it be posted on the Web?
- Do you need to design the piece, or must you fit the text into one that’s already designed?
- What “extras” do we need, such as sidebars, charts, or photos?
## Planning Your Project: Things To Decide Before Anyone Writes a Single Word
- Internal factors
- Who will have input, and who has the final say?
- If a lot of people will have input, who will coordinate their comments and resolve any disputes?
- Does everyone agree on the number of drafts allowed and when the draft will become final, with no more changes?
- What resources are available to help you complete this project?
## Planning Your Project: Things To Decide Before Anyone Writes a Single Word
- Internal factors
- Do you have someone who can put in the time necessary for organizing, researching, thinking, drafting, re-writing, and polishing over the life of the project?
- What is the budget for this project?
- How will your materials be distributed?
## What Information Should Be Included When Sharing Evaluation Data?
- State your program objectives
- This is important because, eventually, you will discuss how your evaluation data contributes to your stated objective.
## What Information Should Be Included When Sharing Evaluation Data?
- Describe progress toward achieving your objectives
- Describe your activities as they relate to your objectives
- Identify your beneficiaries—the number and characteristics of people you serve
- Describe your desired results—talk about the indicators of success that you have chosen. These are the factors that are most important to your program
## What Information Should Be Included When Sharing Evaluation Data?
- Describe your evaluation activities
- Identify the types of instruments you used
- Report on the information you collected
- Detail who administered your instruments, how they were administered (e.g., by mail, in person, or by telephone), and who, as well as how many people, completed them
- Note how you measured your desired result
- Discuss any problems encountered during the evaluation
## What Information Should Be Included When Sharing Evaluation Data?
- Describe the results of your evaluation
**This is the most important section!**
- Report your findings—statistics and qualitative information
- Employ graphs, charts, and tables to help convey your message
- Share stories from people who are directly involved in your program and/or your evaluation
## What Information Should Be Included When Sharing Evaluation Data?
- Compare the results of your evaluation with your objectives
- Describe how your services addressed the existing need. You can relate the need to baseline data if you have it
- Refer to previous evaluation findings (such as those reported in earlier reports) to provide a more detailed picture of the program progress
## What Information Should Be Included When Sharing Evaluation Data?
- State ideas for partner support and ask for commitment
**This is your “ask”**
- What do you want the audience to do?
- Show them a clear path to doing it
- Incorporate message development work to ensure success
## Pulling It All Together
**Harrisburg, Pennsylvania **
**Student Survey Data**
- Goal: To create meaningful communications using evaluation data that is developed and gathered for specific audiences
## Harrisburg, PA Student Survey Data
- Purpose
- Evaluate prevention programs at the secondary level
- Life Skills Training
- TimeWise
- HealthWise
- School Transitional Environment Project (STEP)
- Teen Outreach Program
- Establish a monitoring system for social, emotional, and behavioral outcomes
## Harrisburg, PA Student Survey Data
- Methods
- Conducted annually (beginning in October 2003)
- All students in 6th–12th grade
- Paper/pencil administration during a required class
- 77 percent response rate
## Harrisburg, PA Student Survey Data
- Communications Goals
- Give the data back to students before the 2004 survey administration
- Integrate data into agency accountability systems
- Drive program decisions during grant period
## Harrisburg, PA Student Survey Data
- Target audience: Project director
- Communications goal
- Drive program decisions during grant period
- Messaging
- Straightforward report of all data
- Not bad vs. good, but pointing how to improve quality
- Channel
- Bound report
## Harrisburg, PA Student Survey Data
- Target audience: Students
- Communications goal
- Give data back to students before the 2004 survey to increase participation
- Message
- Show students that survey data is used and relevant
- Channels
- Student newsletter
- Article from student perspective in school newspaper
## Harrisburg, PA Student Survey Data
- Target audience: Steering committee
- Communications goal
- Drive program decisions during grant period
- Messaging
- How do our students compare to national and State averages?
- These students are all our responsibility, how can we collaborate to provide the best mix of programs given these data?
- Channel
- PowerPoint presentation
## Harrisburg, PA Student Survey Data
- Target audience: Superintendent
- Communications goal
- Integrate data into agency accountability systems
- Messaging
- The climate of schools is important; we care about the whole student (socially, emotionally, behaviorally, and academically)
- Channel
- Talking points in PowerPoint of survey highlights for Superintendent’s annual “state of the union”
## Other Audiences
- How would you use this same data for other audiences?
- Businesses?
- Community organizations?
- Parents?
- Others?
- What different information might you need for these audiences?
##
Questions?
- Questions?
|
en
|
all-txt-docs
|
111432
|
Injected Beam Statistics for Fill number 6457
Injection start time: Sun Mar 13 17:05:28 2005
Injection complete time: Sun Mar 13 17:08:52 2005
Ring Bunches/Cycles Avg Bunch in RHIC (10^6 ions) Avg Efficiency - XCBM to RHIC Bunching Eff XCBM to Uxf1 Uxf1 to Wxf Wxf to Arc Arc to RHIC
Blue 42/11 3479 1.036 NA 1.057 1.000 0.996 0.984
Yellow 43/12 3345 1.028 NA 1.053 0.999 0.984 0.992
Time BST_IN B_EARLY B_LATE AGS_other AGS_CBM XCBM Eff1* bunches uxf1 Eff2* uxf3 wxf1 Eff3* xxf1 bluEff4* bluChg bluEff5* bluEffTotal bluOld bluNew yxf1 yelEff4* yelChg yelEff5* yelEffTotal yelOld yelNew
03/13/2005 17:05:28 3919 23720 19010 20540 13100 13280 -0.547 4 13976 1.052 - 13990 1.001 13945 0.997 13722 0.984 1.033 1 13723 12 - 0 - - -1 -1
03/13/2005 17:05:32 3984 23670 18920 20540 13040 13210 -0.555 4 13930 1.055 14020 13922 0.999 13871 0.996 13639 0.983 1.032 13722 27361 -16 - 1 - - -1 -1
03/13/2005 17:05:36 3897 23750 18460 20540 13220 13410 -0.532 4 14109 1.052 14190 14122 1.001 14068 0.996 13852 0.985 1.033 27359 41212 -49 - 2 - - -2 0
03/13/2005 17:05:44 3975 24260 19630 20540 14350 14080 -0.459 4 14878 1.057 - 14882 1.000 14855 0.998 14638 0.985 1.040 41211 55849 7 - 0 - - 0 0
03/13/2005 17:05:48 3975 24460 18720 20540 12900 13080 -0.570 4 13752 1.051 13973 13764 1.001 13710 0.996 13467 0.982 1.030 55848 69315 -10 - 1 - - -1 0
03/13/2005 17:06:00 3969 23930 18780 20540 12840 13060 -0.573 4 13900 1.064 - 13912 1.001 13851 0.996 13621 0.983 1.043 69308 82929 -16 - -0 - - 0 -0
03/13/2005 17:06:08 4006 24180 19740 20540 14230 14140 -0.453 4 14907 1.054 - 14920 1.001 14877 0.997 14667 0.986 1.037 82924 97591 4 - 2 - - 0 2
03/13/2005 17:06:16 4030 24280 19390 20540 13080 13270 -0.548 4 14063 1.060 - 14050 0.999 14002 0.997 13760 0.983 1.037 97584 111344 -33 - 1 - - 1 2
03/13/2005 17:06:44 3972 24560 19430 20540 13710 13580 -0.513 4 14244 1.049 - 14244 1.000 14185 0.996 13963 0.984 1.028 111319 125283 -31 - 0 - - 1 2
03/13/2005 17:06:48 3961 24340 19160 20540 13430 13360 -0.537 4 14199 1.063 14345 14180 0.999 14135 0.997 13887 0.982 1.039 125281 139168 -9 - 0 - - 2 2
03/13/2005 17:07:04 3943 23830 18580 20540 13610 13020 -1.155 2 7073 1.086 - 7055 0.997 7010 0.994 6900 0.984 1.060 139157 146057 3 - 1 - - 1 2
03/13/2005 17:07:24 3912 23330 18440 20540 13110 12900 -0.592 4 13719 1.063 - 13732 1.001 -78 - 0 - - 146040 146040 13545 0.986 13456 0.993 1.043 2 13459
03/13/2005 17:07:36 3894 23660 18760 20540 13520 13060 -0.573 4 13957 1.069 - 13928 0.998 -50 - -0 - - 146024 146023 13715 0.985 13644 0.995 1.045 13455 27099
03/13/2005 17:07:44 3923 24450 18980 20540 13570 13290 -0.546 4 14167 1.066 - 14141 0.998 -48 - -1 - - 146013 146011 13938 0.986 13858 0.994 1.043 27097 40955
03/13/2005 17:07:52 3957 24170 19010 20540 12710 13140 -0.563 4 14019 1.067 - 14007 0.999 -65 - -1 - - 146004 146004 13740 0.981 13719 0.998 1.044 40950 54670
03/13/2005 17:07:56 3899 23820 18650 20540 12690 12890 -0.593 4 13742 1.066 13834 13733 0.999 -57 - -1 - - 146000 145999 13474 0.981 13443 0.998 1.043 54669 68112
03/13/2005 17:08:04 3888 23270 18470 20540 12910 12680 -0.620 4 13657 1.077 - 13661 1.000 -73 - -1 - - 145985 145984 13443 0.984 13358 0.994 1.053 68106 81464
03/13/2005 17:08:08 3936 22920 18310 20540 13360 13200 -0.556 4 13994 1.060 14174 13967 0.998 -48 - -1 - - 145980 145979 13733 0.983 13687 0.997 1.037 81461 95147
03/13/2005 17:08:16 3926 24260 18910 20540 12820 13020 -0.578 4 13929 1.070 - 13900 0.998 -66 - -2 - - 145968 145965 13697 0.985 13606 0.993 1.045 95139 108745
03/13/2005 17:08:32 3828 23000 17890 20540 12780 12710 -0.616 4 13762 1.083 - 13748 0.999 -34 - -1 - - 145945 145944 13520 0.983 13434 0.994 1.057 108727 122162
03/13/2005 17:08:40 3936 23520 18650 20540 12990 12880 -0.595 4 13706 1.064 - 13700 1.000 -59 - -29 - - 144328 144298 13529 0.987 13343 0.986 1.036 121599 134943
03/13/2005 17:08:44 3991 24610 19730 20540 13510 13870 -0.962 2 7390 1.066 7493 7363 0.996 -31 - -4 - - 144291 144286 7242 0.984 7208 0.995 1.039 134940 142148
03/13/2005 17:08:52 3423 19820 16270 20540 11760 12250 -2.707 1 1190 0.388 - 1178 0.990 -19 - -4 - - 144207 144203 1171 0.994 1057 0.902 0.345 142108 143164
* Eff1=AGS bunching efficiency,Eff2=XCBM to uxf1, Eff3=uxf1 to wxf, Eff4=wxf to end of arc,Eff5=end of arc to RHIC
|
en
|
log-files
|
654491
|
! Started logfile: 0537-441_X.log on Mon Oct 25 17:53:58 2004
observe 0537-441_X.edt
! Reading UV FITS file: 0537-441_X.edt
! AN table 1: 30 integrations on 153 of 153 possible baselines.
! Apparent sampling: 0.0324619 visibilities/baseline/integration-bin.
! *** This seems a bit low - see "help observe" on the binwid argument.
! Found source: 0537-441
! Warning: Unknown AN-table MNTSTA value (3).
! Will assume that it is ground-based.
!
! There are 4 IFs, and a total of 4 channels:
!
! IF Channel Frequency Freq offset Number of Overall IF
! origin at origin per channel channels bandwidth
! ------------------------------------------------------------- (Hz)
! 01 1 8.40997e+09 8e+06 1 8e+06
! 02 2 8.47997e+09 8e+06 1 8e+06
! 03 3 8.79497e+09 8e+06 1 8e+06
! 04 4 8.89997e+09 8e+06 1 8e+06
!
! Polarization(s): RR
!
! Read 1070 lines of history.
!
! Reading 596 visibilities.
select
! Selecting polarization: RR, channels: 1..4
! Reading IF 1 channels: 1..1
! Reading IF 2 channels: 2..2
! Reading IF 3 channels: 3..3
! Reading IF 4 channels: 4..4
uvweight 0,-1
! Uniform weighting is not currently selected.
! Gridding weights will be scaled by errors raised to the power -1.
! Radial weighting is not currently selected.
mapsi 2048,0.1
! Map grid = 2048x2048 pixels with 0.100x0.100 milli-arcsec cellsize.
peakw 1
! Inverting map and beam
! Estimated beam: bmin=1.412 mas, bmaj=13.18 mas, bpa=9.923 degrees
! Estimated noise=5.54004 mJy/beam.
! Added new window around map position (0, 0).
mapp
!
! Move the cursor into the plot window and press 'H' for help
mapp
!
! Move the cursor into the plot window and press 'H' for help
peakw 0.5
! Added new window around map position (0, 0).
mapp
!
! Move the cursor into the plot window and press 'H' for help
peakw 0.4
! Added new window around map position (0, 0).
clean
! clean: niter=100 gain=0.05 cutoff=0
! Component: 050 - total flux cleaned = 3.74787 Jy
! Component: 100 - total flux cleaned = 4.15749 Jy
! Total flux subtracted in 100 components = 4.15749 Jy
! Clean residual min=-0.390266 max=0.263419 Jy/beam
! Clean residual mean=0.002645 rms=0.116760 Jy/beam
! Combined flux in latest and established models = 4.15749 Jy
selfcal
! Performing phase self-cal
! Adding 36 model components to the UV plane model.
! The established model now contains 36 components and 4.15749 Jy
!
! Correcting IF 1.
! A total of 483 telescope corrections were flagged in sub-array 1.
!
! Correcting IF 2.
! A total of 483 telescope corrections were flagged in sub-array 1.
!
! Correcting IF 3.
! A total of 483 telescope corrections were flagged in sub-array 1.
!
! Correcting IF 4.
! A total of 483 telescope corrections were flagged in sub-array 1.
!
! Fit before self-cal, rms=0.505497Jy sigma=3.578824
! Fit after self-cal, rms=0.505215Jy sigma=3.576674
radp
! Using default options string "m1"
! Move the cursor into the plot window and press 'H' for help
mapp
! Inverting map and beam
! Estimated beam: bmin=1.412 mas, bmaj=13.18 mas, bpa=9.923 degrees
! Estimated noise=5.54004 mJy/beam.
!
! Move the cursor into the plot window and press 'H' for help
clean
! clean: niter=100 gain=0.05 cutoff=0
! Component: 050 - total flux cleaned = 0.0537701 Jy
! Component: 100 - total flux cleaned = 0.0566756 Jy
! Total flux subtracted in 100 components = 0.0566756 Jy
! Clean residual min=-0.387295 max=0.250680 Jy/beam
! Clean residual mean=0.002131 rms=0.114850 Jy/beam
! Combined flux in latest and established models = 4.21417 Jy
selfcal
! Performing phase self-cal
! Adding 6 model components to the UV plane model.
! The established model now contains 39 components and 4.21417 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.502114Jy sigma=3.554137
! Fit after self-cal, rms=0.502102Jy sigma=3.554100
clean
! Inverting map
! clean: niter=100 gain=0.05 cutoff=0
! Component: 050 - total flux cleaned = 0.000963342 Jy
! Component: 100 - total flux cleaned = 0.00143053 Jy
! Total flux subtracted in 100 components = 0.00143053 Jy
! Clean residual min=-0.387465 max=0.250606 Jy/beam
! Clean residual mean=0.002119 rms=0.114779 Jy/beam
! Combined flux in latest and established models = 4.2156 Jy
selfcal
! Performing phase self-cal
! Adding 5 model components to the UV plane model.
! The established model now contains 41 components and 4.2156 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.501906Jy sigma=3.552745
! Fit after self-cal, rms=0.501899Jy sigma=3.552680
gscale true
! Performing overall amplitude self-cal
!
! Correcting IF 1.
! A total of 15 telescope corrections were flagged in sub-array 1.
! Telescope amplitude corrections in sub-array 1:
! BR 1.00* FD 0.85 GC 1.00* GG 1.00*
! HN 1.00* KK 1.00* KP 1.06 LA 1.06
! MC 1.00* MK 1.00* NL 1.00* ON 1.00*
! OV 1.00* PT 1.11 SC 1.02 TS 1.00*
! WF 1.00* WZ 1.00*
!
!
! Correcting IF 2.
! A total of 15 telescope corrections were flagged in sub-array 1.
! Telescope amplitude corrections in sub-array 1:
! BR 1.00* FD 0.85 GC 1.00* GG 1.00*
! HN 1.00* KK 1.00* KP 1.01 LA 1.07
! MC 1.00* MK 1.00* NL 1.00* ON 1.00*
! OV 1.00* PT 1.15 SC 0.99 TS 1.00*
! WF 1.00* WZ 1.00*
!
!
! Correcting IF 3.
! A total of 15 telescope corrections were flagged in sub-array 1.
! Telescope amplitude corrections in sub-array 1:
! BR 1.00* FD 0.86 GC 1.00* GG 1.00*
! HN 1.00* KK 1.00* KP 0.94 LA 1.05
! MC 1.00* MK 1.00* NL 1.00* ON 1.00*
! OV 1.00* PT 1.18 SC 0.97 TS 1.00*
! WF 1.00* WZ 1.00*
!
!
! Correcting IF 4.
! A total of 15 telescope corrections were flagged in sub-array 1.
! Telescope amplitude corrections in sub-array 1:
! BR 1.00* FD 0.88 GC 1.00* GG 1.00*
! HN 1.00* KK 1.00* KP 1.00 LA 1.05
! MC 1.00* MK 1.00* NL 1.00* ON 1.00*
! OV 1.00* PT 1.16 SC 0.99 TS 1.00*
! WF 1.00* WZ 1.00*
!
!
! Fit before self-cal, rms=0.501899Jy sigma=3.552680
! Fit after self-cal, rms=0.120206Jy sigma=0.802821
radp
! Using default options string "m1"
! Move the cursor into the plot window and press 'H' for help
mapp
! Inverting map and beam
! Estimated beam: bmin=1.272 mas, bmaj=13.82 mas, bpa=10.24 degrees
! Estimated noise=6.2824 mJy/beam.
!
! Move the cursor into the plot window and press 'H' for help
clean
! clean: niter=100 gain=0.05 cutoff=0
! Component: 050 - total flux cleaned = -0.0010157 Jy
! Component: 100 - total flux cleaned = -0.00100633 Jy
! Total flux subtracted in 100 components = -0.00100633 Jy
! Clean residual min=-0.025157 max=0.039919 Jy/beam
! Clean residual mean=0.000029 rms=0.009944 Jy/beam
! Combined flux in latest and established models = 4.21459 Jy
selfcal
! Performing phase self-cal
! Adding 5 model components to the UV plane model.
! The established model now contains 46 components and 4.21459 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.119798Jy sigma=0.800557
! Fit after self-cal, rms=0.120160Jy sigma=0.799398
selfcal true,true,1
! Performing amp+phase self-cal over 1 minute time intervals
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.120160Jy sigma=0.799398
! Fit after self-cal, rms=0.115255Jy sigma=0.768505
clean
! Inverting map and beam
! Estimated beam: bmin=1.273 mas, bmaj=13.82 mas, bpa=10.23 degrees
! Estimated noise=6.28428 mJy/beam.
! clean: niter=100 gain=0.05 cutoff=0
! Component: 050 - total flux cleaned = -0.00119665 Jy
! Component: 100 - total flux cleaned = -0.000890919 Jy
! Total flux subtracted in 100 components = -0.000890919 Jy
! Clean residual min=-0.024442 max=0.038795 Jy/beam
! Clean residual mean=0.000064 rms=0.009924 Jy/beam
! Combined flux in latest and established models = 4.2137 Jy
selfcal
! Performing phase self-cal
! Adding 8 model components to the UV plane model.
! The established model now contains 50 components and 4.2137 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.114772Jy sigma=0.765972
! Fit after self-cal, rms=0.114795Jy sigma=0.765777
radp
! Using default options string "m1"
! Move the cursor into the plot window and press 'H' for help
mapp
! Inverting map
!
! Move the cursor into the plot window and press 'H' for help
save 0537-441_X
! Writing UV FITS file: 0537-441_X.uvf
! Writing 50 model components to file: 0537-441_X.mod
! wwins: Wrote 1 windows to 0537-441_X.win
! restore: Substituting estimate of restoring beam from last 'invert'.
! Restoring with beam: 1.273 x 13.82 at 10.23 degrees (North through East)
! Clean map min=-0.024007 max=3.8307 Jy/beam
! Writing clean map to FITS file: 0537-441_X.fits
! Writing difmap environment to: 0537-441_X.par
![@gonzo_plot 0537-441_X]
device 0537-441_Xuv.ps/vps,1,2
! Attempting to open device: '0537-441_Xuv.ps/vps'
radplot
! Using default options string "m1"
uvplot
! Using default options string ""
device 0537-441_Xim.ps/vps
! Attempting to open device: '0537-441_Xim.ps/vps'
uvweight 0,-1
! Uniform weighting is not currently selected.
! Gridding weights will be scaled by errors raised to the power -1.
! Radial weighting is not currently selected.
loglevs -1,2048,2
! The new contour levels are:
! -1 1 2 4 8 16 32 64 128 256 512 1024 2048
cmul = imstat(rms)*3
! Inverting map and beam
! Estimated beam: bmin=1.273 mas, bmaj=13.82 mas, bpa=10.23 degrees
! Estimated noise=6.28428 mJy/beam.
mappl cln
! restore: Substituting estimate of restoring beam from last 'invert'.
! Restoring with beam: 1.273 x 13.82 at 10.23 degrees (North through East)
! Clean map min=-0.024007 max=3.8307 Jy/beam
![Exited script file: gonzo_plot]
device /xs
! Attempting to open device: '/xs'
peakw 1
! Inverting map
! Added new window around map position (-33.8, 39.6).
mapp
!
! Move the cursor into the plot window and press 'H' for help
clean 50
! clean: niter=50 gain=0.05 cutoff=0
! Component: 050 - total flux cleaned = 0.038341 Jy
! Total flux subtracted in 50 components = 0.038341 Jy
! Clean residual min=-0.023404 max=0.016209 Jy/beam
! Clean residual mean=0.000109 rms=0.005849 Jy/beam
! Combined flux in latest and established models = 4.25204 Jy
mapp
!
! Move the cursor into the plot window and press 'H' for help
save 0537-441_X
! Writing UV FITS file: 0537-441_X.uvf
! Writing 66 model components to file: 0537-441_X.mod
! wwins: Wrote 2 windows to 0537-441_X.win
! Adding 16 model components to the UV plane model.
! The established model now contains 65 components and 4.25204 Jy
! Inverting map
! restore: Substituting estimate of restoring beam from last 'invert'.
! Restoring with beam: 1.273 x 13.82 at 10.23 degrees (North through East)
! Clean map min=-0.023058 max=3.8389 Jy/beam
! Writing clean map to FITS file: 0537-441_X.fits
! Writing difmap environment to: 0537-441_X.par
![@gonzo_plot 0537-441_X]
device 0537-441_Xuv.ps/vps,1,2
! Attempting to open device: '0537-441_Xuv.ps/vps'
radplot
! Using default options string "m1"
uvplot
! Using default options string ""
device 0537-441_Xim.ps/vps
! Attempting to open device: '0537-441_Xim.ps/vps'
uvweight 0,-1
! Uniform weighting is not currently selected.
! Gridding weights will be scaled by errors raised to the power -1.
! Radial weighting is not currently selected.
loglevs -1,2048,2
! The new contour levels are:
! -1 1 2 4 8 16 32 64 128 256 512 1024 2048
cmul = imstat(rms)*3
! Inverting map and beam
! Estimated beam: bmin=1.273 mas, bmaj=13.82 mas, bpa=10.23 degrees
! Estimated noise=6.28428 mJy/beam.
mappl cln
! restore: Substituting estimate of restoring beam from last 'invert'.
! Restoring with beam: 1.273 x 13.82 at 10.23 degrees (North through East)
! Clean map min=-0.023058 max=3.8389 Jy/beam
![Exited script file: gonzo_plot]
quit
! Quitting program
! Log file 0537-441_X.log closed on Mon Oct 25 17:59:57 2004
|
en
|
converted_docs
|
033368
|
HQ 554920
January 3, 1989
CLA-2 CO:R:C:V 554920 GRV
CATEGORY: CLASSIFICATION
TARIFF NO.: 9802.00.80; 807.00
Mr. R. B. McKenny
C. S. Emery & Company, Inc.
P.O. Box 307
Derby Line, Vermont 05830
RE: Applicability of partial duty exemption under HTSUS subhead-
ing 9802.00.80 to certain vertical blinds to be imported
from Canada.
Dear Mr. McKenny:
This is in response to your letter of February 11, 1988, on
behalf of Frontenac Fabrics, Inc., requesting a ruling on the ap-
plicability of subheading 9802.00.80, Harmonized Tariff Schedule
of the United States (HTSUS) (formerly item 807.00, Tariff Sched-
ules of the United States (TSUS)), to certain vertical blinds to
be imported from Canada. Samples of both the fabric rolls to be
exported and the vertical blinds to be imported were submitted
for examination.
FACTS:
You state that rolls of fabric of U.S. origin, measuring
three and half inches wide by approximately 100 yards, will be
exported to Canada for assembly operations consisting of:
\(1\) cutting the rolled fabric to length;
\(2\) punching a one-half inch hole near one end of the
fabric for receipt of a removable plastic hanger
insert;
\(3\) folding the punched end over and sewing a one inch
hem in it to receive the removable plastic hanger
insert; and
\(4\) folding the opposite end over and sewing a two and
a half inch hem in it, the resultant pocket either
containing an inserted metal weight or not.
The completed articles\--vertical blinds\--will then be returned to
the U.S.
ISSUE:
Whether the foreign operation constitutes an \"assembly,\"
thereby entitling the vertical blinds to the partial duty
\- 2 -
exemption under HTSUS subheading 9802.00.80 (item 807.00, TSUS)
when returned to the U.S.
LAW & ANALYSIS:
As you are probably aware, on January 1, 1989, the Harmo-
nized Tariff Schedule of the United States (HTSUS) superseded and
replaced the Tariff Schedules of the United States (TSUS). TSUS
item 807.00 was carried over into the HTSUS without change as
subheading 9802.00.80. This tariff provision provides a partial
duty exemption for articles:
\... assembled abroad in whole or in part of fabricated
components, the product of the United States, which
\(a\) were exported in condition ready for assembly with-
out further fabrication, (b) have not lost their physi-
cal identity in such articles by change in form, shape,
or otherwise, and (c) have not been advanced in value
or improved in condition abroad except by being assem-
bled and except by operations incidental to the assembly
process such as cleaning, lubricating, and painting.
Under this tariff provision, there is a duty upon the full value
of the imported assembled article less the cost or value of such
U.S. components, provided the documentation requirements of sec-
tion 10.24, Customs Regulations (19 CFR 10.24), are satisfied.
Of importance to the sample fabric material submitted is
the term \"assembled.\" Section 10.16(a), Customs Regulations (19
CFR 10.16(a)), provides that:
The assembly operations performed abroad may consist
of any method used to join or fit together solid com-
ponents, such as welding, soldering, riveting, force
fitting, gluing, laminating, sewing, or the use of
fasteners\....
Court decisions construing the term \"assembly\" have uni-
formly held that the term \"assembly,\" for purposes of TSUS item
807.00, involves the joining or coming together of solids. See,
for example, United States v. Baylis Brothers Co., 59 CCPA 9,
C.A.D. 1026, 451 F.2d 643 (1971). Implicit in this construction
of the term \"assembly\" is that multiple solid components are
joined together in a manner that permanently fixes their
respective positions.
One of the problems presented in the instant case is that
the process of sewing a one-inch hem to the end of the cut fabric
containing the punched hole results in merely joining the fabric
to itself. We have previously ruled that the joining of fabric
to itself rather than to another component is not an acceptable
\- 3 -
assembly operation or an operation incidental to assembly for
purposes of TSUS item 807.00. See Headquarters Ruling Letter
554959 (August 29, 1988). Punching the one-half inch hole in the
fabric also clearly is not an operation which is incidental to
assembly under the circumstances of this case. The operations of
punching the hole in the fabric and sewing the one-inch hem
advance the value and improve the condition of the fabric by
means other than assembly and demonstrate that the fabric was not
in condition ready for assembly with other components at the time
of exportation. As a result, no allowance in duty may be made
for the value of the fabric under HTSUS subheading 9802.00.80
upon importation of the vertical blinds.
Moreover, because the plastic hanger to be inserted into
the end of the fabric with the one-inch hem is not permanently
fixed by an assembly process, but is removable, no allowance may
be made for the value of the plastic hanger under this tariff
provision. However, the process of enclosing a metal weight in
the two and a half inch hem on the other end of the fabric strip
constitutes an acceptable assembly operation since the weight
will be permanently joined to the fabric by the sewing operation.
Therefore, with respect to those vertical blinds which will have
metal weights inserted therein, allowances in duty may be made
for the value of the weights under HTSUS subheading 9802.00.80,
provided the weights are of U.S. origin.
CONCLUSION:
On the basis of the information and samples submitted, no
exemption from duty may be given under HTSUS subheading
9802.00.80 for the value of the U.S. fabric to be exported or for
the value of the plastic hangers. However, in regard to those
vertical blinds to be imported containing metal weights,
allowances in duty may be made under this tariff provision for
the cost or value of the weights if they are of U.S. origin and
the documentation requirements set forth in 19 CFR 10.24 are
satisfied.
Sincerely,
John Durant, Director
Commercial Rulings Division
CO:R:C:V:VILDERS:GRV:10/21/88:12/16/88
|
en
|
converted_docs
|
983003
|
**FEDERAL COMMUNICATIONS COMMISSION**
{width="0.84375in" height="0.84375in"}**ENFORCEMENT
BUREAU**
Northeast Region
**Chicago Office**
1550 North Northwest Highway, Room 306
Park Ridge, IL 60068
March 21, 2007
**CERTIFIED MAIL NO: 7001 1940 0006 2993 3325**
**RETURN RECEIPT REQUESTED AND FIRST CLASS U.S. MAIL**
Mr. Bruce Heimes
Clinton, IN 47842
**NOTICE OF UNLICENSED OPERATION**
Case Number: EB-07-CG-152
Document Number: W20073232001
The Chicago Office received information that your Citizens Band Radio
Service radio station was being operated illegally and causing
interference to Clinton Township Volunteer Fire Department's radio
communications. On February 28, 2007, agents from this office inspected
the radio station at your location and confirmed that you were operating
a Yaesu FT-757, Galaxy DX 99V, Galaxy DX 44V, and General AP Hill DX
2517 which are non-certified CB transceivers. Your transceivers were
also connected to RF power amplifiers. By using non-certified equipment,
you voided your authority to operate this station.
Radio stations must be licensed by the FCC pursuant to 47 U.S.C. § 301.
You are hereby warned that operation of radio transmitting equipment
without a valid radio station authorization constitutes a violation of
the Federal laws cited above and could subject the operator to severe
penalties, including, but not limited to, substantial monetary fines,
*in rem* arrest action against the offending radio equipment, and
criminal sanctions including imprisonment. (*see* 47 U.S.C. §§ 401, 501,
503 and 510).
**UNLICENSED OPERATION OF THIS RADIO STATION MUST BE DISCONTINUED
IMMEDIATELY**.
You have ten (10) days from the date of this notice to respond with any
evidence that you have authority to operate granted by the FCC. Your
response should be sent to the address in the letterhead and reference
the listed case and document number. Under the Privacy Act of 1974, 5
U.S.C. § 552a(e)(3), we are informing you that the Commission's staff
will use all relevant material information before it to determine what,
if any, enforcement action is required to ensure your compliance with
FCC Rules. This will include any information that you disclose in your
reply.
You may contact this office if you have any questions.
James M. Roop
Acting District Director
Chicago Office
Attachments:
Excerpts from the Communications Act of 1934, As Amended
Enforcement Bureau, \"Inspection Fact Sheet\", July 2003
|
en
|
converted_docs
|
767346
|
**FOR IMMEDIATE RELEASE FOR INFORMATION CONTACT:**
Tammi Schone - (605) 352-1102
# RURAL DEVELOPMENT AWARDS \$1,743,250 TO THE SISSETON WAHPETON HOUSING AUTHORITY[ *Funding to Facilitate Growth and Development* ]{.underline}
**(Sisseton, South Dakota -- December 20, 2006)** USDA Rural Development
Acting State Director Tim B. Potts today presented the Sisseton Wahpeton
Housing Authority (SWHA) with a ceremonial check representing
\$1,743,250 to construct 11-three bedroom rental units for families in
the Long Hollow district and to construct an administration building to
administer the housing program.
"The federal funding will be used for eleven individual homes with three
bedrooms. In addition, funding will assist with the construction of an
administration building which will provide service to 5,678 individuals
living in the area," said Potts.
The Sisseton-Wahpeton Oyate Reservation is located in the northeastern
part of the state near Sisseton, South Dakota. The USDA Rural
Development rural rental housing loan funds of \$1,000,000 will be used
to construct rental units for families in the Long Hollow District,
which is located on the Sisseton-Wahpeton Oyate Reservation. Tenants
will receive rental assistance so rents will be no more than 30% of
their income. The federal funds will be leveraged with an applicant
contribution of \$297,300. The USDA Rural Development community facility
loan funds of \$743,250 will be used to construct an administration
building to administer the housing programs.
"The housing shortage on the Sisseton-Wahpeton Oyate Reservation is a
major problem confronting our tribal members. We have approximately
three hundred and fifty families on our current waiting list for
affordable housing accommodations. Optimistically, this will be one of
many projects the Sisseton-Wahpeton Housing Authority and USDA Rural
Development will team up with to alleviate the housing shortage on our
reservation. The current administration building was built in 1967,
accordingly we are in desperate need for a new facility," said LeRoy
Quinn, Jr., Executive Director.
USDA Rural Development Area Director Bruce Jones and Manager Janell
Telin also attended the event. USDA Rural Development has ten offices in
the state that assist rural communities. Office locations include a
state office in Huron, along with area offices in Aberdeen, Huron,
Mitchell, Pierre, Rapid City, Sioux Falls, Sturgis, Watertown, and
Yankton.
USDA Rural Development's mission is to deliver programs in a way that
will support increasing economic opportunity and improve the quality of
life of rural residents. As a venture capital entity, Rural Development
provides equity and technical assistance to finance and foster growth in
homeownership, business development, and critical community and
technology infrastructure. Further information on rural programs is
available at a local USDA Rural Development office or by visiting USDA's
web site at <http://www/rurdev.usda.gov>.
**- USDA -**
|
en
|
converted_docs
|
089267
|
FOR IMMEDIATE RELEASE:
December 1, 2000
> WIRELESS TELECOMMUNICATIONS BUREAU ANNOUNCES
>
> COMMERCIAL WIRELESS DIVISION PERSONNEL ACTION
The following personnel action has been announced in the Wireless
Telecommunications Bureau's Commercial Wireless Division:
# Lauren Kravetz Named Special Counsel:
> Lauren H. Kravetz has been named Special Counsel in the Wireless
> Bureau's Commercial Wireless Division. Since March 1999 she has served
> as an Attorney-Advisor in the Policy and Rules Branch of the Division,
> leading the Division's review of major transactions involving wireless
> licenses. Prior to joining the Commission, Kravetz was senior
> associate at the law firm of Powell, Goldstein, Frazer & Murphy LLP,
> and she has also worked at the law firms of Squire, Sanders & Dempsey
> and Heron, Burchette, Ruckert & Rothwell. Kravetz has served as
> President of the Washington, D.C. chapter of American Women in Radio &
> Television (AWRT) and recently completed a term as a National Director
> of AWRT. Kravetz holds a J.D. from Georgetown University, where she
> was a member of the Editorial Board of the *American Criminal Law
> Review*, and a B.A, *magna cum laude*, from the University of
> California at Los Angeles.
\- FCC -
|
en
|
converted_docs
|
665769
|
**Before the**
**Federal Communications Commission**
**Washington, D.C. 20554**
+----------------------------------+----+------------------------------+
| In the matter of | * | GEN Docket No. 86-285 |
| | *) | |
| Amendment of the Schedule | ** | |
| | | |
| of Application Fees Set Forth | * | |
| | *) | |
| In Section 1.1102 through 1.1107 | ** | |
| | | |
| of the Commission's Rules | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
+----------------------------------+----+------------------------------+
**[ORDER]{.underline}**
**Adopted: June 23, 2004 Released: June 25, 2004**
By the Commission:
**I. INTRODUCTION**
1\. By this *Order* ("R&O"), the Commission makes rule changes to Part 0
and Part 1 of 47 C.F.R., as listed in Appendix A, and amends its
Schedule of Application Fees, 47 C.F.R. Section 1.1102 et seq., as
listed in Appendix B, to adjust its fees for processing applications and
other filings. Section 8(b) of the Communications Act, as amended,
requires that the Commission review and adjust its application fees
every two years after October 1, 1991. [^1] The increase in fees
reflects the net change in the Consumer Price Index for all Urban
Consumers of 7 percent, calculated from October 2001 to October
2003.[^2] The adjustments made to the fee schedule comport with the
statutory formula set forth in Section 8(b).
2\. Effective October 1, 2004, the Commission will withhold action on
applications and other requests for benefits upon discovery that the
entity applying for or seeking benefits is delinquent in its non-tax
debts[^3] owed to the Commission, and dismiss such applications or
requests if the delinquent debt is not resolved. Our application fee
rules have been amended to state that we will withhold action on
applications or other requests for benefits by delinquent debtors and
ultimately dismiss those applications or other requests if payment of
the delinquent debt is not made or satisfactory arrangements for payment
is not made.[^4]
3\. Accordingly, *IT IS ORDERED*, that the rule changes specified herein
be adopted and the Schedule of Application Fees, 47 C.F.R. Section
1.1102 et seq., *BE AMENDED* as set forth in the attached
amendment. It is further ordered that the rule changes and amendment to
the Schedule of Application Fees made herein will become effective 30
days after publication in the *Federal Register*.
FEDERAL COMMUNICATIONS COMMISSION
Marlene H. Dortch
Secretary
**APPENDIX A**
**RULE CHANGES**
**Part 0 of Title 47 of the Code of Federal Regulations is amended to
read as follows:**
Part 0 -- COMMISSION ORGANIZATION
1\. The Authority citations for Part 0 continue to read as follows:
Authority: Sec. 5, 48 Stat. 1068, as amended; 47 U.S.C. 155, 225, unless
otherwise noted.
2\. Section 0.481 is revised to read as follows:
[§ 0.481 Place of filing applications for radio
authorizations]{.underline}.
For locations for filing applications, and appropriate fees, see §§
1.1102-1.1107 of this chapter.
**Part 1 of Title 47 of the Code of Federal Regulations is amended to
read as follows:**
Part 1 -- PRACTICE AND PROCEDURE
3\. The Authority citations for Part 1 continue to read as follows:
Authority: 47 U.S.C. 151, 154(i), 154(j), 155, 225, 303, and 309, unless
otherwise noted.
4\. Section 1.721 is amended by revising paragraph (a)(13) to read as
follows:
[§ 1.721 Format and content of complaints.]{.underline}
**\* \* \* \* \***
> \(a\) (13) A declaration, under penalty of perjury, by the complainant
> or complainant's counsel describing the amount, method, and date of
> the complainant\'s payment of the filing fee required under §
> 1.1106(1)(c) or (d) and the complainant's 10-digit FCC Registration
> Number, if any;
**\* \* \* \* \***
5\. Section 1.735 is amended by revising paragraph (b) and paragraph
(b)(4) to read as follows:
[§ 1.735 Copies; service; separate filings against multiple
defendants]{.underline}**.**
**\* \* \* \* \***
> (b)The complainant shall file an original copy of the complaint,
> accompanied by the correct fee, in accordance with part I, subpart G
> (see § 1.1106) and, on the same day:
\* \* \* \* \*
> (b)(4) If a complaint is addressed against multiple defendants, pay a
> separate fee, in accordance with part I, subpart G (see § 1.1106), and
> file three copies of the complaint with the Office of the Commission
> Secretary for each additional defendant.
6\. Section 1.1111 is amended by revising paragraph (a)(2) and paragraph
(c) to read as follows:
[§ 1.1111 Filing Locations]{.underline}.
\* \* \* \* \*
> (a)(2) Bills for collection will be paid at the Commission's lockbox
> bank at the address of the appropriate service as established in §§
> 1.1102 through 1.1107, as set forth on the bill sent by the
> Commission. Payments must be accompanied by the bill sent by the
> Commission. Payments must be accompanied by the bill to ensure proper
> credit.
>
> \* \* \* \* \*
>
> \(c\) Fees for applications and other filings pertaining to the
> Wireless Radio Services that are submitted electronically via ULS may
> be paid electronically or sent to the Commission\'s lock box bank
> manually. When paying manually, applicants must include the
> application file number (assigned by the ULS electronic filing system
> on FCC Form 159) and submit such number with the payment in order for
> the Commission to verify that the payment was made. Manual payments
> must be received no later than ten (10) days after receipt of the
> application on ULS or the application will be dismissed. Payment
> received more than ten (10) days after electronic filing of an
> application on a Bureau/Office electronic filing system (e.g., ULS)
> will be forfeited (see §§ 1.934 and 1.1109.)
\* \* \* \* \*
7\. Section 1.1113 is amended by revising paragraph (a)(6) to read as
follows:
[§ 1.1113 Return or refund of charges]{.underline}.
**\* \* \* \* \***
> \(6\) When an application for new or modified facilities is not timely
> filed in accordance with the filing window as established by the
> Commission in a public notice specifying the earliest and latest dates
> for filing such applications.
\(b\) Comparative hearings are no longer required.
> \(c\) Applicants in the Media Services for first-come, first-served
> construction permits will be entitled to a refund of the fee, if,
> within fifteen days of the issuance of a Public Notice.
\* \* \* \* \*
8\. Section 1.1114 is amended by revising the first paragraph to read as
follows:
[§ 1.1114 General exemptions to Charges]{.underline}.
No fee established in 1.1102 through 1.1107 of this subpart, unless
otherwise qualified herein, shall be
Required for:
\* \* \* \* \*
9\. Section 1.1115 is amended by revising paragraph (a) and paragraph
(a)(2) to read as follows:
[§ 1.1115 Adjustment to Charges]{.underline}.
> \(a\) The Schedule of Charges established by Section 1.1102 through
> 1.1107 of this subpart shall be reviewed by the Commission on October
> 1, 1999 and every two years thereafter, and adjustments made, if any,
> will be reflected in the next publication of Schedule of Charges.
>
> \* \* \* \* \*
>
> (a)(2) Adjustments based upon the percentage change in the CPI-U will
> be applied against the base fees as enacted or amended by Congress in
> the year the fee was enacted or amended.
\* \* \* \* \*
10\. Section 1.1116 is amended by revising paragraph (a) to read as
follows:
[§ 1.1116 Penalty for late or insufficient payments]{.underline}**.**
> \(a\) Filings subject to fees and accompanied by defective fee
> submissions will be dismissed under § 1.1109(d) of this subpart where
> the defect is discovered by the Commission\'s staff within 30 calendar
> days from the receipt of the application or filing by the Commission.
\* \* \* \* \*
11\. Section 1.1119 is amended by revising paragraph (a) to read as
follows:
[§ 1.1119 Billing procedures]{.underline}**.**
> \(a\) The fees required for the International Telecommunications
> Settlements (§ 1.1103 of this subpart), Accounting and Audits Field
> Audits and Review of Arrest Audits (§ 1.1106 of this subpart) should
> not be paid with the filing or submission of the request. The fees
> required for requests for Special Temporary Authority (see generally
> §§1.1102, 1.1104, 1.1106 & 1.1107 of this subpart) that the applicant
> believes is of an urgent or emergency nature and are filed directly
> with the appropriate Bureau or Office should not be paid with the
> filing of the request with that Bureau or Office.
\* \* \* \* \*
------------------------------------------------------------- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- --
**APPENDIX B**
**SCHEDULE OF STATUTORY CHARGES AND PROCEDURES FOR PAYMENT**
**Part 1 of Title 47 of the Code of Federal Regulations is
amended to read as follows:**
**Part 1 - Practice and Procedure**
**1. The authority citation for Part 1 continues to read as
follows:**
**Authority: 47 U.S.C. 154, 303, 503(b)(5); 5 U.S.C. 552 and
21 U.S.C. 853a, unless otherwise noted.**
**2. Section 1.1102 is revised to read as follows:**
**[§1.1102 Schedule of charges for applications and other
filings in the wireless telecommunications
services.]{.underline}**
**Those services designated with an asterisk in the payment
type code column have associated regulatory fees that must**
**be paid at the same time the application fee is paid.**
**Please refer to §1.1152 for the appropriate regulatory**
**fee that must be paid for this service.**
------------------------------------------------------------- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- --
+--------------------+--------+--------+------+----------------------+
| **Service** | **FCC | * | **P | **Address** |
| | Form | *Fee** | ayme | |
| | No.** | | nt** | |
| | | **Am | | |
| | | ount** | **Ty | |
| | | | pe** | |
| | | | | |
| | | | **Co | |
| | | | de** | |
+====================+========+========+======+======================+
| **1. Marine | 601 & | \$ | PB | Federal |
| Coast** | 159 | 105.00 | MR\* | Communications |
| | | | | Commission |
| a\. New; | | | | |
| | | | | Wireless Bureau |
| Re | | | | Applications |
| newal/Modification | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| b\. Modification, | 601 & | \$ | PBMM | Federal |
| | 159 | 105.00 | | Communications |
| Public Coast CMRS; | | | | Commission |
| | | | | |
| Non-Profit | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| c\. Assignment of | 603 & | \$ | PBMM | Federal |
| Authorization | 159 | 105.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| d\. Transfer of | 603 & | \ | PATM | Federal |
| Control | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| e\. Duplicate | 601 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| f\. Special | 601 & | \$ | PCMM | Federal |
| Temporary | 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| g\. Renewal Only | 601 & | \$ | PB | Federal |
| | 159 | 105.00 | MR\* | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| h\. Renewal | 601 & | \$ | PB | Federal |
| | 159 | 105.00 | MR\* | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| i\. Renewal Only | 601 & | \$ | PBMM | Federal |
| | 159 | 105.00 | | Communications |
| (Non-Profit; CMRS) | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| j\. Renewal | 601 & | \$ | PBMM | Federal |
| (Electronic | 159 | 105.00 | | Communications |
| Filing) | | | | Commission |
| | | | | |
| Non-profit, CMRS | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| k\. Rule Waiver | 601 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| **2. Aviation | 601 & | \$ | PB | Federal |
| Ground** | 159 | 105.00 | VR\* | Communications |
| | | | | Commission |
| a\. New; | | | | |
| | | | | Wireless Bureau |
| Re | | | | Applications |
| newal/Modification | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| b\. Modification; | 601 & | \$ | PBVM | Federal |
| | 159 | 105.00 | | Communications |
| Non-Profit | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| c\. Assignment of | 603 & | \$ | PBVM | Federal |
| Authorization | 159 | 105.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| d\. Transfer of | 603 & | \ | PATM | Federal |
| Control | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| e\. Duplicate | 601 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| f\. Special | 601 & | \$ | PCVM | Federal |
| Temporary | 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| g\. Renewal Only | 601 & | \$ | PB | Federal |
| | 159 | 105.00 | VR\* | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| h\. Renewal | 601 & | \$ | PB | Federal |
| (Electronic | 159 | 105.00 | VR\* | Communications |
| Filing) | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| i\. Renewal Only | 601 & | \$ | PBVM | Federal |
| | 159 | 105.00 | | Communications |
| (Non-Profit) | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| j\. Renewal | 601 & | \$ | PBVM | Federal |
| (Electronic | 159 | 105.00 | | Communications |
| Filing) | | | | Commission |
| | | | | |
| (Non-Profit) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| k.. Rule Waiver | 601 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| **3. Ship** | 605 & | \ | PA | Federal |
| | 159 | $55.00 | SR\* | Communications |
| a\. New, Renewal | | | | Commission |
| | | | | |
| Re | | | | Wireless Bureau |
| newal/Modification | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| b\. New, Renewal | 605 & | \ | PA | Federal |
| | 159 | $55.00 | SR\* | Communications |
| Re | | | | Commission |
| newal/Modification | | | | |
| | | | | Wireless Bureau |
| (Electronic | | | | Applications (ELT) |
| Filing) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Renewal Only | 605 & | \ | PASM | Federal |
| | 159 | $55.00 | | Communications |
| (Non-profit) | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| d Renewal Only | 605 & | \ | PASM | Federal |
| | 159 | $55.00 | | Communications |
| (Non-profit) | | | | Commission |
| | | | | |
| (Electronic | | | | Wireless Bureau |
| Filing) | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| e\. Modification | 605 & | \ | PASM | Federal |
| | 159 | $55.00 | | Communications |
| (Non-profit) | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| f\. Modification | 605 & | \ | PASM | Federal |
| | 159 | $55.00 | | Communications |
| (Non-profit) | | | | Commission |
| | | | | |
| (Electronic | | | | Wireless Bureau |
| Filing) | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| g\. Duplicate | 605 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| h\. Duplicate | 605 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| (Electronic | | | | |
| Filing) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| i\. Exemption from | 605 & | \$ | PDWM | Federal |
| Ship Station | 159 | 155.00 | | Communications |
| | | | | Commission |
| Requirements | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| j\. Rule Waiver | 605 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| k\. Exemption from | 605 & | \$ | PDWM | Federal |
| Ship Station | 159 | 155.00 | | Communications |
| | | | | Commission |
| Requirements | | | | |
| | | | | Wireless Bureau |
| (Electronic | | | | Applications - ELT |
| Filing) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| l\. Rule Waiver | 605 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications - ELT |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **4. Aircraft** | 605 & | \ | PA | Federal |
| | 159 | $55.00 | AR\* | Communications |
| New; | | | | Commission |
| | | | | |
| Re | | | | Wireless Bureau |
| newal/Modification | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| b\. New; | 605 & | \ | PA | Federal |
| Re | 159 | $55.00 | AR\* | Communications |
| newal/Modification | | | | Commission |
| | | | | |
| (Electronic | | | | Wireless Bureau |
| Filing) | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Modification | 605 & | \ | PAAM | Federal |
| | 159 | $55.00 | | Communications |
| Non-Profit | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| d\. Modification; | 605 & | \ | PAAM | Federal |
| | 159 | $55.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| e\. Renewal Only | 605 & | \ | PA | Federal |
| | 159 | $55.00 | AR\* | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| f\. Renewal | 605 & | \ | PA | Federal |
| | 159 | $55.00 | AR\* | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| g\. Renewal Only | 605 & | \ | PAAM | Federal |
| | 159 | $55.00 | | Communications |
| (Non-Profit) | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| h\. Renewal; | 605 & | \ | PAAM | Federal |
| Renewal/ | 159 | $55.00 | | Communications |
| | | | | Commission |
| Modification | | | | |
| | | | | Wireless Bureau |
| (Non-Profit) | | | | Applications (ELT) |
| | | | | |
| (Electronic | | | | P.O. Box 358994 |
| Filing) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| I. Duplicate | 605 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| j\. Duplicate | 605 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| (Electronic | | | | |
| Filing) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| k.. Rule Waiver | 605 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| l\. Rule Waiver | 605 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **5. Private | 601 & | \$ | PE | Federal |
| Operational | 159 | 230.00 | OR\* | Communications |
| Fixed** | | | | Commission |
| | | | | |
| **Microwave and | | | | Wireless Bureau |
| Private** | | | | Applications |
| | | | | |
| **DEMS** | | | | P.O. Box 358130 |
| | | | | |
| a\. New; | | | | Pittsburgh, PA |
| Re | | | | 15251-5130 |
| newal/Modification | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. New; | 601 & | \$ | PE | Federal |
| | 159 | 230.00 | OR\* | Communications |
| Re | | | | Commission |
| newal/Modification | | | | |
| | | | | Wireless Bureau |
| (Electronic | | | | Applications (ELT) |
| Filing) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Modification; | 601 & | \$ | PEOM | Federal |
| | 159 | 230.00 | | Communications |
| Consolidate Call | | | | Commission |
| Signs; | | | | |
| | | | | Wireless Bureau |
| Non-Profit | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| d\. Modification; | 601 & | \$ | PEOM | Federal |
| | 159 | 230.00 | | Communications |
| Consolidate Call | | | | Commission |
| Signs; | | | | |
| | | | | Wireless Bureau |
| Non-Profit | | | | Applications (ELT) |
| | | | | |
| (Electronic | | | | P.O. Box 358994 |
| Filing) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| e\. Renewal Only | 601 & | \$ | PE | Federal |
| | 159 | 230.00 | OR\* | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| f\. Renewal | 601 & | \$ | PE | Federal |
| | 159 | 230.00 | OR\* | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| g\. Renewal Only | 601 & | \$ | PEOM | Federal |
| | 159 | 230.00 | | Communications |
| (Non-Profit) | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| h.. Renewal | 601 & | \$ | PEOM | Federal |
| | 159 | 230.00 | | Communications |
| (Non-Profit) | | | | Commission |
| | | | | |
| (Electronic | | | | Wireless Bureau |
| Filing) | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| i\. Assignment | 603 & | \$ | PEOM | Federal |
| | 159 | 230.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| j\. Assignment | 603 & | \$ | PEOM | Federal |
| | 159 | 230.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| k\. Transfer of | 603 & | \ | PATM | Federal |
| Control; | 159 | $55.00 | | Communications |
| | | | | Commission |
| Spectrum Leasing | 603-T | | | |
| | & 159 | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| l\. Transfer of | 603 & | \ | PATM | Federal |
| Control; | 159 | $55.00 | | Communications |
| | | | | Commission |
| Spectrum Leasing | 603-T | | | |
| | & 159 | | | Wireless Bureau |
| (Electronic | | | | Applications (ELT) |
| Filing) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| m\. Duplicate | 601 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| n\. Duplicate | 601 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| (Electronic | | | | |
| Filing) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| o\. Special | 601 & | \$5 | PAOM | Federal |
| Temporary | 159 | 055.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| p\. Special | 601 & | \ | PAOM | Federal |
| Temporary | 159 | $55.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Electronic | | | | Wireless Bureau |
| Filing) | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| q\. Rule Waiver | 601 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| r\. Rule Waiver | 601 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **6. Land Mobile** | 601 & | \ | PA | Federal |
| | 159 | $55.00 | LR\* | Communications |
| PMRS; Intelligent | | | | Commission |
| | | | | |
| Transportation | | | | Wireless Bureau |
| Service | | | | Applications |
| | | | | |
| a\. New or | | | | P.O. Box 358130 |
| Re | | | | |
| newal/Modification | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
| (Frequencies below | | | | |
| 470 MHz (except | | | | |
| 220 MHz) | | | | |
| | | | | |
| 902-928 MHz & RS | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. New or | 601 & | \ | PA | Federal |
| Re | 159 | $55.00 | LR\* | Communications |
| newal/Modification | | | | Commission |
| | | | | |
| (Frequencies below | | | | Wireless Bureau |
| 470 MHz) | | | | Applications (ELT) |
| | | | | |
| (except 220 MHz) | | | | P.O. Box 358994 |
| | | | | |
| (Electronic | | | | Pittsburgh, PA |
| Filing) | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. New or | 601 & | \ | PA | Federal |
| Re | 159 | $55.00 | LS\* | Communications |
| newal/Modification | | | | Commission |
| | | | | |
| (Frequencies 470 | | | | Wireless Bureau |
| MHz) and | | | | Applications |
| | | | | |
| above and 220 MHz | | | | P.O. Box 358130 |
| Local) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| d\. New or | 601 & | \ | PA | Federal |
| Re | 159 | $55.00 | LS\* | Communications |
| newal/Modification | | | | Commission |
| | | | | |
| (Frequencies 470 | | | | Wireless Bureau |
| MHz) and | | | | Applications (ELT) |
| | | | | |
| above and 220 MHz | | | | P.O. Box 358994 |
| Local) | | | | |
| | | | | Pittsburgh, PA |
| (Electronic | | | | 15251-5994 |
| Filing) | | | | |
+--------------------+--------+--------+------+----------------------+
| e\. New or | 601 & | \ | PA | Federal |
| Re | 159 | $55.00 | LT\* | Communications |
| newal/Modification | | | | Commission |
| | | | | |
| (220 MHz | | | | Wireless Bureau |
| Nationwide) | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| f\. New or | 601 & | \ | PA | Federal |
| Re | 159 | $55.00 | LT\* | Communications |
| newal/Modification | | | | Commission |
| | | | | |
| (220 MHz | | | | Wireless Bureau |
| Nationwide) | | | | Applications (ELT) |
| | | | | |
| (Electronic | | | | P.O. Box 358994 |
| Filing) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| g\. Modification; | 601 & | \ | PALM | Federal |
| | 159 | $55.00 | | Communications |
| Non-Profit; | | | | Commission |
| | | | | |
| For Profit Special | | | | Wireless Bureau |
| Emergency | | | | Applications |
| | | | | |
| and Public Safety; | | | | P.O. Box 358130 |
| and CMRS | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| h\. Modification; | 601 & | \ | PALM | Federal |
| | 159 | $55.00 | | Communications |
| Non-Profit; | | | | Commission |
| | | | | |
| For Profit Special | | | | Wireless Bureau |
| Emergency | | | | Applications (ELT) |
| | | | | |
| and Public Safety; | | | | P.O. Box 358994 |
| and CMRS | | | | |
| | | | | Pittsburgh, PA |
| (Electronic | | | | 15251-5994 |
| Filing) | | | | |
+--------------------+--------+--------+------+----------------------+
| I. Renewal Only | 601 & | \ | PA | Federal |
| | 159 | $55.00 | LR\* | Communications |
| | | | | Commission |
| | | \ | PA | |
| | | $55.00 | LS\* | Wireless Bureau |
| | | | | Applications |
| | | \ | PA | |
| | | $55.00 | LT\* | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| j\. Renewal | 601 & | \ | PA | Federal |
| | 159 | $55.00 | LR\* | Communications |
| (Electronic | | | | Commission |
| Filing) | | \ | PA | |
| | | $55.00 | LS\* | Wireless Bureau |
| | | | | Applications (ELT) |
| | | \ | PA | |
| | | $55.00 | LT\* | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| k\. Renewal Only | 601 & | \ | PALM | Federal |
| | 159 | $55.00 | | Communications |
| (Non-Profit; CMRS; | | | | Commission |
| | | | | |
| For-Profit Special | | | | Wireless Bureau |
| Emergency | | | | Applications |
| | | | | |
| and Public Safety) | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburg, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| l\. Renewal | 601 & | \ | PALM | Federal |
| | 159 | $55.00 | | Communications |
| (Non-Profit; CMRS; | | | | Commission |
| | | | | |
| For-Profit Special | | | | Wireless Bureau |
| Emergency | | | | Applications (ELT) |
| | | | | |
| and Public Safety) | | | | P.O. Box 358994 |
| | | | | |
| (Electronic | | | | Pittsburgh, PA |
| Filing) | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| m\. Assignment of | 603 & | \ | PALM | Federal |
| Authorization | 159 | $55.00 | | Communications |
| | | | | Commission |
| (PMRS & CMRS) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburg, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| n\. Assignment of | 603 & | \ | PALM | Federal |
| Authorization | 159 | $55.00 | | Communications |
| | | | | Commission |
| (PMRS & CMRS) | | | | |
| | | | | Wireless Bureau |
| (Electronic | | | | Applications (ELT) |
| Filing) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| o\. Transfer of | 603 & | \ | PATM | Federal |
| Control | 159 | $55.00 | | Communications |
| | | | | Commission |
| (PMRS & CMRS); | 603-T | | | |
| | & 159 | | | Wireless Bureau |
| Spectrum Leasing | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| p\. Transfer of | 603 & | \ | PATM | Federal |
| Control | 159 | $55.00 | | Communications |
| | | | | Commission |
| (PMRS & CMRS); | 603-T | | | |
| | & 159 | | | Wireless Bureau |
| Spectrum Leasing | | | | Applications (ELT) |
| | | | | |
| (Electronic | | | | P.O. Box 358994 |
| Filing) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| q\. Duplicate | 601 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| r\. Duplicate | 601 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| (Electronic | | | | |
| Filing) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| s\. Special | 601 & | \ | PALM | Federal |
| Temporary | 159 | $55.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| t\. Special | 601 & | \ | PALM | Federal |
| Temporary | 159 | $55.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Electronic | | | | Wireless Bureau |
| Filing) | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| u\. Rule Waiver | 601 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| v\. Rule Waiver | 601 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| w\. Consolidate | 601 & | \ | PALM | Federal |
| Call Signs | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| x\. Consolidate | 601 & | \ | PALM | Federal |
| Call Signs | 159 | $55.00 | | Communications |
| | | | | Commission |
| (Electronic | | | | |
| Filing) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **7. 218-219 MHz | 601 & | \ | PA | Federal |
| (previously | 159 | $55.00 | IR\* | Communications |
| IVDS)** | | | | Commission |
| | | | | |
| a\. New; | | | | Wireless Bureau |
| | | | | Applications |
| Re | | | | |
| newal/Modification | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| b\. New; | 601 & | \ | PA | Federal |
| | 159 | $55.00 | IR\* | Communications |
| Re | | | | Commission |
| newal/Modification | | | | |
| | | | | Wireless Bureau |
| (Electronic | | | | Applications (ELT) |
| Filing) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Modification | 601 & | \ | PAIM | Federal |
| | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| d\. Modification | 601 & | \ | PAIM | Federal |
| | 159 | $55.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| e\. Renewal Only | 601 & | \ | PA | Federal |
| | 159 | $55.00 | IR\* | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburg, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| f\. Renewal | 601 & | \ | PA | Federal |
| | 159 | $55.00 | IR\* | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| g\. Assignment of | 603 & | \ | PAIM | Federal |
| Authorization | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| h\. Assignment of | 603 & | \ | PAIM | Federal |
| Authorization | 159 | $55.00 | | Communications |
| | | | | Commission |
| (Electronic | | | | |
| Filing) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| i\. Transfer of | 603 & | \ | PATM | Federal |
| Control; | 159 | $55.00 | | Communications |
| | | | | Commission |
| Spectrum Leasing | 603-T | | | |
| | & 159 | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| j\. Transfer of | 603 & | \ | PATM | Federal |
| Control; | 159 | $55.00 | | Communication |
| | | | | Commission |
| Spectrum Leasing | 603-T | | | |
| | & 159 | | | Wireless Bureau |
| **(Electronic | | | | Applications (ELT) |
| Filing)** | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| k\. Duplicate | 601 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| l\. Duplicate | 601 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| **(Electronic | | | | |
| Filing)** | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| m\. Special | 601 & | \ | PAIM | Federal |
| Temporary | 159 | $55.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| n\. Special | 601 & | \ | PAIM | Federal |
| Temporary | 159 | $55.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| **(Electronic | | | | Wireless Bureau |
| Filing)** | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **8. General | 605 & | \ | PA | Federal |
| Mobile Radio | 159 | $55.00 | ZR\* | Communications |
| (GMRS)** | | | | Commission |
| | | | | |
| a\. New; | | | | Wireless Bureau |
| | | | | Applications |
| Re | | | | |
| newal/Modification | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| b\. New; | 605 & | \ | PA | Federal |
| | 159 | $55.00 | ZR\* | Communications |
| Re | | | | Commission |
| newal/Modification | | | | |
| | | | | Wireless Bureau |
| **(Electronic | | | | Applications (ELT) |
| Filing)** | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Modification | 605 & | \ | PAZM | Federal |
| | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| d\. Modification | 605 & | \ | PAZM | Federal |
| | 159 | $55.00 | | Communications |
| **(Electronic | | | | Commission |
| Filing)** | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| e\. Renewal Only | 605 & | \ | PA | Federal |
| | 159 | $55.00 | ZR\* | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| f\. Renewal | 605 & | \ | PA | Federal |
| | 159 | $55.00 | ZR\* | Communications |
| **(Electronic | | | | Commission |
| Filing)** | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| g\. Duplicate | 605 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| h\. Duplicate | 605 & | \$5500 | PADM | Federal |
| License | 159 | | | Communications |
| | | | | Commission |
| **(Electronic | | | | |
| Filing)** | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| I. Special | 605 & | \ | PAZM | Federal |
| Temporary | 159 | $55.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| j\. Special | 605 & | \ | PAZM | Federal |
| Temporary | 159 | $55.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| **(Electronic | | | | Wireless Bureau |
| Filing)** | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| k\. Rule Waiver | 605 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| l\. Rule Waiver | 605 & | \$ | PDWM | Federal |
| | 159 | 155.00 | | Communications |
| **(Electronic | | | | Commission |
| Filing)** | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **9. Restricted | 605 & | \ | PARR | Federal |
| Radiotelephone** | 159 | $55.00 | | Communications |
| | | | | Commission |
| a\. New (Lifetime | 605 & | | | |
| Permit) | 159 | | | Wireless Bureau |
| | | | | Applications |
| New (Limited Use) | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| b\. | 605 & | \ | PADM | Federal |
| Dup | 159 | $55.00 | | Communications |
| licate/Replacement | | | | Commission |
| Permit | 605& | | | |
| | 159 | | | Wireless Bureau |
| Dup | | | | Applications |
| licate/Replacement | | | | |
| Permit | | | | P.O. Box 358130 |
| | | | | |
| (Limited Use) | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| **10. Commercial | 605 & | \ | PACS | Federal |
| Radio Operator** | 159 | $55.00 | | Communications |
| | | | | Commission |
| a\. Renewal Only; | | | | |
| Renewal/ | | | | Wireless Bureau |
| | | | | Applications |
| Modification | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| b\. Duplicate | 605 & | \ | PADM | Federal |
| | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| **11. Hearing** | Corres | \$9, | PFHM | Federal |
| | & 159 | 920.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| **12. Common | 601 & | \$ | CJ | Federal |
| Carrier | 159 | 230.00 | PR\* | Communications |
| Microwave** | | | | Commission |
| | | | | |
| (Pt. To Pt., Local | | | | Wireless Bureau |
| TV Trans. & | | | | Applications (ELT) |
| | | | | |
| Millimeter Wave | | | | P.O. Box 358994 |
| Service) | | | | |
| | | | | Pittsburgh, PA |
| a\. New; | | | | 15251-5994 |
| | | | | |
| Re | | | | |
| newal/Modification | | | | |
| | | | | |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Modification; | 601 & | \$ | CJPM | Federal |
| | 159 | 230.00 | | Communications |
| Consolidate Call | | | | Commission |
| Signs | | | | |
| | | | | Wireless Bureau |
| (Electronic Filing | | | | Applications (ELT) |
| Required) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Renewal | 601 & | \$ | CJ | Federal |
| | 159 | 230.00 | PR\* | Communications |
| (Electronic Filing | | | | Commission |
| Required) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| d\. Assignment of | 603 & | \ | CCPM | Federal |
| Authorization; | 159 | $85.00 | | Communications |
| | | | CAPM | Commission |
| Transfer of | 603-T | \ | | |
| Control; | & 159 | $55.00 | | Wireless Bureau |
| | | | | Applications (ELT) |
| Spectrum Leasing | 603 | | | |
| | /603-T | | | P.O. Box 358994 |
| Additional | & 159 | | | |
| Stations | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| e\. Duplicate | 601 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| (Electronic Filing | | | | |
| Required) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| f\. Extension of | 601 & | \ | CCPM | Federal |
| Construction | 159 | $85.00 | | Communications |
| | | | | Commission |
| Authority | | | | |
| | | | | Wireless Bureau |
| (Electronic Filing | | | | Applications (ELT) |
| Required) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| g\. Special | 601 & | \$ | CEPM | Federal |
| Temporary | 159 | 105.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| h\. Special | 601 & | \$ | CEPM | Federal |
| Temporary | 159 | 105.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Electronic | | | | Wireless Bureau |
| Filing) | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **13. Common | 601 & | \$ | CJ | Federal |
| Carrier | 159 | 230.00 | LR\* | Communications |
| Microwave** | | | | Commission |
| | | | | |
| **(DEMS)** | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| a\. New; | | | | |
| Re | | | | P.O. Box 358994 |
| newal/Modification | | | | |
| | | | | Pittsburgh, PA |
| (Electronic Filing | | | | 15251-5994 |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Modification; | 601 & | \$ | CJLM | Federal |
| | 159 | 230.00 | | Communications |
| Consolidate Call | | | | Commission |
| Signs | | | | |
| | | | | Wireless Bureau |
| (Electronic Filing | | | | Applications (ELT) |
| Required) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Renewal | 601 & | \$ | CJ | Federal |
| | 159 | 230.00 | LR\* | Communications |
| (Electronic Filing | | | | Commission |
| Required) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| d\. Assignment of | 603 & | \ | CCLM | Federal |
| Authorization; | 159 | $85.00 | | Communications |
| | | | CALM | Commission |
| Transfer of | 603-T | \ | | |
| Control; | & 159 | $55.00 | | Wireless Bureau |
| | | | | Applications (ELT) |
| Spectrum Leasing | 603 | | | |
| | /603-T | | | P.O. Box 358994 |
| Additional | & 159 | | | |
| Stations | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| e\. Duplicate | 601 & | \ | PADM | Federal |
| License | 159 | $55.00 | | Communications |
| | | | | Commission |
| (Electronic Filing | | | | |
| Required) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| f\. Extension of | 601 & | \ | CCLM | Federal |
| Construction | 159 | $85.00 | | Communications |
| | | | | Commission |
| Authority | | | | |
| | | | | Wireless Bureau |
| (Electronic Filing | | | | Applications (ELT) |
| Required) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| g\. Special | 601 & | \$ | CELM | Federal |
| Temporary | 159 | 105.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| h\. Special | 601 & | \$ | CELM | Federal |
| Temporary | 159 | 105.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Electronic | | | | Wireless Bureau |
| Filing) | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **14. Broadcast | 601 & | \$ | MEA | Federal |
| Auxiliary** | 159 | 125.00 | | Communications |
| | | | | Commission |
| **(Aural and TV | | | | |
| Microwave)** | | | | Wireless Bureau |
| | | | | Applications |
| a\. New; | | | | |
| Modification; | | | | P.O. Box 358130 |
| | | | | |
| Re | | | | Pittsburgh, PA |
| newal/Modification | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| b\. New; | 601 & | \$ | MEA | Federal |
| Modification; | 159 | 125.00 | | Communications |
| | | | | Commission |
| Re | | | | |
| newal/Modification | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Electronic | | | | |
| Filing) | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Special | 601 & | \$ | MGA | Federal |
| Temporary | 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| d\. Special | 601 & | \$ | MGA | Federal |
| Temporary | 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Electronic | | | | Wireless Bureau |
| Filing) | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| e\. Renewal Only | 601 & | \ | MAA | Federal |
| | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| f\. Renewal | 601 & | \ | MAA | Federal |
| | 159 | $55.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **15. Broadcast | 601 & | \$ | MEA | Federal |
| Auxiliary** | 159 | 125.00 | | Communications |
| | | | | Commission |
| **(Remote and Low | | | | |
| Power** | | | | Wireless Bureau |
| | | | | Applications |
| a\. New; | | | | |
| Modification | | | | P.O. Box 358130 |
| | | | | |
| Re | | | | Pittsburgh, PA |
| newal/Modification | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| b\. New; | 601 & | \$ | MEA | Federal |
| Modification | 159 | 125.00 | | Communications |
| | | | | Commission |
| Re | | | | |
| newal/Modification | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Electronic | | | | |
| Filing) | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Renewal Only | 601 & | \ | MAA | Federal |
| | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358245 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5245 |
+--------------------+--------+--------+------+----------------------+
| d\. Renewal | 601 & | \ | MAA | Federal |
| | 159 | $55.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| e\. Special | 601 & | \$ | MGA | Federal |
| Temporary | 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| f\. Special | 601 & | \$ | MGA | Federal |
| Temporary | 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Electronic | | | | Wireless Bureau |
| Filing) | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **16. Pt 22 Paging | 601 & | \$ | CMD | Federal |
| & Radiotelephone** | 159 | 340.00 | | Communications |
| | | | | Commission |
| a\. New; Major | | | | |
| Mod; Additional | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| Facility; Major | | | | |
| Amendment; | | | | P.O. Box 358994 |
| | | | | |
| Major Renewal/Mod; | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
| Fill in | | | | |
| Transmitter | | | | |
| | | | | |
| (Per Transmitter) | | | | |
| | | | | |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Minor Mod; | 601 & | \ | CAD | Federal |
| Renewal; | 159 | $55.00 | | Communications |
| | | | | Commission |
| Minor Renewal/Mod; | | | | |
| | | | | Wireless Bureau |
| (Per Call Sign) | | | | Applications (ELT) |
| | | | | |
| 900 MHz Nationwide | | | | P.O. Box 358994 |
| Renewal | | | | |
| | | | | Pittsburgh, PA |
| Net Organ; New | | | | 15251-5994 |
| Operator | | | | |
| | | | | |
| (Per Operator/Per | | | | |
| City | | | | |
| | | | | |
| Notice of | | | | |
| Completion of | | | | |
| | | | | |
| Construction or | | | | |
| Extension | | | | |
| | | | | |
| of Time to | | | | |
| Construct | | | | |
| | | | | |
| (Per Application | | | | |
| | | | | |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| c\. Auxiliary Test | 601 & | \$ | CLD | Federal |
| | 159 | 295.00 | | Communications |
| (Per Transmitter); | | | | Commission |
| | | | | |
| Consolidate Call | | | | Wireless Bureau |
| Signs | | | | Applications (ELT) |
| | | | | |
| (Per Call Sign | | | | P.O. Box 358994 |
| | | | | |
| (Electronic Filing | | | | Pittsburgh, PA |
| Required) | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| d\. Special | 601 & | \$ | CLD | Federal |
| Temporary | 159 | 295.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Per Location/Per | | | | Wireless Bureau |
| Frequency) | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| e\. Special | 601 & | \$ | CLD | Federal |
| Temporary | 159 | 295.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Per Location/Per | | | | Wireless Bureau |
| Frequency) | | | | Applications (ELT) |
| | | | | |
| (Electronic | | | | P.O. Box 358994 |
| Filing) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| f\. Assignment of | 603 & | \$ | CMD | Federal |
| License or | 159 | 340.00 | | Communications |
| | | | CAD | Commission |
| Transfer of | 603-T | \ | | |
| Control; | & 159 | $55.00 | | Wireless Bureau |
| | | | | Applications (ELT) |
| Spectrum Leasing | 603 | | | |
| | /603-T | | | P.O. Box 358994 |
| (Full or Partial) | & 159 | | | |
| | | | | Pittsburgh, PA |
| (Per First Call | | | | 15251-5994 |
| Sign); | | | | |
| | | | | |
| Additional Call | | | | |
| Signs | | | | |
| | | | | |
| (Per Call Signs) | | | | |
| | | | | |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| g\. Subsidiary | 601 & | \$ | CFD | Federal |
| Comm. Service | 159 | 150.00 | | Communications |
| | | | | Commission |
| (Per Request) | | | | |
| | | | | Wireless Bureau |
| (Electronic Filing | | | | Applications (ELT) |
| Required) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| h\. Air Ground | 409 & | \ | CAD | Federal |
| Individual | 159 | $55.00 | | Communications |
| | | | | Commission |
| (Initial License; | | | | |
| Mod; Renewal | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Per Station) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **17. Cellular** | 601 & | \$ | CMC | Federal |
| | 159 | 340.00 | | Communications |
| a\. New; Major | | | | Commission |
| Mod; Additional | | | | |
| | | | | Wireless Bureau |
| Facility; Major | | | | Applications (ELT) |
| Renewal/Mod | | | | |
| | | | | P.O. Box 358994 |
| (Per Call Sign) | | | | |
| | | | | Pittsburgh, PA |
| (Electronic Filing | | | | 15251-5994 |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Minor | 601 & | \ | CDC | Federal |
| Modification; | 159 | $90.00 | | Communications |
| | | | | Commission |
| Minor Renewal/Mod | | | | |
| | | | | Wireless Bureau |
| (Per Call Sign | | | | Applications (ELT) |
| | | | | |
| (Electronic Filing | | | | P.O. Box 358994 |
| Required) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Assignment of | 603 & | \$ | CMC | Federal |
| License; | 159 | 340.00 | | Communications |
| | | | | Commission |
| Transfer of | 603-T | | | |
| Control | & 159 | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Full or Partial) | | | | |
| | | | | P.O. Box 358994 |
| (Per Call Sign) | | | | |
| | | | | Pittsburgh, PA |
| Spectrum Leasing | | | | 15251-5994 |
| | | | | |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| d\. Notice of | 601 & | \ | CAC | Federal |
| Extension of Time | 159 | $55.00 | | Communications |
| | | | | Commission |
| to Complete | | | | |
| Construction; | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Per Request) | | | | |
| | | | | P.O. Box 358994 |
| Renewal | | | | |
| | | | | Pittsburgh, PA |
| (Per Call Sign) | | | | 15251-5994 |
| | | | | |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| e\. Special | 601 & | \$ | CLC | Federal |
| Temporary | 159 | 295.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Per Request) | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| f\. Special | 601 & | \$ | CLC | Federal |
| Temporary | 159 | 295.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Per Request) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Electronic | | | | |
| Filing) | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| g\. Combining | 601 & | \ | CBC | Federal |
| Cellular | 159 | $75.00 | | Communications |
| Geographic | | | | Commission |
| | | | | |
| Areas | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Per Area) | | | | |
| | | | | P.O. Box 358994 |
| (Electronic Filing | | | | |
| Required) | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **18. Rural | 601 & | \$ | CG | Federal |
| Radio** | 159 | 155.00 | RR\* | Communications |
| | | | | Commission |
| a\. New; Major | | | | |
| Renew/Mod; | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| Additional | | | | |
| Facility | | | | P.O. Box 358994 |
| | | | | |
| (Per Transmitter) | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Major Mod; | 601 & | \$ | CGRM | Federal |
| | 159 | 155.00 | | Communications |
| Major Amendment | | | | Commission |
| | | | | |
| (Per Transmitter) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Electronic Filing | | | | |
| Required) | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Minor | 601 & | \ | CARM | Federal |
| Modification; | 159 | $55.00 | | Communications |
| | | | | Commission |
| (Per Transmitter) | | | | |
| | | | | Wireless Bureau |
| (Electronic Filing | | | | Applications (ELT) |
| Required) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| d\. Assignment of | 603 & | \$ | CGRM | Federal |
| License; | 159 | 155.00 | | Communications |
| | | | CARM | Commission |
| Transfer of | 603-T | \ | | |
| Control | & 159 | $55.00 | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Full or Partial) | 603 | | | |
| | /603-T | | | P.O. Box 358994 |
| (Per Call Sign) | & 159 | | | |
| | | | | Pittsburgh, PA |
| Spectrum Leasing | | | | 15251-5994 |
| | | | | |
| Additional Calls | | | | |
| | | | | |
| (Per Call Sign) | | | | |
| | | | | |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| e\. Renewal | 601 & | \ | CA | Federal |
| | 159 | $55.00 | RR\* | Communications |
| (Per Call Sign); | | | | Commission |
| | | | | |
| Minor Renewal/Mod | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Per Transmitter) | | | | |
| | | | | P.O. Box 358994 |
| (Electronic Filing | | | | |
| Required) | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| f\. Notice of | 601 & | \ | CARM | Federal |
| Completion of | 159 | $55.00 | | Communications |
| | | | | Commission |
| Construction or | | | | |
| Extension of | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| Time to Construct | | | | |
| | | | | P.O. Box 358994 |
| (Per Application) | | | | |
| | | | | Pittsburgh, PA |
| (Electronic Filing | | | | 15251-5994 |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| g\. Special | 601 & | \$ | CLRM | Federal |
| Temporary | 159 | 295.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Per Transmitter) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| h\. Special | 601 & | \$ | CLRM | Federal |
| Temporary | 159 | 295.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Per Transmitter) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Electronic Filing | | | | |
| Required) | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| I. Combining Call | 601 & | \$ | CLRM | Federal |
| Signs | 159 | 295.00 | | Communications |
| | | | | Commission |
| (Per Call Sign) | | | | |
| | | | | Wireless Bureau |
| (Electronic Filing | | | | Applications (ELT) |
| Required) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| j\. Auxiliary Test | 601 & | \$ | CLRM | Federal |
| Station | 159 | 295.00 | | Communications |
| | | | | Commission |
| (Per Transmitter) | | | | |
| | | | | Wireless Bureau |
| (Electronic Filing | | | | Applications (ELT) |
| Required) | | | | |
| | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **19. Offshore | 601 & | \$ | CGF | Federal |
| Radio** | 159 | 155.00 | | Communications |
| | | | | Commission |
| a\. New; Major | | | | |
| Mod; Additional | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| Facility; Major | | | | |
| Amendment; | | | | P.O. Box 358994 |
| | | | | |
| Major Renew/Mod; | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
| Fill in | | | | |
| Transmitters | | | | |
| | | | | |
| (Per Transmitter) | | | | |
| | | | | |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Consolidate | 601 & | \$ | CLF | Federal |
| Call Signs | 159 | 295.00 | | Communications |
| | | | | Commission |
| (Per Call Sign); | | | | |
| | | | | Wireless Bureau |
| Auxiliary Test | | | | Applications (ELT) |
| | | | | |
| (Per Transmitter) | | | | P.O. Box 358994 |
| | | | | |
| (Electronic Filing | | | | Pittsburgh, PA |
| Required) | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| c\. Minor | 601 & | \ | CAF | Federal |
| Modification; | 159 | $55.00 | | Communications |
| | | | | Commission |
| Minor | | | | |
| Re | | | | Wireless Bureau |
| newal/Modification | | | | Applications (ELT) |
| | | | | |
| (Per Transmitter); | | | | P.O. Box 358994 |
| | | | | |
| Notice of | | | | Pittsburgh, PA |
| Completion of | | | | 15251-5994 |
| | | | | |
| Construction or | | | | |
| Extension | | | | |
| | | | | |
| of Time to | | | | |
| Construct | | | | |
| | | | | |
| (Per Application); | | | | |
| | | | | |
| Renewal (Per Call | | | | |
| Sign) | | | | |
| | | | | |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| d\. Assignment of | 603 & | \$ | CGF | Federal |
| License; | 159 | 155.00 | | Communications |
| | | | CGF | Commission |
| Transfer of | 603-T | \$ | | |
| Control | & 159 | 155.00 | CAF | Wireless Bureau |
| | | | | Applications (ELT) |
| (Full or Partial) | 603 | \ | | |
| | /603-T | $55.00 | | P.O. Box 358994 |
| Spectrum Leasing | & 159 | | | |
| | | | | Pittsburgh, PA |
| Additional Calls | | | | 15251-5994 |
| | | | | |
| (Electronic Filing | | | | |
| Required) | | | | |
+--------------------+--------+--------+------+----------------------+
| e\. Special | 601 & | \$ | CLF | Federal |
| Temporary | 159 | 295.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Per Transmitter) | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| f\. Special | 601 & | \$ | CLF | Federal |
| Temporary | 159 | 295.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (Per Transmitter) | | | | Wireless Bureau |
| | | | | Applications (ELT) |
| (Electronic Filing | | | | |
| Required) | | | | P.O. Box 358994 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5994 |
+--------------------+--------+--------+------+----------------------+
| **20. Multipoint | 304 & | \$ | CJM | Federal |
| Distribution | 159 | 230.00 | | Communications |
| Service** | | | | Commission |
| | or | | | |
| (Including | | | | Wireless Bureau |
| Multi-channel MDS) | 331 & | | | Applications |
| | 159 | | | |
| a\. Conditional | | | | P.O. Box 358130 |
| License | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| b\. Major | 304 & | \$ | CJM | Federal |
| Modification of | 159 | 230.00 | | Communications |
| | | | | Commission |
| Conditional | or | | | |
| Licenses or | | | | Wireless Bureau |
| | 331 & | | | Applications |
| License | 159 | | | |
| Authorization | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| c\. Certification | 304-A | \$ | C | Federal |
| of Completion | & | 670.00 | PM\* | Communications |
| | | | | Commission |
| of Construction | 159 | | | |
| | | | | Wireless Bureau |
| (Per Channel) | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| d\. License | 405 & | \$ | CJM | Federal |
| Renewal | 159 | 230.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box |
| | | | | 358245358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-52455130 |
+--------------------+--------+--------+------+----------------------+
| e\. Assignment or | 702305 | \ | CCM | Federal |
| Transfer | & 159 | $85.00 | | Communications |
| | | | CAM | Commission |
| \(i\) First | or | \ | | |
| Station on | | $55.00 | | Wireless Bureau |
| | 704306 | | | Applications |
| Application | & 159 | | | |
| | | | | P.O. Box 358130 |
| \(ii\) Each | 702305 | | | |
| Additional | & 159 | | | Pittsburgh, PA |
| | | | | 15251-5130 |
| Station | or | | | |
| | | | | |
| | 704306 | | | |
| | & 159 | | | |
+--------------------+--------+--------+------+----------------------+
| f\. Extension of | 701 & | \$ | CHM | Federal |
| Construction | 159 | 195.00 | | Communications |
| | | | | Commission |
| Authorization | | | | |
| | | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| g\. Special | Corres | \$ | CEM | Federal |
| Temporary | & 159 | 105.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| or Request for | | | | Wireless Bureau |
| Waiver of | | | | Applications |
| | | | | |
| Prior Construction | | | | P.O. Box |
| | | | | 358155358130 |
| Authorization | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-51555130 |
+--------------------+--------+--------+------+----------------------+
| h\. Signal Booster | 304 & | \ | CSB | Federal |
| | 159 | $75.00 | | Communications |
| \(I\) Application | | | | Commission |
| | 331 & | | | |
| | 159 | | | Wireless Bureau |
| | | | | Applications |
| | | | | |
| | | | | P.O. Box 358130 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) | 304A & | \ | CCB | Federal |
| Certification of | 159 | $85.00 | | Communications |
| | | | | Commission |
| Completion of | | | | |
| | | | | Wireless Bureau |
| Construction | | | | Applications |
| | | | | |
| **(Electronic | | | | P.O. Box 358130 |
| Filing Only)** | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
| **21. | Corres | \$5, | CALA | Federal |
| Communication | & 159 | 210.00 | | Communications |
| Assistance** | | | | Commission |
| | | | | |
| **for Law | | | | Wireless Bureau |
| Enforcement** | | | | Applications |
| | | | | |
| **(CALEA)** | | | | P.O. Box 358130 |
| | | | | |
| **Petitions** | | | | Pittsburgh, PA |
| | | | | 15251-5130 |
+--------------------+--------+--------+------+----------------------+
3. **Section 1.1103 is revised to read as follows:**
> **[§1.1103 Schedule of charges for equipment approval, experimental
> radio services, and international telecommunications settlement
> services]{.underline}**.
+--------------------+--------+--------+------+----------------------+
| **Service** | **FCC | * | **P | **Address** |
| | Form | *Fee** | ayme | |
| | No.** | | nt** | |
| | | **Am | | |
| | | ount** | **Ty | |
| | | | pe** | |
| | | | | |
| | | | **Co | |
| | | | de** | |
+====================+========+========+======+======================+
| **1. | 731 & | \$ | EEC | Federal |
| Certification** | 159 | 420.00 | | Communications |
| | | | | Commission |
| a\. Receivers | | | | |
| (except TV and FM) | | | | Equipment Approval |
| | | | | Services |
| **(Electronic | | | | |
| Filing Only)** | | | | P.O. Box 358315 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5315 |
+--------------------+--------+--------+------+----------------------+
| b\. Devices Under | 731 & | \$1, | EGC | Federal |
| Parts 11, 15 & | 159 | 080.00 | | Communications |
| | | | | Commission |
| 18 (except | | | | |
| receivers) | | | | Equipment Approval |
| | | | | Services |
| **(Electronic | | | | |
| Filing Only)** | | | | P.O. Box 358315 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5315 |
+--------------------+--------+--------+------+----------------------+
| c\. All Other | 731 & | \$ | EFT | Federal |
| Devices | 159 | 545.00 | | Communications |
| | | | | Commission |
| **(Electronic | | | | |
| Filing Only)** | | | | Equipment Approval |
| | | | | Services |
| | | | | |
| | | | | P.O. Box 358315 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5315 |
+--------------------+--------+--------+------+----------------------+
| d\. Modifications | 731 & | \ | EAC | Federal |
| and Class II | 159 | $55.00 | | Communications |
| | | | | Commission |
| Permissive Changes | | | | |
| | | | | Equipment Approval |
| **(Electronic | | | | Services |
| Filing Only)** | | | | |
| | | | | P.O. Box 358315 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5315 |
+--------------------+--------+--------+------+----------------------+
| e\. Request for | 731 & | \$ | EBC | Federal |
| Confidentiality | 159 | 155.00 | | Communications |
| | | | | Commission |
| under | | | | |
| Certification | | | | Equipment Approval |
| | | | | Services |
| **(Electronic | | | | |
| Filing Only)** | | | | P.O. Box 358315 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5315 |
+--------------------+--------+--------+------+----------------------+
| f\. Modification | 731 & | \$ | ECC | Federal |
| and.. Class III | 159 | 545.00 | | Communications |
| | | | | Commission |
| Permissive Changes | | | | |
| | | | | Equipment Approval |
| **(Electronic | | | | Services |
| Filing Only)** | | | | |
| | | | | P.O. Box 358315 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5315 |
+--------------------+--------+--------+------+----------------------+
| **2. Advance | Corres | \$3, | EIS | Federal |
| approval** | & 159 | 310.00 | | Communications |
| | | | | Commission |
| **of | | | | |
| Subscription** | | | | Equipment Approval |
| | | | | Services |
| **TV Systems** | | | | |
| | | | | P.O. Box 358315 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5315 |
+--------------------+--------+--------+------+----------------------+
| a\. Request for | Corres | \$ | EBS | Federal |
| Confidentiality | & 159 | 155.00 | | Communications |
| | | | | Commission |
| **(Electronic | | | | |
| Filing Only)** For | | | | Equipment Approval |
| Advance Approval | | | | Services |
| of | | | | |
| | | | | P.O. Box 358315 |
| Subscription TV | | | | |
| Systems | | | | Pittsburgh, PA |
| | | | | 15251-5315 |
+--------------------+--------+--------+------+----------------------+
| **3. Assignment of | Corres | \ | EAG | Federal |
| Grantee Code** | & 159 | $55.00 | | Communications |
| | | | | Commission |
| a\. New Applicants | or | | | |
| for all | | | | Equipment Approval |
| | op | | | Services |
| Application Types, | tional | | | |
| except | elec | | | P.O. Box 358315 |
| | tronic | | | |
| Subscription TV | filing | | | Pittsburgh, PA |
| | & 159 | | | 15251-5315 |
| **(Electronic | | | | |
| Filing Optional)** | | | | |
+--------------------+--------+--------+------+----------------------+
| **4. Experimental | 442 & | \ | EAE | Federal |
| Radio Service** | 159 | $55.00 | | Communications |
| | | | | Commission |
| a\. New Station | | | | |
| Authorization | | | | Equipment Radio |
| | | | | Services |
| | | | | |
| | | | | P.O. Box 358320 |
| | | | | |
| | | | | Pittsburg, PA |
| | | | | 15251-5320 |
+--------------------+--------+--------+------+----------------------+
| b\. Modification | 442 & | \ | EAE | Federal |
| of Authorization | 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Equipment Radio |
| | | | | Services |
| | | | | |
| | | | | P.O. Box 358320 |
| | | | | |
| | | | | Pittsburg, PA |
| | | | | 15251-5320 |
+--------------------+--------+--------+------+----------------------+
| c\. Renewal of | 405 & | \ | EAE | Federal |
| Station | 159 | $55.00 | | Communications |
| | | | | Commission |
| Authorization | | | | |
| | | | | Equipment Radio |
| | | | | Services |
| | | | | |
| | | | | P.O. Box 358320 |
| | | | | |
| | | | | Pittsburg, PA |
| | | | | 15251-5320 |
+--------------------+--------+--------+------+----------------------+
| d\. Assignment of | 702 & | \ | EAE | Federal |
| Transfer of | 159 | $55.00 | | Communications |
| | | | | Commission |
| Control | or | | | |
| | | | | Equipment Radio |
| | 703 & | | | Services |
| | 159 | | | |
| | | | | P.O. Box 358320 |
| | | | | |
| | | | | Pittsburg, PA |
| | | | | 15251-5320 |
+--------------------+--------+--------+------+----------------------+
| e\. Special | Corres | \ | EAE | Federal |
| Temporary | & 159 | $55.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Equipment Radio |
| | | | | Services |
| | | | | |
| | | | | P.O. Box 358320 |
| | | | | |
| | | | | Pittsburg, PA |
| | | | | 15251-5320 |
+--------------------+--------+--------+------+----------------------+
| f\. Additional fee | Corres | \ | EAE | Federal |
| required | & 159 | $55.00 | | Communications |
| | | | | Commission |
| for any of the | | | | |
| above | | | | Equipment Radio |
| | | | | Services |
| applications that | | | | |
| request | | | | P.O. Box 358320 |
| | | | | |
| withholding from | | | | Pittsburg, PA |
| public | | | | 15251-5320 |
| | | | | |
| inspection | | | | |
+--------------------+--------+--------+------+----------------------+
| **5. | 99 & | \$2.00 | IAT | Federal |
| International** | 159 | | | Communications |
| | | | | Commission |
| **Te | | | | |
| lecommunications** | | | | International |
| | | | | Telecommunications |
| | | | | |
| | | | | Settlements |
| | | | | |
| | | | | P.O. Box 358001 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5001 |
+--------------------+--------+--------+------+----------------------+
4. **Section 1.1104 is revised to read as follows:**
> **[§1.1104 Schedule of charges for applications and other filings for
> media services]{.underline}**.
>
> **Those services designated with an asterisk in the Payment Type Code
> column accept multiples if filing in the same post office box.**
+--------------------+--------+--------+------+----------------------+
| **Service** | **FCC | * | **P | **Address** |
| | Form | *Fee** | ayme | |
| | No.** | | nt** | |
| | | **Am | | |
| | | ount** | **Ty | |
| | | | pe** | |
| | | | | |
| | | | **Co | |
| | | | de** | |
+====================+========+========+======+======================+
| **1. Commercial TV | 301 & | \$3, | MVT | Federal |
| Services** | 159 | 720.00 | | Communications |
| | | | | Commission |
| a\. New and Major | 301-CA | | | |
| Change | & | | | Media Services |
| | | | | |
| Construction | 159 | | | P.O. Box 358165 |
| Permits | | | | |
| | | | | Pittsburgh, PA |
| (per application) | | | | 15251-5165 |
| | | | | |
| (Electronic | | | | |
| Filing) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Minor Change | 301 & | \$ | MPT | Federal |
| | 159 | 830.00 | | Communications |
| (per application) | | | | Commission |
| | 301-CA | | | |
| (Electronic | & | | | Media Services |
| Filing) | | | | |
| | 159 | | | P.O. Box 358165 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5165 |
+--------------------+--------+--------+------+----------------------+
| c\. Main Studio | Corres | \$ | MPT | Federal |
| Request | & 159 | 830.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358165 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5165 |
+--------------------+--------+--------+------+----------------------+
| d\. New License | 302-TV | \$ | MJT | Federal |
| | & | 250.00 | | Communications |
| (per application) | | | | Commission |
| | 159 | | | |
| | | | | Media Services |
| | 302-CA | | | |
| | & | | | P.O. Box 358165 |
| | | | | |
| | 159 | | | Pittsburgh, PA |
| | | | | 15251-5165 |
| | 3 | | | |
| | 02-DTV | | | |
| | & | | | |
| | | | | |
| | 159 | | | |
+--------------------+--------+--------+------+----------------------+
| e\. License | 303-S | \$ | MGT | Federal |
| Renewal | & | 150.00 | | Communications |
| | | | | Commission |
| (per application) | 159 | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358165 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5165 |
+--------------------+--------+--------+------+----------------------+
| f\. License | 314 & | \$ | M | Federal |
| Assignment | 159 | 830.00 | PT\* | Communications |
| | | | | Commission |
| \(I\) Long Form | | | | |
| | | | | Media Services |
| (Electronic | | | | |
| Filing) | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Short Form | 316 & | \$ | M | Federal |
| | 159 | 120.00 | DT\* | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| g\. Transfer of | 315 & | \$ | M | Federal |
| Control | 159 | 830.00 | PT\* | Communications |
| | | | | Commission |
| \(I\) Long Form | | | | |
| | | | | Media Services |
| (Electronic | | | | |
| Filing) | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Short Form | 316 & | \$ | M | Federal |
| | 159 | 120.00 | DT\* | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| h\. Hearing(New | Corres | \$9, | MWT | Federal |
| and Major/Minor | & 159 | 920.00 | | Communications |
| | | | | Commission |
| Change, | | | | |
| Comparative | | | | Media Services |
| | | | | |
| Construction | | | | P.O. Box 358170 |
| Permit) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5170 |
+--------------------+--------+--------+------+----------------------+
| i\. Call Sign | 380 & | \ | MBT | Federal |
| | 159 | $85.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358165 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5165 |
+--------------------+--------+--------+------+----------------------+
| j\. Special | Corres | \$ | MGT | Federal |
| Temporary | & 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358165 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5165 |
+--------------------+--------+--------+------+----------------------+
| k\. Petition for | 301 & | \$2, | MRT | Federal |
| Rulemaking for | 159 | 300.00 | | Communications |
| | | | | Commission |
| New Community of | 302-TV | | | |
| License | & | | | Media Services |
| | | | | |
| | 159 | | | P.O. Box 358165 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5165 |
+--------------------+--------+--------+------+----------------------+
| l\. Ownership | 323 & | \ | MAT | Federal |
| Report | 159 | $55.00 | | Communications |
| | | | | Commission |
| | Corres | | | |
| | & | | | Media Services |
| | | | | |
| | 159 | | | P.O. Box 358180 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5180 |
+--------------------+--------+--------+------+----------------------+
| **2. Commercial AM | 301 & | \$3, | MUR | Federal |
| Radio** | 159 | 310.00 | | Communications |
| | | | | Commission |
| **Stations** | | | | |
| | | | | Media Services |
| a\. New or Major | | | | |
| Change | | | | P.O. Box 358190 |
| | | | | |
| Construction | | | | Pittsburgh, PA |
| Permit | | | | 15251-5190 |
| | | | | |
| **(Electronic | | | | |
| Filing)** | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Minor Change | 301 & | \$ | MPR | Federal |
| | 159 | 830.00 | | Communications |
| (per application) | | | | Commission |
| | | | | |
| **(Electronic | | | | Media Services |
| Filing)** | | | | |
| | | | | P.O. Box 358190 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5190 |
+--------------------+--------+--------+------+----------------------+
| c\. Main Studio | Corres | \$ | MPR | Federal |
| Request | & 159 | 830.00 | | Communications |
| | | | | Commission |
| (per request) | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358190 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5190 |
+--------------------+--------+--------+------+----------------------+
| d\. New License | 302-AM | \$ | MMR | Federal |
| | & | 545.00 | | Communications |
| (per application) | | | | Commission |
| | 159 | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358190 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5190 |
+--------------------+--------+--------+------+----------------------+
| e\. AM Directional | 302-AM | \$ | MOR | Federal |
| Antenna | & | 625.00 | | Communications |
| | | | | Commission |
| (per application) | 159 | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358190 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5190 |
+--------------------+--------+--------+------+----------------------+
| f\. AM Remote | 301 & | \ | MAR | Federal |
| Control | 159 | $55.00 | | Communications |
| | | | | Commission |
| (per application) | | | | |
| | | | | Media Services |
| **(Electronic | | | | |
| Filing)** | | | | P.O. Box 358190 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5190 |
+--------------------+--------+--------+------+----------------------+
| g\. License | 303-S | \$ | MGR | Federal |
| Renewal | & | 150.00 | | Communications |
| | | | | Commission |
| (per application) | 159 | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358190 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5190 |
+--------------------+--------+--------+------+----------------------+
| h\. License | 314 & | \$ | M | Federal |
| Assignment | 159 | 830.00 | PR\* | Communications |
| | | | | Commission |
| \(i\) Long Form | | | | |
| | | | | Media Services |
| **(Electronic | | | | |
| Filing)** | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Short Form | 316 & | \$ | M | Federal |
| | 159 | 120.00 | DR\* | Communications |
| **(Electronic | | | | Commission |
| Filing)** | | | | |
| | | | | Mass Media Services |
| | | | | |
| | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| i\. Transfer of | 315 & | \$ | M | Federal |
| Control | 159 | 830.00 | PR\* | Communications |
| | | | | Commission |
| \(i\) Long Form | | | | |
| | | | | Media Services |
| **(Electronic | | | | |
| Filing)** | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Short Form | 316 & | \$ | M | Federal |
| | 159 | 120.00 | DR\* | Communications |
| **(Electronic | | | | Commission |
| Filing)** | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| j\. Hearing (New | Corres | \$9, | MWR | Federal |
| or Major/Minor | & 159 | 920.00 | | Communications |
| | | | | Commission |
| Change, | | | | |
| Comparative | | | | Media Services |
| | | | | |
| Construction | | | | P.O. Box 358170 |
| Permit Hearings) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5170 |
+--------------------+--------+--------+------+----------------------+
| k\. Call Sign | 380 & | \ | MBR | Federal |
| | 159 | $85.00 | | Communications |
| **(Electronic | | | | Commission |
| Filing)** | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358165 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5165 |
+--------------------+--------+--------+------+----------------------+
| l\. Special | Corres | \$ | MGR | Federal |
| Temporary | & 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358190 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5190 |
+--------------------+--------+--------+------+----------------------+
| m\. Ownership | 323 & | \ | MAR | Federal |
| Report | 159 | $55.00 | | Communications |
| | | | | Commission |
| | or | | | |
| | | | | Media Services |
| | Corres | | | |
| | & 159 | | | P.O. Box 358180 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5180 |
+--------------------+--------+--------+------+----------------------+
| **3. Commercial FM | 301 & | \$2, | MTR | Federal |
| Radio** | 159 | 980.00 | | Communications |
| | | | | Commission |
| **Stations** | | | | |
| | | | | Media Services |
| a\. New or Major | | | | |
| Change | | | | P.O. Box 358195 |
| | | | | |
| Construction | | | | Pittsburgh, PA |
| Permit | | | | 15251-5195 |
| | | | | |
| **(Electronic | | | | |
| Filing)** | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Minor Change | 301 & | \$ | MPR | Federal |
| | 159 | 830.00 | | Communications |
| **(Electronic | | | | Commission |
| Filing)** | | | | |
| | | | | Mass Media Services |
| | | | | |
| | | | | P.O. Box 358195 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5195 |
+--------------------+--------+--------+------+----------------------+
| c\. Main Studio | Corres | \$ | MPR | Federal |
| Request | & 159 | 830.00 | | Communications |
| | | | | Commission |
| (per request) | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358195 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5195 |
+--------------------+--------+--------+------+----------------------+
| d\. New License | 302-FM | \$ | MHR | Federal |
| | & | 170.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | 159 | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358195 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5195 |
+--------------------+--------+--------+------+----------------------+
| e\. FM Directional | 302-FM | \$ | MLR | Federal |
| Antenna | & | 525.00 | | Communications |
| | | | | Commission |
| (Electronic | 159 | | | |
| Filing) | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358195 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5195 |
+--------------------+--------+--------+------+----------------------+
| f\. License | 303-S | \$ | MGR | Federal |
| Renewal | & | 150.00 | | Communications |
| | | | | Commission |
| | 159 | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358190 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5190 |
+--------------------+--------+--------+------+----------------------+
| g\. License | 314 & | \$ | M | Federal |
| Assignment | 159 | 830.00 | PR\* | Communications |
| | | | | Commission |
| \(I\) Long Form | | | | |
| | | | | Media Services |
| (Electronic | | | | |
| Filing) | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Short Form | 316 & | \$ | M | Federal |
| | 159 | 120.00 | DR\* | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| h\. Transfer of | 315 & | \$ | M | Federal |
| Control | 159 | 830.00 | PR\* | Communications |
| | | | | Commission |
| \(I\) Long Form | | | | |
| | | | | Media Services |
| (Electronic | | | | |
| Filing) | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Short Form | 316 & | \$ | M | Federal |
| | 159 | 120.00 | DR\* | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358350 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| i\. Hearing (New | Corres | \$9, | MWR | Federal |
| or Major/Minor | & 159 | 920.00 | | Communications |
| | | | | Commission |
| Change, | | | | |
| Comparative | | | | Media Services |
| | | | | |
| Construction | | | | P.O. Box 358170 |
| Permit Hearings) | | | | |
| | | | | Pittsburgh, PA |
| (per application) | | | | 15251-5170 |
+--------------------+--------+--------+------+----------------------+
| j\. Call Sign | 380 & | \ | MBR | Federal |
| | 159 | $85.00 | | Communications |
| **(Electronic | | | | Commission |
| Filing)** | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358165 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5165 |
+--------------------+--------+--------+------+----------------------+
| k\. Special | Corres | \$ | MGR | Federal |
| Temporary | & 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358195 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5195 |
+--------------------+--------+--------+------+----------------------+
| l\. Petition for | 301 & | \$2, | MRR | Federal |
| Rulemaking for | 159 | 300.00 | | Communications |
| | | | | Commission |
| New Community of | or | | | |
| License or | | | | Media Services |
| | 302-FM | | | |
| Higher Class | & | | | P.O. Box 358195 |
| Channel | | | | |
| | 159 | | | Pittsburgh, PA |
| | | | | 15251-5195 |
+--------------------+--------+--------+------+----------------------+
| m\. Ownership | 323 & | \ | MAR | Federal |
| Report | 159 | $55.00 | | Communications |
| | | | | Commission |
| | or | | | |
| | | | | Media Services |
| | Corres | | | |
| | & 159 | | | P.O. Box 358180 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5180 |
+--------------------+--------+--------+------+----------------------+
| **4. FM | 349 & | \$ | MOF | Federal |
| Translators** | 159 | 625.00 | | Communications |
| | | | | Commission |
| a\. New or Major | | | | |
| Change | | | | Media Services |
| | | | | |
| Construction | | | | P.O. Box 358200 |
| Permit | | | | |
| | | | | Pittsburgh, PA |
| (Electronic | | | | 15251-5200 |
| Filing) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. New License | 350 & | \$ | MEF | Federal |
| | 159 | 125.00 | | Communications |
| (Electronic | | | | Commission |
| Filing) | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358200 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5200 |
+--------------------+--------+--------+------+----------------------+
| c\. License | 303-S | \ | MAF | Federal |
| Renewal | & 159 | $55.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Mass Media Services |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358190 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5190 |
+--------------------+--------+--------+------+----------------------+
| d\. Special | Corres | \$ | MGF | Federal |
| Temporary | & 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358200 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5200 |
+--------------------+--------+--------+------+----------------------+
| e\. License | 345 & | \$ | M | Federal |
| Assignment | 159 | 120.00 | DF\* | Communications |
| | | | | Commission |
| | 314 & | | | |
| | 159 | | | Media Services |
| | | | | |
| | 316 & | | | P.O. Box 358350 |
| | 159 | | | |
| | | | | Pittsburg, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| f\. Transfer of | 345 & | \$ | M | Federal |
| Control | 159 | 120.00 | DF\* | Communications |
| | | | | Commission |
| | 314315 | | | |
| | & 159 | | | Media Services |
| | | | | |
| | 316 & | | | P.O. Box 358350 |
| | 159 | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| **5. TV | 346 & | \$ | MOL | Federal |
| Translators and | 159 | 625.00 | | Communications |
| LPTV Stations** | | | | Commission |
| | | | | |
| a\. New or Major | | | | Media Services |
| Change | | | | |
| | | | | P.O. Box 358185 |
| Construction | | | | |
| Permit | | | | Pittsburgh, PA |
| | | | | 15251-5185 |
| (per application) | | | | |
| | | | | |
| (Electronic | | | | |
| Filing) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. New License | 347 & | \$ | MEL | Federal |
| | 159 | 125.00 | | Communications |
| (per application) | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358185 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5185 |
+--------------------+--------+--------+------+----------------------+
| c\. License | 303-S | \ | M | Federal |
| Renewal | & 159 | $55.00 | AL\* | Communications |
| | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358165 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5165 |
+--------------------+--------+--------+------+----------------------+
| d\. Special | Corres | \$ | MGL | Federal |
| Temporary | & 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358185 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5185 |
+--------------------+--------+--------+------+----------------------+
| e\. License | 345 & | \$ | M | Federal |
| Assignment | 159 | 120.00 | DL\* | Communications |
| | | | | Commission |
| | 314 & | | | |
| | 159 | | | Media Services |
| | | | | |
| | 316 & | | | P.O. Box 358350 |
| | 159 | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| f\. Transfer of | 345 & | \$ | M | Federal |
| Control | 159 | 120.00 | DL\* | Communications |
| | | | | Commission |
| | 314315 | | | |
| | & 159 | | | Media Services |
| | | | | |
| | 316 & | | | P.O. Box 358350 |
| | 159 | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5350 |
+--------------------+--------+--------+------+----------------------+
| **6. FM Booster | 349 & | \$ | MOF | Federal |
| Stations** | 159 | 625.00 | | Communications |
| | | | | Commission |
| a\. New or Major | | | | |
| Change | | | | Media Services |
| | | | | |
| Construction | | | | P.O. Box 358200 |
| Permit | | | | |
| | | | | Pittsburgh, PA |
| **(Electronic | | | | 15251-5200 |
| Filing)** | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. New License | 350 & | \$ | MEF | Federal |
| | 159 | 125.00 | | Communications |
| **(Electronic | | | | Commission |
| Filing)** | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358200 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5200 |
+--------------------+--------+--------+------+----------------------+
| c\. Special | Corres | \$ | MGF | Federal |
| Temporary | & 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358200 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5200 |
+--------------------+--------+--------+------+----------------------+
| 7\. TV Booster | 346 & | \$ | MOF | Federal |
| Stations | 159 | 625.00 | | Communications |
| | | | | Commission |
| a\. New or Major | | | | |
| Change | | | | Media Services |
| | | | | |
| **(Electronic | | | | P.O. Box 358185 |
| Filing)** | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5185 |
+--------------------+--------+--------+------+----------------------+
| b\. New License | 347 & | \$ | MEF | Federal |
| | 159 | 125.00 | | Communications |
| **(Electronic | | | | Commission |
| Filing)** | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358185 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5185 |
+--------------------+--------+--------+------+----------------------+
| c\. Special | Corres | \$ | MGF | Federal |
| Temporary | & 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358185 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5185 |
+--------------------+--------+--------+------+----------------------+
| **8. Cable | 327 & | \$ | TIC | Federal |
| Television | 159 | 230.00 | | Communications |
| Services** | | | | Commission |
| | | | | |
| a\. CARS License | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358205 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15215-5205 |
+--------------------+--------+--------+------+----------------------+
| b\. CARS | 327 & | \$ | TIC | Federal |
| Modifications | 159 | 230.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O .Box 358205 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15215-5205 |
+--------------------+--------+--------+------+----------------------+
| c\. CARS License | 327 & | \$ | TIC | Federal |
| Renewal | 159 | 230.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358205 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15215-5205 |
+--------------------+--------+--------+------+----------------------+
| d\. CARS License | 327 & | \$ | TIC | Federal |
| Assignment | 159 | 230.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358205 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15215-5205 |
+--------------------+--------+--------+------+----------------------+
| e\. CARS Transfer | 327 & | \$ | TIC | Federal |
| of Control | 159 | 230.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358205 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15215-5205 |
+--------------------+--------+--------+------+----------------------+
| f\. Special | Corres | \$ | TGC | Federal |
| Temporary | & 159 | 150.00 | | Communications |
| Authorization | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358205 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15215-5205 |
+--------------------+--------+--------+------+----------------------+
| g\. Cable Special | Corres | \$1, | TQC | Federal |
| Relief Petition | & 159 | 160.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358205 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15215-5205 |
+--------------------+--------+--------+------+----------------------+
| h\. 76.1801 Cable | Cor | \ | TAC | Federal |
| Community | res322 | $55.00 | | Communications |
| | & 159 | | | Commission |
| Registration | | | | |
| Statement | | | | Media Services |
| | | | | |
| **(Electronic | | | | P.O. Box 358205 |
| Filing)** | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15215-5205 |
+--------------------+--------+--------+------+----------------------+
| i\. Aeronautical | Cor | \ | TAC | Federal |
| Frequency Usage | res321 | $55.00 | | Communications |
| | & 159 | | | Commission |
| Notification Sec. | | | | |
| 76.1804 | | | | Media Services |
| | | | | |
| | | | | P.O. Box 358205 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15215-5205 |
+--------------------+--------+--------+------+----------------------+
> **5. Section 1.1105 is revised to read as follows:**
>
> **[§1.1105 Schedule of charges for applications and other filings for
> the wireline competition service.]{.underline}**
+--------------------+--------+--------+------+----------------------+
| **Service** | **FCC | * | **P | **Address** |
| | Form | *Fee** | ayme | |
| | No.** | | nt** | |
| | | **Am | | |
| | | ount** | **Ty | |
| | | | pe** | |
| | | | | |
| | | | **Co | |
| | | | de** | |
+====================+========+========+======+======================+
| **1. Communication | Corres | \$5, | CLEA | Federal |
| Assistance for** | & 159 | 210.00 | | Communications |
| | | | | Commission |
| **Law Enforcement | | | | |
| (CALEA)** | | | | Wireline Competition |
| | | | | Bureau - IA&TD CALEA |
| Petitions | | | | |
| | | | | P.O. Box 358140 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5140 |
+--------------------+--------+--------+------+----------------------+
| **2. Domestic 214 | Corres | \$ | CUT | Federal |
| Applications** | & 159 | 895.00 | | Communications |
| | | | | Commission |
| a\. Domestic Cable | | | | |
| Construction | | | | Wireline Competition |
| | | | | Bureau - CPD - 214 |
| | | | | Appls. |
| | | | | |
| | | | | P.O.Box 358145 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5145 |
+--------------------+--------+--------+------+----------------------+
| b\. Other | Corres | \$ | CUT | Federal |
| | & 159 | 895.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireline Competition |
| | | | | Bureau - CPD - 214 |
| | | | | Appls. |
| | | | | |
| | | | | P.O. Box 358145 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5145 |
+--------------------+--------+--------+------+----------------------+
| **3. Tariff | Corres | \$ | CQK | Federal |
| Filings** | & 159 | 720.00 | | Communications |
| | | | | Commission |
| a\. Filing Fees | | | | |
| | | | | Wireline Competition |
| (per transmittal | | | | Bureau - PPD Tariffs |
| or cover letter) | | | | Filings |
| | | | | |
| | | | | P.O. Box 358150 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5150 |
+--------------------+--------+--------+------+----------------------+
| b\. Application | Corres | \$ | CQK | Federal |
| for Special | & 159 | 720.00 | | Communications |
| Permission Filing | | | | Commission |
| (request for | | | | |
| waiver of any rule | | | | Wireline Competition |
| in | | | | Bureau - PPD Tariffs |
| | | | | Filings |
| Part 61 of the | | | | |
| Commission's | | | | P.O. Box 358150 |
| | | | | |
| Rules) | | | | Pittsburgh, PA |
| | | | | 15251-5150 |
| (per request) | | | | |
+--------------------+--------+--------+------+----------------------+
| c\. Waiver of Part | Corres | \$ | CQK | Federal |
| 69 Tariff Rules | & 159 | 720.00 | | Communications |
| | | | | Commission |
| (per request) | | | | |
| | | | | Wireline Competition |
| | | | | Bureau - PPD Tariffs |
| | | | | Filings |
| | | | | |
| | | | | P.O. Box 358150 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5150 |
+--------------------+--------+--------+------+----------------------+
| **4. Accounting** | Corres | \$30, | BKA | Federal |
| | & 159 | 350.00 | | Communications |
| a\. Review of | | | | Commission |
| Depreciation | | | | |
| Update Study | | | | Wireline Competition |
| | | | | Bureau - PPD - |
| (single state) | | | | Accounting Rule |
| | | | | |
| | | | | Depreciation |
| | | | | |
| | | | | P.O. Box 358140 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5140 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Each | Corres | \$1, | CVA | Federal |
| Additional State | & 159 | 000.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Wireline Competition |
| | | | | Bureau - PPD - |
| | | | | Accounting Rule |
| | | | | Depreciation |
| | | | | |
| | | | | P.O. Box |
| | | | | 358125358140 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-51255140 |
+--------------------+--------+--------+------+----------------------+
| b\. Petition for | Corres | \$6, | BEA | Federal |
| Waiver | & 159 | 840.00 | | Communications |
| | | | | Commission |
| (per petition) | | | | |
| | | | | Wireline Competition |
| Waiver of Part 69 | | | | Services - PPD |
| Accounting | | | | Tariffs Accounting |
| | | | | Rule Waiver |
| Rules & Part 32 | | | | |
| Accounting | | | | P.O. Box 358140 |
| | | | | |
| Rules, | | | | Pittsburgh, PA |
| | | | | 15251-5140 |
| Part 36 Separation | | | | |
| Rules, | | | | |
| | | | | |
| Part 43 Reporting | | | | |
| | | | | |
| Requirements | | | | |
| | | | | |
| Part 64 Allocation | | | | |
| of Costs | | | | |
| | | | | |
| Rules | | | | |
| | | | | |
| Part 65 Rate of | | | | |
| Return & Rate | | | | |
| | | | | |
| Base Rules | | | | |
+--------------------+--------+--------+------+----------------------+
> **6. Section 1.1106 is revised to read as follows**:
>
> §**1.1106 Schedule of charges for applications and other filings for
> the enforcement services**
+--------------------+--------+--------+------+----------------------+
| **Service** | **FCC | * | **P | **Address** |
| | Form | *Fee** | ayme | |
| | No.** | | nt** | |
| | | **Am | | |
| | | ount** | **Ty | |
| | | | pe** | |
| | | | | |
| | | | **Co | |
| | | | de** | |
+====================+========+========+======+======================+
| **1. Formal | Corres | \$ | CIZ | Federal |
| Complaints** | & 159 | 180.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | Enforcement |
| | | | | |
| | | | | P.O. Box 358120 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5120 |
+--------------------+--------+--------+------+----------------------+
| **2. Accounting | Corres | \$91, | BMA | Carriers will be |
| and Audits** | & 159 | 390.00 | | billed |
| | | | | |
| a\. Field Audit | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Review of | Corres | \$49, | BLA | Carriers will be |
| Arrest Audit | & 159 | 885.00 | | billed |
+--------------------+--------+--------+------+----------------------+
| **3. Development | Corres | \$49, | BLA | Federal |
| and Review of | & 159 | 885.00 | | Communications |
| Agreed upon - | | | | Commission |
| Procedures | | | | |
| Engagement** | | | | Enforcement |
| | | | | |
| | | | | P.O. Box 358125 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5125 |
+--------------------+--------+--------+------+----------------------+
| **4. Pole | Corres | \$ | TPC | Federal |
| Attachment | & 159 | 225.00 | | Communications |
| Complaint** | | | | Commission |
| | | | | |
| | | | | Enforcement |
| | | | | |
| | | | | P.O .Box 358110 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15215-5110 |
+--------------------+--------+--------+------+----------------------+
> **7. Section 1.1107 is revised to read as follows:**
>
> **[§1.1107 Schedule of charges for applications and other filings for
> the international service.]{.underline}**
+--------------------+--------+--------+------+----------------------+
| **Service** | **FCC | * | **P | **Address** |
| | Form | *Fee** | ayme | |
| | No.** | | nt** | |
| | | **Am | | |
| | | ount** | **Ty | |
| | | | pe** | |
| | | | | |
| | | | **Co | |
| | | | de** | |
+====================+========+========+======+======================+
| **1. International | 407 & | \$ | CSN | Federal |
| Fixed Public | 159 | 750.00 | | Communications |
| Radio** | | | | Commission |
| | | | | |
| (Public & Control | | | | International |
| Stations) | | | | Bureau - Fixed |
| | | | | Public Radio |
| a\. Initial | | | | |
| Construction | | | | P.O. Box 358160 |
| Permit | | | | |
| | | | | Pittsburgh, PA |
| (per station) | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| b\. Assignment or | 702 & | \$ | CSN | Federal |
| Transfer | 159 | 750.00 | | Communications |
| | | | | Commission |
| (per Application) | or | | | |
| | | | | International |
| | 704 & | | | Bureau - Fixed |
| | 159 | | | Public Radio |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| c\. Renewal ( per | 405 & | \$ | CON | Federal |
| license ) | 159 | 545.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | International |
| | | | | Bureau - Fixed |
| | | | | Public Radio |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| d\. Modification | 403 & | \$ | CON | Federal |
| (per station) | 159 | 545.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | International |
| | | | | Bureau - Fixed |
| | | | | Public Radio |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| e\. Extension of | 701 & | \$ | CKN | Federal |
| Construction | 159 | 275.00 | | Communications |
| | | | | Commission |
| Authorization (per | | | | |
| station) | | | | International |
| | | | | Bureau - Fixed |
| | | | | Public Radio |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| f\. Special | Corres | \$ | CKN | Federal |
| Temporary | & 159 | 275.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| or request for | | | | International |
| Waiver(per | | | | Bureau - Fixed |
| | | | | Public Radio |
| request) | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| **2. Section 214 | Corres | \$13, | BIT | Federal |
| Applications** | & 159 | 390.00 | | Communications |
| | | | | Commission |
| a\. Overseas Cable | | | | |
| Construction | | | | International |
| | | | | Bureau - |
| | | | | Telecommunications |
| | | | | |
| | | | | P.O. Box 358115 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5115 |
+--------------------+--------+--------+------+----------------------+
| b\. Cable Landing | Corres | \$1, | CXT | Federal |
| License | & 159 | 505.00 | | Communications |
| | | | | Commission |
| \(i\) Common | | | | |
| Carrier | | | | International |
| | | | | Bureau - |
| | | | | Telecommunications |
| | | | | |
| | | | | P.O. Box 358115 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5115 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Non-Common | Corres | \$14, | BJT | Federal |
| Carrier | & 159 | 895.00 | | Communications |
| | | | | Commission |
| | | | | |
| | | | | International |
| | | | | Bureau - |
| | | | | Telecommunications |
| | | | | |
| | | | | P.O. Box 358115 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5115 |
+--------------------+--------+--------+------+----------------------+
| c\. All other | Corres | \$ | CUT | Federal |
| International 214 | & 159 | 895.00 | | Communications |
| | | | | Commission |
| Applications | | | | |
| | | | | International |
| | | | | Bureau - |
| | | | | Telecommunications |
| | | | | |
| | | | | P.O. Box 358115 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5115 |
+--------------------+--------+--------+------+----------------------+
| d\. Special | Corres | \$ | CUT | Federal |
| Temporary | & 159 | 895.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| (all services) | | | | International |
| | | | | Bureau - |
| | | | | Telecommunications |
| | | | | |
| | | | | P.O. Box 358115 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5115 |
+--------------------+--------+--------+------+----------------------+
| e\. Assignments or | Corres | \$ | CUT | Federal |
| transfers | & 159 | 895.00 | | Communications |
| | | | | Commission |
| (all services) | | | | |
| | | | | International |
| | | | | Bureau - |
| | | | | Telecommunications |
| | | | | |
| | | | | P.O. Box 358115 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5115 |
+--------------------+--------+--------+------+----------------------+
| **3. Fixed | 312 | \$2, | BAX | Federal |
| Satellite** | | 240.00 | | Communications |
| | Main & | | | Commission |
| ** | Sc | | | |
| Transmit/Receive** | hedule | | | International |
| | B | | | Bureau - Earth |
| **Earth Stations** | | | | Stations |
| | & 159 | | | |
| a\. Initial | | | | P.O. Box 358160 |
| Application (per | | | | |
| station) | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| b\. Modification | 312 | \$ | CGX | Federal |
| of License | | 155.00 | | Communications |
| | Main & | | | Commission |
| (per station) | Sc | | | |
| | hedule | | | International |
| | B | | | Bureau - Earth |
| | | | | Stations |
| | & 159 | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| c\. Assignment or | 312 | \$ | CNX | Federal |
| Transfer | | 445.00 | | Communications |
| | Main & | | | Commission |
| \(i\) First | Sc | | | |
| station | hedule | | | International |
| | A | | | Bureau - Earth |
| | | | | Stations |
| | & 159 | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Each | Atta | \$ | CFX | Federal |
| Additional Station | chment | 150.00 | | Communications |
| | to FCC | | | Commission |
| | 312 | | | |
| | Sc | | | International |
| | hedule | | | Bureau - Earth |
| | A | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| d\. Renewal of | 405 & | \$ | CGX | Federal |
| License | 159 | 155.00 | | Communications |
| | | | | Commission |
| ( per station ) | | | | |
| | | | | International |
| | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| e\. Special | Corres | \$ | CGX | Federal |
| Temporary | & 159 | 155.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| or Waiver of Prior | | | | International |
| | | | | Bureau - Earth |
| Construction | | | | Stations |
| | | | | |
| Authorization | | | | P.O. Box 358160 |
| | | | | |
| ( per request ) | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| f\. Amendment of | 312 | \$ | CGX | Federal |
| Pending | | 155.00 | | Communications |
| | Main & | | | Commission |
| Application | Sc | | | |
| | hedule | | | International |
| ( per station ) | B | | | Bureau - Earth |
| | | | | Stations |
| | & 159 | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| g\. Extension of | 701 & | \$ | CGX | Federal |
| Construction | 159 | 155.00 | | Communications |
| | | | | Commission |
| Permit | | | | |
| | | | | International |
| ( per station ) | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| **4. Fixed | 312 | \$4, | BDS | Federal |
| Satellite** | | 960.00 | | Communications |
| | Main & | | | Commission |
| ** | Sc | | | |
| transmit/receive** | hedule | | | International |
| | B | | | Bureau - Earth |
| **Earth Stations | | | | Stations |
| (2 meters or** | & 159 | | | |
| | | | | P.O. Box 358160 |
| **less operating | | | | |
| in the 4/6 GHz** | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
| **frequency | | | | |
| band)** | | | | |
| | | | | |
| a\. Lead | | | | |
| Application | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Routine | 312 & | \ | CAS | Federal |
| Application | | $55.00 | | Communications |
| | Main & | | | Commission |
| ( per station ) | Sc | | | |
| | hedule | | | International |
| | B | | | Bureau - Earth |
| | | | | Stations |
| | & 159 | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| c\. Modification | 312 | \$ | CGS | Federal |
| of License | | 155.00 | | Communications |
| | Main & | | | Commission |
| ( per station ) | Sc | | | |
| | hedule | | | International |
| | B & | | | Bureau - Earth |
| | 159 | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| d\. Assignment or | 312 | \$ | CNS | Federal |
| Transfer | | 445.00 | | Communications |
| | Main & | | | Commission |
| \(i\) First | | | | |
| Station | Sc | | | International |
| | hedule | | | Bureau - Earth |
| | A | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Each | Atta | \ | CAS | Federal |
| Additional Station | chment | $55.00 | | Communications |
| | | | | Commission |
| | to 312 | | | |
| | & | | | International |
| | | | | Bureau - Earth |
| | Sc | | | Stations |
| | hedule | | | |
| | A | | | P.O. Box 358160 |
| | | | | |
| | & 159 | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| e\. Renewal of | 405 & | \$ | CGS | Federal |
| License | 159 | 155.00 | | Communications |
| | | | | Commission |
| ( per station ) | | | | |
| | | | | International |
| | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| f\. Special | Corres | \$ | CGS | Federal |
| Temporary | & 159 | 155.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| or Waiver of Prior | | | | International |
| Construction | | | | Bureau - Earth |
| | | | | Stations |
| Authorization | | | | |
| | | | | P.O. Box 358160 |
| ( per request ) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| g\. Amendment of | 312 | \$ | CGS | Federal |
| Pending | | 155.00 | | Communications |
| | Main & | | | Commission |
| Application | Sc | | | |
| | hedule | | | International |
| ( per station ) | A or B | | | Bureau - Earth |
| | | | | Stations |
| | & 159 | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| h\. Extension of | 701 & | \$ | CGS | Federal |
| Construction | 159 | 155.00 | | Communications |
| | | | | Commission |
| Permit | | | | |
| | | | | International |
| ( per station ) | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| **5. Receive Only | 312 | \$ | CMO | Federal |
| Earth Stations** | | 340.00 | | Communications |
| | Main & | | | Commission |
| a\. Initial | | | | |
| Applications for | Sc | | | International |
| | hedule | | | Bureau - Earth |
| Registration or | B | | | Stations |
| License | | | | |
| | & 159 | | | P.O. Box 358160 |
| (per station) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| b\. Modification | 312 | \$ | CGO | Federal |
| of License or | | 155.00 | | Communications |
| | Main & | | | Commission |
| Registration | | | | |
| | Sc | | | International |
| ( per station ) | hedule | | | Bureau - Earth |
| | B | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| c\. Assignment or | 312 | \$ | CNO | Federal |
| Transfer | | 445.00 | | Communications |
| | Main & | | | Commission |
| \(i\) First | | | | |
| Station | Sc | | | International |
| | hedule | | | Bureau - Earth |
| | A | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| \(ii\) Each | Atta | \$ | CFO | Federal |
| Additional Station | chment | 150.00 | | Communications |
| | to 312 | | | Commission |
| | - | | | |
| | | | | International |
| | Sc | | | Bureau - Earth |
| | hedule | | | Stations |
| | A | | | |
| | | | | P.O. Box 358160 |
| | & 159 | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| d\. Renewal of | 405 & | \$ | CGO | Federal |
| License | 159 | 155.00 | | Communications |
| | | | | Commission |
| (per station) | | | | |
| | | | | International |
| | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| e\. Amendment of | 312 | \$ | CGO | Federal |
| Pending | | 155.00 | | Communications |
| | Main & | | | Commission |
| Application | | | | |
| | Sc | | | International |
| ( per station ) | hedule | | | Bureau - Earth |
| | A or B | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| f\. Extension of | 701 & | \$ | CGO | Federal |
| Construction | 159 | 155.00 | | Communications |
| Permit | | | | Commission |
| | | | | |
| ( per station ) | | | | International |
| | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| g\. Waivers | Corres | \$ | CGO | Federal |
| | & 159 | 155.00 | | Communications |
| ( per request ) | | | | Commission |
| | | | | |
| | | | | International |
| | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| **6. Fixed | 312 | \$8, | BGV | Federal |
| Satellite Very | | 260.00 | | Communications |
| Small** | Main & | | | Commission |
| | | | | |
| **Aperture** | Sc | | | International |
| | hedule | | | Bureau - Earth |
| **Terminal (VSAT) | B | | | Stations |
| Systems** | | | | |
| | & 159 | | | P.O. Box 358160 |
| a\. Initial | | | | |
| Application | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
| (per station) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Modification | 312 | \$ | CGV | Federal |
| of License | | 155.00 | | Communications |
| | Main & | | | Commission |
| ( per system ) | Sc | | | |
| | hedule | | | International |
| | B & | | | Bureau - Earth |
| | 159 | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| c\. Assignment or | 312 | \$2, | CZV | Federal |
| Transfer of | | 210.00 | | Communications |
| | Main & | | | Commission |
| System | | | | |
| | Sc | | | International |
| | hedule | | | Bureau - Earth |
| | A | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| d\. Renewal of | 405 & | \$ | CGV | Federal |
| License | 159 | 155.00 | | Communications |
| | | | | Commission |
| ( per system ) | | | | |
| | | | | International |
| | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| e\. Special | Corres | \$ | CGV | Federal |
| Temporary | & 159 | 155.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| or Waiver of Prior | | | | International |
| Construction | | | | Bureau - Earth |
| | | | | Stations |
| Authorization | | | | |
| | | | | P.O. Box 358160 |
| ( per request ) | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| f\. Amendment of | 312 | \$ | CGV | Federal |
| Pending | | 155.00 | | Communications |
| | Main & | | | Commission |
| Application | | | | |
| | Sc | | | International |
| ( per system ) | hedule | | | Bureau - Earth |
| | A or B | | | Stations |
| | & | | | |
| | | | | P.O. Box 358160 |
| | 159 | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| g\. Extension of | 701 & | \$ | CGV | Federal |
| Construction | 159 | 155.00 | | Communications |
| | | | | Commission |
| Permit | | | | |
| | | | | International |
| ( per system ) | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| **7. Mobile | 312 | \$8, | BGB | Federal |
| Satellite Earth** | | 260.00 | | Communications |
| | Main & | | | Commission |
| **Stations** | | | | |
| | Sc | | | International |
| a\. Initial | hedule | | | Bureau - Earth |
| Applications of | B | | | Stations |
| | | | | |
| Blanket | & 159 | | | P.O. Box 358160 |
| Authorization | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| b\. Initial | 312 | \$1, | CYB | Federal |
| Application for | | 985.00 | | Communications |
| | Main & | | | Commission |
| Individual Earth | | | | |
| Station | Sc | | | International |
| | hedule | | | Bureau - Earth |
| | B | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| c\. Modification | 312 | \$ | CGB | Federal |
| of License | | 155.00 | | Communications |
| | Main & | | | Commission |
| ( per system ) | | | | |
| | Sc | | | International |
| | hedule | | | Bureau - Earth |
| | B | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| d\. Assignment or | 312 | \$2, | CZB | Federal |
| Transfer | | 210.00 | | Communications |
| | Main & | | | Commission |
| ( per system ) | | | | |
| | Sc | | | International |
| | hedule | | | Bureau - Earth |
| | A | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| e\. Renewal of | 405 & | \$ | CGB | Federal |
| License | 159 | 155.00 | | Communications |
| | | | | Commission |
| ( per system ) | | | | |
| | | | | International |
| | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| f\. Special | Corres | \$ | CGB | Federal |
| Temporary | & 159 | 155.00 | | Communications |
| Authority of | | | | Commission |
| Waiver of Prior | | | | |
| Construction | | | | International |
| | | | | Bureau - Earth |
| Authorization ( | | | | Stations |
| per request ) | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| g\. Amendment of | 312 | \$ | CGB | Federal |
| Pending | | 155.00 | | Communications |
| | Main & | | | Commission |
| Application | | | | |
| | Sc | | | International |
| ( per system ) | hedule | | | Bureau - Earth |
| | B | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| h\. Extension of | 701 & | \$ | CGB | Federal |
| Construction | 159 | 155.00 | | Communications |
| | | | | Commission |
| Permit | | | | |
| | | | | International |
| ( per system ) | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| **8. Radio | 312 | \$8, | BGH | Federal |
| Determination | | 260.00 | | Communications |
| Satellite** | Main & | | | Commission |
| | | | | |
| **Earth Stations** | Sc | | | International |
| | hedule | | | Bureau - Earth |
| a\. Initial | B | | | Stations |
| Application of | | | | |
| Blanket | & 159 | | | P.O. Box 358160 |
| | | | | |
| Authorization | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| b\. Initial | 312 | \$1, | CYH | Federal |
| Application for | | 985.00 | | Communications |
| Individual Earth | Main & | | | Commission |
| Station | | | | |
| | Sc | | | International |
| | hedule | | | Bureau - Earth |
| | B | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| c\. Modification | 312 | \$ | CGH | Federal |
| of License | | 155.00 | | Communications |
| | Main & | | | Commission |
| ( per system ) | | | | |
| | Sc | | | International |
| | hedule | | | Bureau - Earth |
| | B | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| d\. Assignments or | 312 | \$2, | CZH | Federal |
| Transfer | | 210.00 | | Communications |
| | Main & | | | Commission |
| ( per system ) | | | | |
| | Sc | | | International |
| | hedule | | | Bureau - Earth |
| | B | | | Stations |
| | | | | |
| | & 159 | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| e\. Renewal of | 405 & | \$ | CGH | Federal |
| License | 159 | 155.00 | | Communications |
| | | | | Commission |
| ( per system ) | | | | |
| | | | | International |
| | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| f\. Special | Corres | \$ | CGH | Federal |
| Temporary | & 159 | 155.00 | | Communications |
| Authority or | | | | Commission |
| Waiver of Prior | | | | |
| Construction | | | | International |
| | | | | Bureau - Earth |
| Authorization | | | | Stations |
| | | | | |
| ( per request ) | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| g\. Amendment of | 312 & | \$ | CGH | Federal |
| Pending | | 155.00 | | Communications |
| | Sc | | | Commission |
| Application | hedule | | | |
| | B | | | International |
| ( per system ) | | | | Bureau - Earth |
| | & 159 | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| h\. Extension of | 701 & | \$ | CGH | Federal |
| Construction | 159 | 155.00 | | Communications |
| | | | | Commission |
| Permit | | | | |
| | | | | International |
| ( per system ) | | | | Bureau - Earth |
| | | | | Stations |
| | | | | |
| | | | | P.O. Box 358160 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5160 |
+--------------------+--------+--------+------+----------------------+
| **9. Space | 312 | \$102, | BNY | Federal |
| Stations( | | 700.00 | | Communications |
| Geostationary)** | Main & | | BNY | Commission |
| | 159 | \$102, | | |
| a\. Application | | 700.00 | | International |
| for Authority to | 312 | | | Bureau - Satellites |
| | | | | |
| Launch & Operate | Main & | | | P.O. Box 358210 |
| | 159 | | | |
| \(i\) Initial | | | | Pittsburgh, PA |
| Application | | | | 15251-5210 |
| | | | | |
| \(ii\) Replacement | | | | |
| Satellite | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Assignment or | 312 | \$7, | BFY | Federal |
| Transfer | | 340.00 | | Communications |
| | Main & | | | Commission |
| ( per satellite ) | | | | |
| | Sc | | | International |
| | hedule | | | Bureau - Satellites |
| | A | | | |
| | | | | P.O. Box 358210 |
| | & 159 | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| c\. Modification | 312 | \$7, | BFY | Federal |
| | | 340.00 | | Communications |
| | Main & | | | Commission |
| | 159 | | | |
| | | | | International |
| | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| d\. Special | Corres | \$ | CRY | Federal |
| Temporary | & 159 | 735.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| ( per request ) | | | | International |
| | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| e\. Amendment of | 312 | \$1, | CWY | Federal |
| Pending | | 470.00 | | Communications |
| | Main & | | | Commission |
| Application | 159 | | | |
| | | | | International |
| ( per request ) | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| f\. Extension of | Corres | \$ | CRY | Federal |
| Launch | & 159 | 735.00 | | Communications |
| | | | | Commission |
| Authority | | | | |
| | | | | International |
| | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| **10. Space | 312 | \$353, | CLW | Federal |
| Stations (NGSO)** | | 690.00 | | Communications |
| | Main & | | | Commission |
| a\. Application | 159 | | | |
| for Authority | | | | International |
| | | | | Bureau - Satellites |
| to Launch & | | | | |
| Operate | | | | P.O. Box 358210 |
| | | | | |
| (per system of | | | | Pittsburgh, PA |
| technically | | | | 15251-5210 |
| | | | | |
| identical | | | | |
| satellites) | | | | |
| | | | | |
| satellites) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Assignment or | 312 | \$10, | CZW | Federal |
| Transfer | | 110.00 | | Communications |
| | Main & | | | Commission |
| ( per request ) | 159 | | | |
| | | | | International |
| | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| c\. Modification | 312 | \$25, | CGW | Federal |
| | | 265.00 | | Communications |
| ( per request ) | Main & | | | Commission |
| | 159 | | | |
| | | | | International |
| | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| d Special | Corres | \$2, | CXW | Federal |
| Temporary | & 159 | 535.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| ( per request ) | | | | International |
| | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| e\. Amendment of | 312 | \$5, | CAW | Federal |
| Pending | | 055.00 | | Communications |
| | Main & | | | Commission |
| Application | 159 | | | |
| | | | | International |
| ( per request ) | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| f\. Extension of | Corres | \$2, | CXW | Federal |
| Launch | & 159 | 535.00 | | Communications |
| | | | | Commission |
| Authority | | | | |
| | | | | International |
| | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| **11. Direct | Corres | \$2, | MTD | Federal |
| Broadcast | & 159 | 980.00 | | Communications |
| Satellites** | | | | Commission |
| | | | | |
| a\. Authorization | | | | International |
| to Construct | | | | Bureau - Satellites |
| | | | | |
| or Major | | | | P.O. Box 358210 |
| Modification | | | | |
| | | | | Pittsburgh, PA |
| ( per request ) | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| b\. Construction | Corres | \$28, | MXD | Federal |
| Permit and | & 159 | 920.00 | | Communications |
| | | | | Commission |
| Launch Authority | | | | |
| | | | | International |
| ( per request ) | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| c\. License to | Corres | \$28, | MXD | Federal |
| Operate | & 159 | 920.00 | | Communications |
| | | | | Commission |
| ( per request ) | | | | |
| | | | | International |
| | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| d\. Special | Corres | \$ | MGD | Federal |
| Temporary | & 159 | 150.00 | | Communications |
| Authority | | | | Commission |
| | | | | |
| ( per request ) | | | | International |
| | | | | Bureau - Satellites |
| | | | | |
| | | | | P.O. Box 358210 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251-5210 |
+--------------------+--------+--------+------+----------------------+
| e\. Hearing ( New | Corres | \$9, | MWD | Federal |
| and Major/ | & 159 | 920.00 | | Communications |
| | | | | Commission |
| Minor change, | | | | |
| comparative | | | | International Bureau |
| | | | | |
| construction | | | | P.O. Box 358270 |
| permit | | | | |
| | | | | Pittsburgh, PA |
| hearings; | | | | 15251 - 5170 |
| comparative | | | | |
| | | | | |
| license renewal | | | | |
| hearings) | | | | |
| | | | | |
| ( per request ) | | | | |
+--------------------+--------+--------+------+----------------------+
| **12. | 309 & | \$2, | MSN | Federal |
| International | 159 | 505.00 | | Communications |
| Broadcast | | | | Commission |
| Stations** | | | | |
| | | | | International Bureau |
| a\. New Station & | | | | |
| Facilities Change | | | | P.O. Box 358175 |
| Construction | | | | |
| Permit | | | | Pittsburgh, PA |
| | | | | 15251 - 5175 |
| ( per application | | | | |
| ) | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. New License | 310 & | \$ | MNN | Federal |
| | 159 | 565.00 | | Communications |
| ( per application | | | | Commission |
| ) | | | | |
| | | | | International Bureau |
| | | | | |
| | | | | P.O. Box 358175 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251 - 5175 |
+--------------------+--------+--------+------+----------------------+
| c\. License | 311 & | \$ | MFN | Federal |
| Renewal | 159 | 140.00 | | Communications |
| | | | | Commission |
| ( per application | | | | |
| ) | | | | International Bureau |
| | | | | |
| | | | | P.O. Box 358175 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251 - 5175 |
+--------------------+--------+--------+------+----------------------+
| d\. License | 314 & | \ | MCN | Federal |
| Assignment or | 159 | $90.00 | | Communications |
| | | | | Commission |
| Transfer of | or | | | |
| Control | | | | International Bureau |
| | 315 & | | | |
| (per station | 159 | | | P.O. Box 358175 |
| license) | | | | |
| | or | | | Pittsburgh, PA |
| | | | | 15251 - 5175 |
| | 316 & | | | |
| | 159 | | | |
+--------------------+--------+--------+------+----------------------+
| e\. Frequency | Corres | \ | MAN | Federal |
| Assignment & | & 159 | $55.00 | | Communications |
| | | | | Commission |
| Coordination | | | | |
| | | | | International Bureau |
| (per frequency | | | | |
| hour) | | | | P.O. Box 358175 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251 - 5175 |
+--------------------+--------+--------+------+----------------------+
| f.. Special | Corres | \$ | MGN | Federal |
| Temporary | & 159 | 150.00 | | Communications |
| | | | | Commission |
| Authorization | | | | |
| | | | | International Bureau |
| (per application) | | | | |
| | | | | P.O. Box 358175 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251 - 5175 |
+--------------------+--------+--------+------+----------------------+
| **13. Permit to | 308 & | \ | MBT | Federal |
| Deliver Programs | 159 | $85.00 | | Communications |
| to Foreign | | | | Commission |
| Broadcast | | | | |
| Stations** | | | | International Bureau |
| | | | | |
| (per application) | | | | P.O. Box 358175 |
| | | | | |
| a\. Commercial | | | | Pittsburgh, PA |
| Television | | | | 15251 - 5175 |
| | | | | |
| Stations | | | | |
+--------------------+--------+--------+------+----------------------+
| b\. Commercial AM | 308 & | \ | MBR | Federal |
| or FM | 159 | $85.00 | | Communications |
| | | | | Commission |
| Radio Stations | | | | |
| | | | | International Bureau |
| | | | | |
| | | | | P.O. Box 358175 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251 - 5175 |
+--------------------+--------+--------+------+----------------------+
| **14. Recognized | Corres | \$ | CUG | Federal |
| Private Operating | & 159 | 895.00 | | Communications |
| Status** | | | | Commission |
| | | | | |
| (per application) | | | | International Bureau |
| | | | | |
| | | | | P.O. Box 358115 |
| | | | | |
| | | | | Pittsburgh, PA |
| | | | | 15251 - 5115 |
+--------------------+--------+--------+------+----------------------+
[^1]: 47 U.S.C. Section 158(b).
[^2]: The increase in the CPI-U between October 2001 (the month used to
calculate the last CPI-U adjustment of its Schedule of Application
Fees) and October 2003 is 7 percent. See Order in General Docket No.
86-285, FCC 02-202, and released July 12, 2002.
[^3]: 31 U.S.C. §§ 3701(a)(8); 3701(b).
[^4]: 47 C.F.R. §1.1910 (effective October 1, 2004)
|
en
|
converted_docs
|
200326
|
**Before the**
**Federal Communications Commission**
**Washington, D.C. 20554**
In re Application of )
)
)
**High I-Q Radio, Inc.** )
)
Noncommercial Educational FM Station ) Facility ID No. 78344
KOLI(FM), Electra, Texas )
)
Application for License to Cover Construction )
Permit ) File No. BLH-980203KB
) Application for Assignment of Construction ) File No. BAPH-980421HW
Permit to Cumulus Licensing Corp. )
# MEMORANDUM OPINION AND ORDER
**Adopted: March 17, 2004 Released: April 21, 2004**
By the Commission: Commissioner Martin concurring and issuing a
statement; Commissioners Copps and Adelstein concurring in part,
dissenting in part, and issuing a joint statement.
1\. The Commission has before it two applications for review filed by
Apex Broadcasting, L.L.C.[^1] ("Apex"), regarding the captioned
applications of High I-Q Radio, Inc. ("High"), former licensee of
station KOLI(FM), Electra, Texas. In the first application for review,
filed on October 13, 1998, Apex seeks review of a September 14, 1998,
action by the Mass Media Bureau ("Bureau") which denied Apex's February
8, 1998, "Petition for Emergency Relief" and its May 20, 1998, Informal
Objection to the captioned KOLI(FM) license application ("1998 Letter
Decision").[^2] In the second application for review, filed on September
13, 1999, Apex seeks review of the Bureau's August 10, 1999, letter
decision which both denied Apex' petition to deny the application to
assign the station from High to Cumulus Licensing Corporation
("Cumulus") and granted the KOLI(FM) license and assignment applications
("1999 Letter Decision"). For the reasons set forth below, we will (1)
deny Apex' October 13, 1998, application for review, (2) grant the
September 13, 1999, application for review in part and deny it in part;
and (3) issue admonitions to both High and Cumulus.
### Factual Background
2\. On November 8, 1995, High applied for a construction permit to build
a new noncommercial educational ("NCE") FM station on non-reserved
channel 235C2 at Electra, Texas. Electra is located approximately 25
miles from the larger community of Wichita Falls. The Commission granted
the application on May 23, 1996.
3\. On June 3, 1997, applications were filed which proposed the
assignment of three station licenses in the Wichita Falls area to
Cumulus. The Commission granted these applications on October 3, 1997.
On December 2, 1997, Cumulus closed on the transactions and became the
licensee of stations KLUR-FM and KQXC(FM), Wichita Falls and KYYI(FM),
Burkburnett, Texas.
4\. Shortly after the filing of the referenced assignment applications,
Cumulus commenced discussions with High about its Electra permit. By
letter dated July 28, 1997, Cumulus proposed to pay Larry Hickerson
("Hickerson"), High's then president, \$10,000 not to sell, offer to
sell, or solicit an offer to sell the permit to anyone other than
Cumulus for a period of 14 days. Cumulus also proposed that it and High
"agree to negotiate promptly and in good faith toward the preparation
and execution" of a Memorandum of Understanding ("MOU") in the form
attached to the letter. Hickerson signed the letter that day. According
to a declaration later submitted by Hickerson, he sought the Electra
authorization because he had intended to return to Texas, his home
state. However, Hickerson stated that he subsequently developed heart
and lung problems in 1997, which caused him to remain in Georgia and
resulted in several hospitalizations.[^3]
5\. On August 8, 1997, Cumulus' Chairman, Richard Weening ("Weening"),
executed the MOU. Hickerson, on behalf of High, signed the MOU three
days later. The MOU recited that Cumulus would acquire the equipment
necessary to operate the radio station and lease it to High. Cumulus
also agreed to loan High sufficient working capital to construct and
commence operations. The MOU also provided that, for \$27,600, High
would give Cumulus an assignable option to acquire the station's assets.
The option would be exercisable for a one-year period beginning with the
commencement of station operations. In the event Cumulus exercised the
option, it promised to pay \$238,400 for the station's assets upon
finality of the grant of an assignment application.[^4] Cumulus would
also assume all indebtedness under loans made by Cumulus to High. The
MOU further provided that the parties would enter into a time brokerage
agreement under which Cumulus would program the station from its
commencement of operation and pay High's monthly expenses, plus \$500
per month. The MOU stipulated that High was to file a copy of that
agreement with the Commission.[^5]
6\. By letter dated August 22, 1997, Weening arranged for Jack Sellmeyer
("Sellmeyer") to provide overall engineering services in connection with
the construction of the station. Although Weening informed Sellmeyer
that his invoices should be sent to Cumulus, Weening also stated that
Hickerson was Sellmeyer's client. Further, Weening advised Sellmeyer of
Hickerson's plan to do a live morning show and his desire to have
installed a "20 channel Pacific Recorder board manufactured by AirWav."
With respect to the tower, Weening stated that "the design should be
mindful of the fact that this system will likely be relocated .... For
this reason ... every effort should be made to find a used tower."
Sellmeyer coordinated the bidding process for the purchase of equipment.
Specifically, he requested and received proposals from equipment vendors
and worked with Cumulus to place orders. Sellmeyer also supervised Jeff
Chancey ("Chancey"), a technician in the Wichita Falls area, in the
construction of the station. Sellmeyer also averred that he had several
telephone conversations with Hickerson regarding station construction
and the preparation of license and STL (studio-to-transmitter link)
applications.
7\. In September 1997, Hickerson negotiated a lease for the transmitter
site and, on behalf of High, entered into a three-year lease. Upon
execution of the lease, High prepaid \$7,200 for three years' rent.
During that same month, Hickerson also worked with and later paid a
survey firm \$1,700 to determine the exact tower location.
8\. *1997 Extension Application*. On October 22, 1997, High filed an
application signed by Hickerson, to extend the KOLI(FM) permit (File No.
BMPED-971022JA). Therein, High stated that: "A firm order was placed
with Harris Corporation on October 21, 1997, for all necessary
transmitting, antenna and studio-to-transmitter link equipment for the
station." High also reported that: "The studio and satellite equipment
is expected to be ordered from Harris Corporation on October 22, 1997."
High also indicated that a tower construction order had been placed.
Moreover, High stated: "The lease for the station's studio space has
been signed" and "the space has been built out." Finally, High reported
that it had entered into a tower site lease and had paid \$7,200 for
three years' rent. The application did not disclose Cumulus's role in
ordering equipment and constructing the station. The staff granted the
extension application on December 29, 1997.
9\. *Agreements between High and Cumulus*. On December 1, 1997, High and
Cumulus executed an option agreement, a time brokerage agreement
("TBA"), a loan agreement, and a lease agreement. During the pendency of
the extension application, none of the agreements were filed with or
otherwise disclosed to the Commission. The option agreement and TBA were
filed with the Commission in February 1998, and the loan and lease
agreements in June 1998.
10\. The option agreement recited that Cumulus had previously made a
non-refundable payment of \$27,600 to High.[^6] Exercise of the option
was solely at Cumulus' discretion. The purchase price was \$238,400, the
amount that had been set forth in the MOU. As part of the option
agreement, High and Cumulus agreed to the form of the asset purchase
agreement that was to be executed upon the option's exercise. Finally,
the option agreement stated that the loan and lease agreements would be
cancelled and the loan forgiven upon consummation of the asset purchase
agreement.
11\. The TBA gave Cumulus the right to program the station. High
retained the right to preempt or refuse to broadcast any program it
deemed contrary to the public interest and to schedule and present
public interest programming. High was to retain full authority over
station operations and was required to hire a station general manager.
Under the terms of the TBA High also was solely responsible for all of
the station's expenses. Cumulus was required to reimburse High for
itemized expenses on a monthly basis. Reimbursible expenses included,
*inter alia*, the general manager's salary, tower, transmitter site and
studio space rentals, insurance premiums, telephone and utilities.
12\. High's one-year, eight-percent loan was secured by a security
interest in all station assets other than the permit. The loan amount
included \$8,662.38 for expenses already incurred by High: namely, the
three-year lease and the payment due the surveyor. In addition, Cumulus
agreed to make additional loans to cover the salaries for a station
manager and contract engineer, lease expenses, insurance premiums,
utility deposits, and hook up fees. High was required to make a written
request for funds. High was also to maintain insurance and name Cumulus
as the insured. During the period of the loan, High could not, without
Cumulus' consent: acquire an interest in any other broadcast station;
pay any bonus to any station employee; enter into an employment contract
that was not terminable at will; provide any fringe benefit other than
regular wages; or enter into any other contract, lease or agreement
concerning the station with anyone other than Cumulus, unless the matter
was terminable on no more than 30 days notice without penalty or
payment.
13\. Pursuant to the lease agreement, Cumulus would lease to High an
antenna, a transmission line, a transmitter and related equipment,
antenna and transmitter space, a main studio and related equipment. High
was to pay \$500 per month for the rental of the tower and related
equipment, and an additional \$500 per month for the studio. The
station's studio and office space was at the same address as that for
KLUR-FM, one of the other stations that Cumulus was about to acquire.
14\. *Commencement of KOLI(FM) Operation*. KOLI(FM) station construction
was completed following Commission grant of the extension application.
On January 30, 1998, the station commenced operations as an NCE station.
Shortly thereafter, High submitted a covering license application signed
by Hickerson (File No. BLH-980203KB).[^7] Therein, High stated that "due
to a change in circumstances," it would operate KOLI(FM) as a commercial
station. On February 4, 1998, the station commenced airing commercials.
High also represented that it would file its ownership report by
February 6, 1998.[^8]
15\. On February 6, 1998, Apex, a competitor in the Wichita Falls
market, filed a petition for emergency relief. Specifically, Apex sought
revocation of High's program test authority. Apex argued that KOLI(FM)
was not authorized to operate as a commercial station and that High had
violated the Commission's public file rules. Included with Apex's
petition was a promotional document from Cumulus referencing, *inter
alia*, the cost of advertising on its "4^th^ station soon to be up and
running," an apparent reference to KOLI(FM). On February 19, 1998, High
filed an opposition to Apex's petition. In addition to responding to
Apex's commercial programming and the public file arguments, High
included a declaration from Hickerson and one from James Marks
("Marks"), who identified himself as Cumulus' marketing manager in the
Wichita Falls area. Among other things, Marks averred that he responded
to a February 2, 1998, inquiry about the location of KOLI(FM)'s public
file by stating that the caller would have to call Hickerson in Georgia
in order to ascertain the file's whereabouts.[^9]
16\. On May 20, 1998, Apex filed an informal objection to High's license
application, arguing that the "automatic program test authority" ("PTA")
provisions in Section 73.1620 apply only when construction is completed
in accordance with the terms of the station's license. Because KOLI
commenced operation as a commercial station, it was not operating in
accordance with its noncommercial educational authorization, claimed
Apex, and the staff should revoke KOLI's PTA. Apex also argued that High
violated the public inspection file rule, 47 C.F.R. § 73.3526, because
the KOLI public inspection file was in Brunswick, Georgia, nearly 1000
miles from Electra, Texas. The allegations and arguments from the
informal objection and related pleadings were repeated in a petition to
deny the subsequently filed assignment application.
17\. *KOLI(FM) Assignment Application*. On April 21, 1998, Cumulus and
High filed an application to obtain Commission consent to assign the
KOLI(FM) license.[^10] On June 1, 1998, Apex filed a petition to deny
the assignment application. In addition to repeating arguments made in
its earlier pleadings, Apex also argued that Cumulus and High had
engaged in a premature transfer of control based on Cumulus' financial
involvement and the alleged role of Marks, a Cumulus employee.[^11] In
support of its claims, Apex submitted copies of web sites prepared by
Cumulus for stations KOLI(FM), KQXC and KLUR-FM. Each listed Marks as
the station general manager. In addition, the sites for KOLI(FM) and
KLUR-FM stated that Jim Nash was the music director and that Jay
Phillips was the program director and web site designer.
18\. Both High and Cumulus opposed Apex's petition. In addition to
supplying the loan and lease agreements between itself and Cumulus, High
submitted the declaration of James Driskill ("Driskill"). Driskill
identified himself as KOLI(FM)'s general manager; stated that he became
KOLI(FM)'s general manager on January 30, 1998; and averred that he was
a full-time employee of High and solely compensated by it. In its
opposition, High reported that Driskill also served as KOLI(FM)'s music
director and as an air personality under the air name "Jim Nash." High
further acknowledged that Driskill provided services, "*for no
compensation*," (emphasis in the original) as music director to
KLUR-FM.[^12] High claimed that Driskill had no other connection with
KLUR-FM or Cumulus. High further contended that it had controlled and
continued to control the station's policy decisions in the areas of
programming, personnel, and finances. High noted that, under the TBA, it
had sole responsibility for ensuring that programming met the needs of
the community of Electra and that it employed Driskill to ensure that
High met its programming responsibilities. Regarding personnel and
finances, High averred that it had no relationship with Marks and that,
in addition to Driskill, KOLI(FM) had a staff employee. High stated that
it compensated both of its employees directly. Finally, High argued that
the loan and lease agreements imposed no undue burdens. In this regard,
High observed that, under the loan agreement, its obligation was merely
to repay the sums loaned. Moreover, if Cumulus did not purchase the
station and the TBA were terminated, High had the option of purchasing
the equipment from Cumulus. In sum, High argued that its arrangement
with Cumulus was structured in accordance with Commission precedent[^13]
and that it had not prematurely transferred control of KOLI(FM) to
Cumulus.
19\. Cumulus also claimed that the loan and lease agreements comported
with Commission precedent. However, Cumulus also noted that Driskill had
a three-hour morning show on KOLI(FM), which aired Monday through
Friday. Although Cumulus acknowledged that its employees helped Driskill
produce his show, it argued that the show's content was under Driskill's
control. Finally, Cumulus submitted a declaration from Marks, who
identified himself at this point as Cumulus' time brokerage operations
manager for KOLI(FM). Marks averred that Driskill did not report to
Cumulus on any KOLI(FM) programming matters.
20\. Apex's reply alleged that as of June 23, 1998, High still had not
arranged for a local telephone number for KOLI(FM). Apex also pointed
out that Driskill was listed in the *1998 Broadcasting & Cable Yearbook*
as KLUR-FM's music director, and it argued that it was "absurd" to
believe that Driskill was insulated from his former employer, Cumulus,
merely because he was now employed by High. Apex also contended that the
nature of the financial arrangements, coupled with High's non-profit
status and lack of income, ensured that Cumulus would acquire the
station, either by purchase or by default.
21\. *1998 Letter Decision*. By letter dated September 14, 1998, the
Bureau denied Apex's informal objection and cautioned High and Cumulus
for improperly commencing commercial operations on KOLI(FM). The Bureau
took no further action on the issue of High's premature commercial
operation, stating that the violation was less egregious than that
admonished in a prior staff action.[^14] The Bureau also admonished High
for violating the Commission's public file rule, Section 73.3527.[^15]
At the same time, however, the 1998 Letter Decision withheld action on
the license and assignment applications pending submission of
information relating to the roles of High and Cumulus in constructing
and operating KOLI(FM). The letter requested, among other things, that
High and Cumulus provide (1) a copy of all attachments to the December
1, 1997, TBA between High and Cumulus; (2) Commission precedent
approving the type of negative covenants imposed on High in the December
1997 Loan Agreement; (3) the basis for the \$238,400 purchase price for
KOLI(FM) specified in the December 1, 1997, option agreement; (4) the
name or names of the persons who constructed and oversaw construction of
KOLI(FM); (5) a description of all actions taken by High to construct
KOLI(FM); and (6) specific information regarding James Driskill's duties
as KOLI(FM) general manager. High and Cumulus responded by letters dated
October 26, 1998; Apex submitted comments on the responses on November
6, 1998.
22\. Initially, High contended that it had completed the preliminary
site work. In this regard, High stated that Hickerson had located the
site referenced in the 1995 construction permit application and, in
1997, negotiated the lease, prepaid the rent, and worked with the survey
firm to establish the site's boundaries and the precise location of the
tower. However, both High and Cumulus acknowledged that the station's
facilities were constructed by Sellmeyer and Chancey.[^16] Further, both
agreed that Cumulus placed numerous construction-related orders and
directly paid vendors for these services and equipment. Finally, both
acknowledged that Cumulus leased the studio and office space for
stations KLUR-FM and KOLI(FM), and, in turn, sub-leased a portion of
that space to High. Nevertheless, High argued that Sellmeyer knew that
final authority for construction of the station rested with
Hickerson,[^17] while Cumulus insisted that the station was constructed
according to specifications provided by High. High further contended
that in July 1997, Hickerson "began negotiations with Cumulus in order
to obtain financing for the construction" of the station, which led to
the execution of the MOU, a copy of which it attached.[^18] According to
High, "negotiations continued through the fall of 1997, culminating in
the execution" of the option agreement, TBA, loan agreement, and lease
agreement in December 1997.
23\. With respect to personnel, High averred that Driskill began his
KOLI(FM) general manager duties on January 30, 1998, when the station
began broadcasting. According to Driskill, he and Hickerson negotiated
Driskill's salary and duties in January 1998. Prior to working for High,
Driskill stated that he was the music director for KLUR-FM and reported
to Jay Phillips, the station's operations director. After beginning
employment at KOLI(FM), Driskill acknowledged that he "agreed to provide
\[his\] services to station KLUR on an uncompensated basis, assisting
Mr. Phillips with music selection." Driskill further averred that in
mid-April 1998, Phillips took primary responsibility for music selection
at KLUR-FM and that in July 1998 he \[Driskill\] "ceased all activities
relating to music selection and play-list development for the station."
Driskill declared that, as KOLI(FM)'s general manager, he performed his
daily on-air shift and necessary commercial production work, prepared
the daily music log, reviewed programming provided by Cumulus, prepared
payroll and other expenses for payment and updated the public file.
Driskill also stated that he supervised the other KOLI(FM) employee, who
answered the telephone, maintained the public service record
announcements and paid some bills. According to Cumulus, Driskill
officially resigned from its employment, effective February 15, 1998.
Finally, Cumulus reported that Chancey, then a Cumulus employee,
provided engineering services for High.
24\. High's October 26, 1998, response contains an additional affidavit
from Marks. In this affidavit, Marks identified himself as the general
manager of Cumulus stations KLUR-FM, KQXC, and KYYI. Marks acknowledged
that he was responsible for programming KOLI(FM) under the TBA.
According to Marks, Cumulus initially programmed the station without
commercials. Upon the filing of the license application, Cumulus began
commercial programming.
25\. With respect to finances, High submitted copies of all attachments
to the TBA. These submissions require Cumulus to reimburse High for
salaries, rental payments, utility charges, and insurance premiums.
However, no payment amount for airtime was specified in the TBA
attachments. In response to the Bureau's inquiry about certain negative
covenants in the loan agreement,[^19] High observed that the covenants
did not flatly prohibit High from taking the specified actions but
merely required Cumulus' consent. In any event, High argued, the
covenants in the loan agreement were for the express purpose of
protecting Cumulus' investment and did not confer control of KOLI(FM)
upon Cumulus. As for the setting of the \$238,400 purchase price for the
station, the applicants contended that it was established through
arms-length negotiations as facilitated by a broker. The purchase price
did not include station equipment, and Cumulus acknowledged that the
equipment was purchased "with the contemplation that the Station, and
all related assets, would eventually be purchased by Cumulus from High."
High further observed that Cumulus had paid approximately \$6 million
for its other three Wichita Falls area stations.
26\. In its comments filed November 6, 1998, Apex argued that the
applicants' submissions compelled the conclusion that a premature
transfer of control had occurred. Regarding construction, Apex contended
that High had not undertaken any meaningful activity to construct or
supervise construction of KOLI(FM). Apex further charged that, contrary
to the claim made by High that Driskill had ceased performing any
services for Cumulus in July 1998, Driskill continued to provide
services to KLUR-FM into October 1998. Regarding Driskill's specific
duties, Apex argued that the duties were devoid of substance and were
more likely performed for Cumulus' benefit. Thus, according to Apex,
Driskill cannot be viewed as a High management-level employee.[^20]
Further, considering that funds for Driskill's salary were provided by
Cumulus, Apex argued that Driskill's role must be deemed contrary to the
cross interest policy articulated by the Bureau in *Michael R.
Birdsill*.[^21] Apex also contended that, contrary to previous
representations, High has no financial responsibility for KOLI(FM),
because Cumulus paid all expenses. Finally, Apex argued that High's
extension and license applications lacked candor inasmuch as they made
no mention of Cumulus.
27\. *April 30, 1999, Staff Inquiry Letter*. By letter dated April 30,
1999, the staff sought further information from High and Cumulus to
assess more fully the allegations related to control of Station
KOLI(FM), High's compliance with document filing rules and the main
studio rule, and the *bona fides* of High's extension and license
applications.[^22] After receiving two extensions of time, High and
Cumulus responded by letters dated July 16, 1999.[^23]
28\. In response to queries about its finances, High acknowledged that
it could not demonstrate that it had any liquid assets for construction
of KOLI(FM) other than what it received from Cumulus. Indeed, the only
pre-Cumulus payment High could verify was for a 1995 engineering charge
for preparing High's construction permit application. Moreover, once
Cumulus became involved, High could not point to any expense related to
KOLI(FM) that Cumulus had not paid directly or indirectly. As for its
failure to file the letter of intent with the Commission, High contended
that the letter of intent was nothing more than an expression of intent
to negotiate and only set forth a procedure for negotiation. As for the
MOU, High argued that it merely provided that Cumulus would assist High
with station construction and that it merely required High to negotiate
in good faith a definitive option agreement but did not constitute a
fully negotiated option or purchase agreement.
29\. With respect to the extension application, High acknowledged that
Cumulus had entered into the referenced lease agreement. High explained
that Cumulus had agreed with High to make a portion of Cumulus' space
available to High. High also explained that it made no reference to
Cumulus in its extension or license applications because it thought none
was necessary. High maintained that it answered the questions posed by
the applications based on the facts and circumstances as they then
existed. High further contended that it filed its ownership report as it
stated it would in its license application and that it supplemented its
ownership report shortly thereafter.
30\. High admitted that the option, the TBA, and the loan agreement were
not filed within the time specified by the rules, but argued that they
were filed as soon as High recognized its oversight. High attributed
this tardy filing to inadvertence. High contended that it was not
required to file either the MOU or the letter of intent. Cumulus also
conceded that, technically, it should have filed the TBA within 30 days
of its execution; however, it contended that, because the TBA did not
become effective until January 30, 1998, its filing on February 12,
1998, should be viewed as timely.
31\. Regarding construction, Cumulus acknowledged that it contacted
Sellmeyer to construct KOLI(FM)'s authorized facilities. According to
Sellmeyer, he, Cumulus, and Hickerson agreed to an arrangement where
Sellmeyer would submit his bills directly to Cumulus. Sellmeyer and High
further claimed that, during construction, telephone conversations
between Sellmeyer and Hickerson occurred.
32\. With respect to Driskill, High averred that, beginning in January
1998, Driskill and Hickerson spoke about Driskill's potential employment
and that, following Driskill's hiring, they spoke about two to three
times per week until March 1998. From then until Hickerson's death on
April 23, 1998, they spoke about once a week. Subsequently, High stated
that Driskill also telephoned High's Treasurer, Zachary Hickerson.[^24]
High did not provide the dates of any of the calls. High's response also
reflects that Driskill received a \$100 per month raise from his prior
salary upon assuming his new duties, but that he continued to provide
services to KLUR-FM, without compensation from Cumulus, through August
1998. High conceded that it neither knew nor approved of Driskill's work
for Cumulus. According to Cumulus, Driskill is eligible for re-hire.
33\. As for programming, High averred that, on Sundays at 8 a.m.,
KOLI(FM) aired a 30-minute public affairs program hosted by Driskill,
and it provided a list of the topics covered between March 29, 1998 and
July 26, 1998. However, High also conceded that "on a few occasions" a
Cumulus employee "contributed to the programming" after Driskill had
determined that the subject matter was important to the Electra
community. With respect to Driskill's morning show, High and Cumulus
acknowledged that his daily air shift was simply part of the time
brokered by Cumulus.
34\. With regard to station expenses, Cumulus conceded that as of March
1998, it had not yet established with High the payment procedures
contemplated by the TBA. As a result, Cumulus paid most of the station's
expenses directly to third party vendors. However, by July 1998, it
appears that High was paying most of the expenses that it was obligated
to pay under the TBA although, even then, the telephone and electric
bills were addressed to Cumulus. In any event, pursuant to the TBA,
Cumulus reimbursed High for the station's expenses paid by High.
Finally, notwithstanding the TBA's recitation that High was to maintain
insurance for KOLI(FM), it appears that High did not do so.
35\. *August 10, 1999, Letter Decision*. By letter dated August 10,
1999, the Bureau granted the petition to deny in part and denied it in
part, finding that Apex had not raised a substantial and material
question of fact calling for further review regarding the license and
assignment applications. The Bureau also granted the license and
assignment applications "without prejudice to whatever action, if any,
the Commission deems appropriate in light of the matters raised \[in the
two inquiry letters discussed in greater detail above.\]"
**Discussion**
*A. Applications for Review*
36*.* [October 13, 1998, application for review]{.underline}. In its
October 13, 1998, application for review, Apex argues that the 1998
Letter Decision finding erred in failing to order the termination of
KOLI(FM)'s program tests which, it claims, were undertaken in "an
intentional and unexcused violation of a clear Commission rule." Section
73.1690(c), states Apex, clearly requires grant of an application on FCC
Form 302 before a broadcaster can convert from NCE to commercial
operation,[^25] and "there is absolutely no basis, either in law or in
fact, to support the ultimate finding . . . that \[High's\] commercial
operation of its noncommercial permit was the result of an honest
mistake."
37\. We disagree and affirm the Bureau's decision. Section 399B of the
Communications Act of 1934, as amended,[^26] implemented by Section
73.503 of the Commission's Rules, prohibits NCE broadcast stations from
broadcasting announcements that promote the sale of goods and services
of for-profit entities in exchange for remuneration. It is undisputed
that High, despite holding a permit for KOLI(FM) authorizing NCE FM
operations on non-reserved FM Channel 235, commenced commercial
operations on February 4, 1998, prior to grant of the license
application proposing, *inter alia*, conversion to commercial operation.
This operation violated the terms of its authorization and Section
73.503. As noted, High claims to have believed that Section 73.1690 did
not apply to KOLI(FM), as by its terms the rule applies only to
licensees, not permittees, and it therefore needed only to notify the
Commission of its commercial operation.[^27]
38\. We conclude that the Bureau properly rejected High's contention
that Section 73.1690(c)(9) requires NCE *licensees*, but not permittees,
to receive approval of a modification of license application prior to
converting to commercial operation. As noted by the Bureau, Section
73.1690(c) requires prior Commission approval -- *i.e.*, a finding that
a conversion to commercial operations would further the public interest
-- prior to effectuation of the change. Although the rule is phrased in
terms of licensees, no rational basis exists for applying the provisions
of Section 73.1690(c)(9) to licensees while not applying those
provisions to permittees especially when, as here, the permittee is
operating pursuant to program test authority.[^28] Despite this
violation, we conclude that Apex has not established a *prima facie*
case that High engaged in disqualifying conduct by commencing commercial
operations prior to grant of the modification of license application.
Permission to change from noncommercial to commercial service on a
non-reserved channel is routinely granted, and no basis exists in this
record to consider High's request anything but routine. While its
commencement of commercial operations was premature, this action appears
to be a simple mistake and does not implicate High's basic
qualifications.[^29] Accordingly, we affirm the staff's decision not to
pursue the matter further, and we will deny Apex' October 13, 1998,
application for review.
39\. [September 13, 1999, application for review]{.underline}. In its
September 13 application for review, Apex contends that the 1999 Letter
Decision "does not constitute reasoned decision making," as required by
the Administrative Procedure Act[^30] and the federal courts. Such
"impermissible brevity" prejudiced Apex, it claims, because it is unable
to analyze the staff's reasoning. It claims that the 1999 Letter
Decision "is utterly silent as to whatever facts it may have considered
and the manner in which its ultimate conclusion was reached." We agree
that the Letter Decision did not constitute reasoned decision making. To
rectify this deficiency, we have reviewed *de novo* the pleadings that
culminated in that ruling. For the reasons set forth below, we affirm
the staff's conclusion that Apex has not raised a substantial and
material question of fact regarding the license and assignment
applications.[^31] We will, however, admonish High and Cumulus for
unauthorized transfer of control and further admonish High for its
failure to file required contracts, as discussed *infra*.
*B. Unauthorized Transfer of Control*
40\. Section 310(d) of the Communications Act states, in pertinent part:
> No construction permit or station license, or any rights thereunder,
> shall be transferred, assigned, or disposed of in any manner,
> voluntarily or involuntarily, directly or indirectly, or by transfer
> of control of any corporation holding such permit or license, to any
> person except upon application to the Commission and upon finding by
> the Commission that the public interest, convenience, and necessity
> will be served thereby.[^32]
There is no fixed formula for evaluating whether a party is in *de
facto*, or actual, control of a broadcast station.[^33] In making such a
determination, we traditionally look to whether a new entity has
obtained the right to determine the basic operating policies of the
station.[^34] Specifically, we seek to ascertain who determines the
station's policies with respect to programming, personnel and
finances.[^35] A licensee may delegate certain functions on a day-to-day
basis to an agent or employee,[^36] but such delegation cannot be
wholesale. That is, those persons assigned a task must be guided by
policies set by the permittee or licensee.[^37] Moreover, the standards
by which we measure control are equally applicable in situations
involving time brokerage agreements.[^38] Finally, when examining a
situation where relevant agreements were entered into prior to or during
construction, we also look to see who was in control of station
construction.[^39]
41\. We find that Cumulus, not High, was the entity in control of
station construction. Cumulus, in accordance with the July 28, 1997,
letter and MOU, acquired equipment and constructed the station. Cumulus
contacted and paid Sellmeyer, the engineer who oversaw construction, and
supplied and paid the technician who had on-site responsibility for
station construction. Cumulus, after receiving proposals from Sellmeyer,
also directly contracted with equipment suppliers and paid the invoices.
In addition, Cumulus arranged for KOLI(FM) studio space in conjunction
with its acquisition of studio space for three other stations. High's
documented construction activity consisted of working with the surveyor
and finalizing the lease for the land on which the tower was built.
Finally, while we recognize that the engineer, Sellmeyer, had periodic
conversations with Hickerson and supposedly understood that High was the
client, the fact remains that Cumulus retained Sellmeyer and paid his
invoices. In sum, it appears that High's role in the construction
process was minimal while Cumulus' role was dominant.[^40]
42\. With respect to programming, the TBA gives Cumulus the right to
program the station although High can preempt or refuse to broadcast any
program it deems contrary to the public interest. In addition, the TBA
gives High the right to schedule and present public interest programming
at any time it deems best. On their face, these provisions are similar
to those previously approved by the Commission. The TBA of the type
employed in this case and the parties' programming decisions under this
agreement do not constitute an unauthorized transfer of control.[^41]
43\. As far as personnel are concerned, Apex has failed to rebut High's
claim that it hired Driskill in January, 1998, to serve as station
general manager. In that capacity, High proffers that Driskill (1)
performed one daily on-air broadcast shift;[^42] (2) performed necessary
commercial production work; (3) prepared the daily music log; (4)
reviewed the programming provided by Cumulus to ensure that it comports
with Commission requirements and meets the needs of the residents of
Electra, Texas; (5) supervised High's one other KOLI(FM) station
employee;[^43] (6) prepared payroll and other expenses for payment; (7)
updated and maintained the KOLI(FM) public inspection file; and (8)
performed "any other necessary day-to-day operational activities."[^44]
High also claims that Driskill produced a weekly 30-minute public
affairs show on Sunday mornings,[^45] and Mr. Driskill states that he
also was responsible for ensuring that KOLI(FM) complies with Commission
technical standards and for requesting engineering services for the
station as necessary.[^46] However, it also is the case that Driskill
regularly performed duties for Cumulus well after he resigned from
Cumulus' employ and became KOLI(FM)'s general manager in late January
1998.[^47] Moreover, High has failed to establish that Driskill
exercised any substantive managerial responsibilities at KOLI(FM). This
lack of control is buttressed by Cumulus' substantial financial control
over station operations.
44\. With respect to finances, for the first several months after
KOLI(FM) went on the air, Cumulus paid directly most, or perhaps all, of
the station's expenses. Indeed, there is no evidence that High paid
*any* station expenses until the summer of 1998. Moreover, station
telephone and electric bills were addressed to Cumulus after that time,
and there is no indication that High maintained insurance protection, as
it was required to under the TBA. Although High maintained a bank
account at all times during its tenure as permittee of KOLI(FM), we
conclude that High permitted Cumulus to assume key managerial and
financial control over KOLI(FM) operations from the time of the letter
of intent in July 1997 and did not regain control subsequently.[^48]
C. *Material Omissions*
45\. High\'s assertions in the 1997 extension application concerning
equipment orders and station construction were truthful. At issue is
whether High\'s failure to disclose its contractual reliance on Cumulus
to complete station construction constitutes a \"willful material
omission\" in violation of Section 73.1015. We conclude it does not.
46\. A permittee may rely on external technical, financial and legal
assistance to construct its authorized station.[^49] In fact, the
Commission has concluded that a non-permittee/option holder may be
\"closely involved in the many facets of the funding and construction\"
of a new station.[^50] Nothing in the former extension of permit
application required the disclosure of the extent to which the permittee
was relying on unrelated parties for station construction or the terms
of the various related agreements. Although one can conclude that High
was wholly dependent on Cumulus to construct KOLI, essentially the same
\"charge\" can be leveled against any permittee that is relying on
lenders, equipment suppliers, and other vendors to finance and build its
authorized station. On these facts we cannot conclude that the extension
application was materially incomplete.
D. *Failure to file contracts*
47\. Section 73.3613 provides in pertinent part that each broadcast
permittee is required to file with the Commission within 30 days of
their execution, certain agreements which affect the ownership and/or
operation of the permittee's station. Specifically, a permittee is
required to file, *inter alia*: "(b) \[c\]ontracts, instruments or
documents relating to the present or future ownership or control of the
permittee . . . \[including\] (3) (iii) options to purchase stock and
other executory agreements; (5) loan agreements containing provisions
restricting the . . . permittee's freedom of operation; and (d) time
brokerage agreements. In addition, Sections 73.3615(a)(4)(i) and
73.3615(b) provide that permittees include with ownership reports filed
with their license applications "\[a\] list of all contracts still in
effect required to be filed with the FCC by \[Section\] 73.3613 showing
the date of execution and expiration of each contract."
48\. As noted above, High executed the MOU on August 11, 1997. That
document established the parameters of the High-Cumulus relationship.
Specifically, it provided that Cumulus would acquire and own the
equipment necessary to operate the radio station and that it would lease
the equipment to High. It provided that Cumulus would also loan High the
money needed to construct and commence operations. It further provided
that High would give Cumulus an assignable option to acquire the
station's assets, including the station authorization, and it set the
price of the option and described it in detail. The MOU also noted what
Cumulus would pay to acquire the station's assets, and it also provided
that Cumulus would assume all indebtedness under loans made by Cumulus
to High. Moreover, the MOU provided that the parties would enter into a
time brokerage agreement. Finally, the MOU called for High to file a
copy of the executed document with the Commission. Clearly, both Cumulus
and High understood that the MOU was a document that was related to the
future ownership of KOLI(FM).[^51] As such, it should have been filed no
later than 30 days after execution, that is, by September 11, 1997.
However, High did not file it until October 26, 1998. We also find that
High did not timely file the loan agreement, the option agreement or the
TBA, nor did it provide a list of those agreements with its ownership
report. Each of the foregoing documents was executed December 1, 1997.
The TBA and option agreement were filed in February 1998; the loan
agreement was filed in June 1998. All should have been filed within 30
days of their execution as High concedes.
**Conclusions/Actions**
49\. Based upon our review of the facts and circumstances in this case,
we conclude that an evidentiary hearing is not appropriate. The
Commission is usually hesitant to designate a renewal or assignment
application for evidentiary hearing on grounds of technical or legal
violations in the absence of misrepresentation or lack of candor.[^52]
While the record indicates that Cumulus prematurely assumed control of
station KOLI(FM), there is no evidence of any attempt to intentionally
mislead the Commission about these matters.[^53] Further, as noted
previously, High's President, Larry Hickerson, is deceased, thus
mitigating the potential for future lapses.[^54] For these reasons, we
conclude that the violations here do not raise questions about the
character qualifications of these parties to be licensees.[^55] Thus,
despite the improper actions of the parties, we believe that designation
of the subject applications for evidentiary hearing, or the institution
of revocation proceedings, would be inappropriate.
50\. As discussed above, however, we find that High apparently abdicated
control of KOLI(FM) without Commission consent upon the execution of the
MOU and that such abdication continued to the date the Commission
granted the assignment of the KOLI(FM) permit to Cumulus. Furthermore,
High admittedly failed to file the MOU or TBA, loan, and option
agreement within 30 days of their execution, as required by Section
73.3613 of the Commission's Rules, and failed to list them in its
ownership report as required by Section 73.3615. Additionally, as
discussed above, we find that Cumulus apparently obtained control of
KOLI(FM) without Commission consent upon the signing of the MOU and that
such abdication continued to the date the Commission granted the
assignment of the KOLI(FM) permit to Cumulus.
51\. Under Section 503(b)(1)(A) of the Communications Act, the
Commission may assess a forfeiture against a person who has \"failed to
comply substantially with the terms and conditions of any license \[or\]
permit . . . .\"[^56] Section 503(b)(6)(A) disallows the assessment of
forfeitures against a person \"hold\[ing\] a broadcast license issued
under title III of \[the Communications\] Act . . . if the violation
charged occurred (i) more than 1 year prior to the date of issuance of
the required notice or notice of apparent liability; or (ii) prior to
the date of commencement of the current term of such license, which ever
is earlier.\"[^57] Under Section 503(b)(6)(B), a forfeiture cannot be
imposed on a person not holding a broadcast station license "if the
violation charged occurred more than one year prior to the date of
issuance of the required notice."[^58] Because the specified violations
occurred more than one year ago, while High was the permittee of
KOLI(FM), we may not levy a forfeiture against High for the violations
discussed above.[^59] With respect to Cumulus, the unauthorized transfer
of control ended with the Bureau's August, 10, 1999 grant of the subject
assignment application. The simultaneous grant of the license
application also forecloses our ability to issue a forfeiture to Cumulus
for assuming control of the station KOLI(FM) construction permit without
Commission authorization, because the conduct at issue occurred more
than one year ago. Accordingly, we ADMONISH High and Cumulus for their
failure to comply with the Commission's rules.
52\. In light of the above actions, Apex' October 13, 1998 application
for review filed on behalf of Apex Broadcasting, L.L.C. IS DENIED, and
its September 13, 1999 application for review IS GRANTED TO THE EXTENT
INDICATED HEREIN and IS DENIED in all other respects.
FEDERAL COMMUNICATIONS COMMISSION
Marlene H. Dortch
Secretary
**JOINT STATEMENT OF**
**COMMISSIONERS MICHAEL J. COPPS AND JONATHAN S. ADELSTEIN**
**CONCURRING IN PART AND DISSENTING IN PART**
*Re: High I-Q Radio, Inc., Noncommercial Educational FM Station
KOLI(FM), Electra, Texas, Memorandum Opinion and Order*
This case is replete with violations of Commission rules, including the
unauthorized commencement of commercial operations for a noncommercial
permittee; an unauthorized transfer of control of the station; and
failure to file required documents with the Commission. We concur in
these findings.
Each of these violations would ordinarily be subject to a fine or
further enforcement action. Yet, the Order concludes that no further
action is warranted on some violations, and that the lengthy delay in
this case prevents the Commission from fining the parties for other
violations because the statute of limitations has expired. So
ultimately, Cumulus, the entity that prematurely assumed control of the
station, walks away with a minor warning, all necessary FCC
authorizations and a clean slate.
Because we are not convinced that this case raises no major questions
for further inquiry, we dissent in part.
**CONCURRING STATEMENT OF**
**COMMISSIONER KEVIN J. MARTIN**
*Re: High I-Q Radio, Inc., Noncommercial Educational FM Station
KOLI(FM), Electra, TX, Application for License to Cover Construction
Permit, Application for Assignment of Construction Permit to Cumulus
Licensing Corp., Memorandum Opinion and Order*
I agree with the findings made in this Order, including the unauthorized
commercial operation and the premature transfer of control. I am
concerned, however, that the Commission's delay in action has rendered
us powerless to issue a fine. We need to act in a more timely fashion so
that the statute of limitations does not eviscerate our ability to
enforce our rules.
[^1]: Apex indirectly controls through various subsidiaries four radio
stations licensed to Wichita Falls, Texas: KNIN-FM, KTLT, KWFS(AM),
and KWFS-FM. These stations compete with KOLI for listeners and
advertisers.
[^2]: *See Letter to High I-Q Radio, Inc. and Cumulus Licensing
Corporation*, reference 1800B3-MFW (MMB, Sept. 14, 1998). High I-Q
Radio, Inc. filed an opposition on October 28, 1998, to which Apex
filed a reply on November 9, 1999.
[^3]: Hickerson subsequently died on April 23, 1998.
[^4]: The MOU reflects that a broker hired and paid by Cumulus helped
determine the purchase price.
[^5]: High did not do so, however, until October 1998. High stated that
its failure to file promptly was due to an oversight on the part of
its counsel. Moreover, High did not submit the July 1997 letter
until July 1999. *See* *infra*.
[^6]: The record in this case does not indicate when the option price
was paid by Cumulus to High.
[^7]: S*ee* *infra* ¶ 18.
[^8]: High did file its ownership report on February 5, 1998. However,
it did not include the list of contracts required by Section
73.3615(a)(4) of the Commission's Rules.
[^9]: Apex's March 3, 1998, reply raised no new matters.
[^10]: File No. BAPH-980421HW.
[^11]: Apex also contended that High was attempting to sell an unbuilt
station for consideration far in excess of its legitimate and
prudent expenses in violation of Section 73.3597(c)(2) of the
Commission's Rules. However, by *Notice of Proposed Rule Making,*
*1998 Biennial Regulatory Review*, 13 FCC Rcd 11349, 11360 (1998),
the Commission proposed to eliminate the "no profit" rule.
Subsequently, by *Report and Order,* *1998 Biennial Regulatory
Review -- Streamlining of Mass Media Rules*, 13 FCC Rcd 23056, 23070
(1998), the Commission eliminated the no profit limitation with
respect to the sale of outstanding commercial station construction
permits. With respect to noncommercial educational stations, the
Commission eliminated the no profit limitation for permits granted
prior to the release of the Report and Order. In light of this rule
change and considering all of the circumstances, we do not believe
it necessary to consider this allegation further.
[^12]: Opposition at 7, n. 5.
[^13]: High relies principally on *Letter to William L. Silva, Esq*., 9
FCC Rcd 6155 (MMB 1994), *recon. denied,* July 24, 1995,
*application for review denied sub nom*. *Choctaw Broadcasting
Corporation*, 12 FCC Rcd 8534 (1997).
[^14]: The Bureau cited *Letter to State of Oregon Acting by and through
the State Board of Educations f/b/o Southern Oregon State College
and Mr. Thomas F. Erickson (KZRO(FM), Dunsmuir, California)*,
reference 1800B3-MFW (Aud. Serv. Div., rel. June 26, 1997)
("*KZRO*"), *aff'd on other grounds*, *Fatima Response, Inc.*, 14
FCC Rcd 18543 (1999), *recon. denied*, 15 FCC Rcd 10520 (2000).
[^15]: 47 C.F.R. § 73.3527.
[^16]: Cumulus also reported that, as of September 1, 1998, Chancey
became a Cumulus employee.
[^17]: In this regard, High submits a declaration from Sellmeyer, who
avers that "\[t\]hroughout the construction of station KOLI I
conferred via telephone with Mr. Larry Hickerson on several
occasions." Sellmeyer also states that he worked with Larry
Hickerson to prepare the STL and license applications, that he knew
the permittee was High, and that actual final authority for
construction rested with Larry Hickerson.
[^18]: The MOU, in turn, referenced a "letter of intent," which had been
executed two weeks earlier.
[^19]: The Bureau referenced provisions in the agreement pursuant to
which High was not to take any of the following actions without
Cumulus' prior written consent: (1) change its name; (2) enter into
any written or oral employment contract unless the contract is
terminable at will without penalty; (3) contract with any labor
union; or (4) enter into "any contract, lease, or agreement *with
anyone other than Cumulus*" unless the contract was terminable upon
30 days' notice without penalty (emphasis supplied).
[^20]: Apex also pointed out that one of High's own exhibits belied its
claims regarding Driskill inasmuch as it was a February 3, 1998,
letter from Cumulus' counsel addressed to Marks as "General Manager"
of stations including KOLI.
[^21]: *Michael R. Birdsill*, 7 FCC Rcd 7891 (MMB 1992).
[^22]: *Letter to High I-Q Radio, Inc. and Cumulus Licensing
Corporation,* reference 1800C1-JWS, (Enf. Div., rel. Apr. 30, 1999).
[^23]: In addition, by letter dated August 24, 1999, Apex submitted
further comments on the July 16, 1999, responses of High and
Cumulus. To the extent appropriate, Apex's comments will be
incorporated into the discussion set forth below.
[^24]: Hickerson states that:
> in the first month after Larry Hickerson's death, Mr. Driskill
> spoke with me two to three times per week, assisting me in getting
> up to speed regarding station operations as well as answering
> questions regarding the station which were relevant to the
> settlement of Larry Hickerson's estate. Beginning in approximately
> June 1998, my contacts with Mr. Driskill have become less
> frequent, depending on station activity.
July 16, 1999, High response, Letter of Zachary Hickerson, at 3.
[^25]: Section 73.1690(c)(9) states, in pertinent part, that "a
noncommercial educational . . . FM licensee on Channels 221 to 300
(except Class D stations) on a channel not reserved for
noncommercial educational use, may apply to change from educational
or commercial *via* a modification of license application, and no
exhibits are required with the application. The change will become
effective upon grant of the license application." High argued that
Section 73.1690(c)(9) did not apply here, because it was only a
permittee, not a licensee, of KOLI(FM).
[^26]: 47 U.S.C. § 399B.
[^27]: The staff previously rejected this interpretation in *KZRO*. In
fact, however, even prior to the adoption of Section 73.1690(c)(9),
the staff required the filing of a license application for consent
to convert from NCE to commercial operations.
[^28]: The "plain meaning" of a statute or regulation will not be
followed where to do so produces an absurd result in clear violation
of the intent of the drafters. *See United States v. American
Trucking Associations*, 310 U.S. 534 (1940).
[^29]: At most, the premature commencement of commercial operations
would have warranted a forfeiture for violation of Section 73.503
and operating at variance with the KOLI(FM) authorization. *See,
e.g.*, *Family Vision Ministries*, 18 FCC Rcd 1418 (2003) ("isolated
occurrence" of violation of Section 73.503 did not warrant any
sanction); *Isothermal Community College*, 17 FCC Rcd 22,666 (2002)
(license admonished for violation of Section 399B of the Act and
Section 73.503 of the Commission's rules when it broadcast numerous
promotional announcements for a for-profit concert event); and
*Russellville Educational Broadcast Foundation*, 14 FCC Rcd 13508
(\$2,500 forfeiture imposed for violation of Section 399B of the Act
and Section 73.503 of the Commission's rules when licensee aired
over 800 promotional announcements on behalf of for-profit entities
over a one-year period); *Minority Television Project Inc*., 17 FCC
Rcd 15646 (EB, rel. Aug. 9, 2002) (\$10,000 forfeiture imposed for
numerous and egregious violations of Section 399B of the Act and
Section 73.621(e) of the Commission\'s rules, but finding no other
type of sanction to be necessary or justified at the time).
[^30]: 5 U.S.C. § 551 *et seq.*
[^31]: *Serafyn v. FCC,* 149 F.3d 1213 (D.C. Cir. 1998); *Astroline
Communications Co. v. FCC*, 857 F.2d 1556, 1561-62 (D.C. Cir. 1988);
*Gencom, Inc.,* 832 F.2d 171, 180-81 (D.C. Cir. 1987); *Citizens for
Jazz on WRVR v. FCC*, 775 F.2d 392, 394-95 (D.C. Cir. 1985). The
Court of Appeals for the District of Columbia Circuit has held that
the Commission need not rigidly follow this two-step process, and
can focus on the second step when evaluating a petition to deny.
*See Mobile Communications Corp. of America v. FCC*, 77 F.3d 1399,
1409-10 (D.C. Cir. 1996), *cert. denied*, 519 U.S. 823 (1996).
[^32]: 47 U.S.C. § 310 (d). *See also* 47 C.F.R § 73.3540.
[^33]: *See, e.g*., *Stereo Broadcasters, Inc*., 55 F.C.C.2d 819, 821
(1975), *modified*, 59 F.C.C.2d 1002 (1976).
[^34]: *See* *WHDH, Inc.*, 17 F.C.C.2d 856 (1969), *aff'd sub nom*.
*Greater Boston Television Corp. v. FCC*, 444 F.2d 841 (D.C. Cir.
1970), *cert. denied*, 403 U.S. 923 (1971).
[^35]: *See* *Choctaw Broadcasting Corporation*, 12 FCC Rcd at 8538
(1997).
[^36]: S*ee, e.g*., *Southwest Texas Public Broadcasting Council*, 85
F.C.C.2d 713, 715 (1981).
[^37]: *See* *David A. Davila*, 6 FCC Rcd 2897, 2899 (1991).
[^38]: *Choctaw Broadcasting Corporation*, *supra*.
[^39]: *See* *Roy M. Speer*, 11 FCC Rcd 18393 (1996).
[^40]: *Accord*, *Roy M. Speer*, 11 FCC Rcd at 18414-17; *Salem
Broadcasting, Inc.,* 6 FCC Rcd at 4173.
[^41]: *See* *Choctaw Broadcasting Corporation*, 12 FCC Rcd at 8539;
*Manahawkin Communications Corporation,* 17 FCC Rcd 342 (2001).
[^42]: Cumulus sells the advertising time and provides the material to
be aired during Mr. Driskill's program pursuant to the TBA.
[^43]: Driskill supervised Ms. Marti Driskill, who began working at the
station on February 16, 1998, as a receptionist. Her primary duties
are answering the telephone, maintaining the public service record
announcements, and paying some bills. *See* High's October 26, 1998
response to staff inquiry letter, Declaration of James Driskill, ¶
8.
[^44]: *See* High's June 11, 1998, Opposition to Petition to Deny,
Affidavit of James Driskill, ¶¶ 5, 6; High's October 26, 1998,
response to staff inquiry letter, Declaration of James Driskill, ¶¶
6-8; and High's July 16, 1999, response to staff inquiry letter,
Letter of Zachary C. Hickerson, at 5.
[^45]: High acknowledges that Brad Austin, a Cumulus employee, has
contributed to this program "when Mr. Driskill has determined that
Mr. Austin's own public affairs programming on behalf of Cumulus is
important to the Electra Community." *See* High's July 16, 1999,
response to staff inquiry letter, Letter of Zachary C. Hickerson, at
5.
[^46]: *See* High's October 26, 1998, response to staff inquiry letter,
Declaration of James Driskill, ¶ 7.
[^47]: For example, Cumulus' webs sites for KLUR-FM and KOLI(FM),
maintained by KLUR-FM program director Jay Phillips, advertised that
Jim Nash, that is, Driskill, was the music director for Cumulus'
station KLUR-FM as of May 11, 1998. Consistent with the information
on those web sites, Driskill acknowledged that he continued to
assist Phillips in the selection of music at KLUR-FM into the summer
of 1998. Additionally, Driskill worked for Cumulus' benefit at
KOLI(FM) in the past by serving as a Saturday show host, and he
continues to work to Cumulus' benefit as the host of a three-hour
Cumulus-originated program aired Monday through Friday. The
programming for these shows was supplied by Cumulus, and Driskill
acted as host of these programs.
[^48]: *See, e.g., Ms. Sally Hoskins, President*, 13 FCC Rcd 25317 (MMB
1998).
[^49]: *Roy M. Speer,* 11 FCC Rcd at 18415.
[^50]: *Manahawkin Communications Corporation,* 17 FCC Rcd at 357, ¶ 24.
[^51]: Arguably, High should also have filed the July 1997 letter of
intent within 30 days of its execution because it also constituted a
document that related to the future ownership of KOLI. Further,
inasmuch as the document was not filed until July 1999, we could
impose a forfeiture for its untimely filing. However, we conclude
that Section 503(b)(6) also prohibits the imposition of a forfeiture
for this violation.
[^52]: *See, e.g., Edwin L. Edwards,* 16 FCC Rcd 22236, 22247-8 (2001),
and *Duchossois Communications of Maryland, Inc.*, 10 FCC Rcd 6688,
6694 (1995).
[^53]: *See Edwin L. Edwards,* 16 FCC Rcd at 22247-8.
[^54]: *See, e.g.,United Broadcasting Company,* 94 F.C.C.2d 960 (1982);
*Friendly Broadcasting Company*, 90 F.C.C.2d 225 (1982).
[^55]: *See, e.g., Edwin L. Edwards, supra; Roy M. Speer, supra
(*"serious" unauthorized transfer of control lasting for 42 months
did not necessitate designation of applications for hearing where
there was no substantial and material question of fact as to whether
parties intended to deceive the Commission); *FM Broadcasters of
Douglas County, Assignor*¸ 10 FCC Rcd 10429, 10430 (1995) (11-month
unauthorized transfer of control unaccompanied by false responses or
deception "did not put in issue the qualifications" of the parties;
forfeiture was the appropriate remedy).
[^56]: *See* 47 U.S.C. § 503(b)(1)(A).
[^57]: 47 U.S.C. § 503(b)(6)(A)(i)-(ii).
[^58]: 47 U.S.C. § 503(b)(6)(B).
[^59]: *See, e.g., California State University at Sacramento
(KKTO(FM))*, 14 FCC Rcd 10018 (MMB 1999), *citing Roy M. Speer,* 13
FCC Rcd 19911, 19920 (1998).
|
en
|
converted_docs
|
729931
|
# {width="6.489583333333333in" height="1.0520833333333333in"}
Staff Contact: Russ Vought (x68581) May 24, 2006
**Appropriations Policy Brief**
**H.R. 5427 --- Energy and Water Appropriations Act for FY 2007**
**[Comparison to the RSC Budget]{.underline}:**
**Overview:** The RSC budget provided \$829 billion in discretionary
spending for FY 2007, compared to the \$873 billion allotted in the
House-reported resolution (H.Con.Res. 376). While the RSC budget did not
apportion this discretionary spending level by subcommittee---the 302(b)
allocation process---it did call for many program reductions within the
jurisdiction of the Energy and Water Development Subcommittee. Below are
highlights:
[]{.mark}
**Applied Research for Fossil Fuels Energy.** Each year, the Department
of Energy (DoE) receives roughly \$500 million to fund applied research
on sources and uses of petroleum, coal and natural gas. Although the
federal government may have a role in basic research, it is questionable
whether it should be engaged in applied research---particularly when
this type of research is conducted by numerous private sector suppliers
generating extensive general revenues with which they fund private
fossil fuel research. Often times applied research funding is simply
corporate welfare for the oil, gas, and utility industries. The RSC
Budget would eliminate funding for the DoE Applied Research for Fossil
Fuels Energy. H.R. 5427 provides \$558.2 million for this research,
\$39.8 million less than last year.
**Energy Supply and Conservation Programs.** These programs are designed
to develop new energy conserving technology, as well as improve
productivity of existing energy technology, using basic and applied
research. Businesses have incentives to market, and customers to buy,
conservation technologies that work well. DoE is left to fund the less
reliable and less promising technologies. The RSC Budget would eliminate
funding for Energy Supply and Conservation Programs. H.R. 5427 provides
\$2 billion for these programs, \$212.9 million more than last year and
\$102 million more than the request.
**Economic Development Commissions.** Under current law, the federal
government provides annual funding to three regional development
agencies---the Appalachian Regional Commission (ARC), the Denali
Commission (Alaska), and the Delta Regional Authority (Mississippi River
Area)---to promote economic growth and development to communities in
eligible counties and parishes. The activities of these programs are
duplicated by a number of federal agencies. H.R. 5427 reduces funding
for the ARC from \$64.8 million to \$35.5 million and for the Denali
Commission from \$49.5 million to \$7.5 million. H.R. 5427 also reduces
funding for the Delta Regional Authority from \$11.9 million to \$5.9
million.
[]{.mark}
**[Items of Note]{.underline}:**
**Nuclear Energy:** Provides \$529.8 million for nuclear energy programs
(\$113.9 million more than last year and \$29.9 million less than the
request), including the Nuclear Power 2010 initiative (\$54 million) to
build the first nuclear power plant in the U.S. in three decades.
[]{.mark}
**Hydrogen Fuel Initiative:** Provides \$195.8 million for hydrogen
technology (\$40.2 million more than last year and the same as the
request).
**Outsourcing/A-76 Activities:** Prohibits funding to implement a study
to outsource or privatize Army Corps personnel employed to operate or
maintain locks and dams.
**Elk Creek Dam:** Prohibits funding to remove a section of the dam for
fish passage or study alternatives to the trap and haul facility at Elk
Creek Dam, Oregon.
**Program Terminations:** According to the Committee, H.R. 5427
terminates four programs---state energy program grants, geothermal R&D
technology, natural gas R&D technology, and construction for a mixed
oxide fuel plant---saving \$460.5 million.
**[Earmarks:]{.underline}**
According to the Committee, the bill includes \$1 billion in earmarks,
\$197 million or 16% less than last year's House-passed level. Below is
a small selection of the projects:
- \$8.4 million for Rio Solada, Phoenix, and Tempe Reaches, AZ
- \$43.5 million for Oakland Harbor, CA
- \$164 million for South Florida Everglades Ecosystem Restoration, FL
- \$90 million for New York and New Jersey Harbor, NY and NJ
- \$1.2 million for a waterline extension in Clark County
- \$1 million for Fairfield County, Village of Rushville wastewater
plant expansion
- \$1 million for the City of Louisville environmental infrastructure
improvement program
- \$2 million for Brunswick Harbor, GA
- \$200,000 for the Hemenway Valley project in Southeastern Rural NV
- \$565,000 for Crum Creek in Southeast PA
- \$4 million for Jones Inlet, NY
- \$1 million for Canaveral Harbor, FL
- \$300,000 for the Duluth Superior Harbor in MI and WI
- \$1.9 million for Burns Harbor, IN for maintenance dredging
- \$200,000 for Rock Island Boat Harbor in IL for maintenance dredging
- \$488,000 for Osceloa Harbor, AR for maintenance dredging
- \$51 million for river fish and wildlife mitigation activities in MO
- \$1.2 million for Table Rock, MO to construct a boat ramp
- \$1.8 million for Whitney Lake, TX for improvements to Ham Creek
Park
- \$1 million for Whitney Lake, TX for improvements to Kimball Bend
Park
- \$500,000 for Moss Landing Harbor, CA to complete a dredging plan
and for additional fish sampling
- \$750,000 for the Arbuckle-Simpson Aquifer Study in Oklahoma
Investigations Program
- \$19.9 million for heavy truck engine research and development
- \$1 million for the Missouri Alternative/Renewable Energy Technology
Center at Crowder College in MO
- \$1 million for Life Science Research at Michigan Research Institute
MI
- \$1 million for Augsburg College in MN
- \$500,000 for Biomedical Imaging at the University of NC
**[Funding Summaries]{.underline}:**
[]{.mark}
*In Thousands*
----------------------------------------------------------------------------- ------------ ------------ ------------ ------------ ----------- ---------- -----------
**FY 06 **FY 07 **FY 07 **Cmte Over **Cmte Over **% Over **% Over
Enacted** Request** Cmte** FY06** Request** FY06** Request**
**Corps of Engineers**
General Investigations\...\...\...\...\...\...\...\...\.... 162,360 94,000 128,000 -34,360 34,000 -21.16% 36.17%
Construction\...\...\...\...\...\...\...\...\...\...\...\...\...\... 2,348,280 1,555,000 1,929,471 -418,809 374,471 -17.83% 24.08%
Flood Control - MS River & Tributaries. 396,000 278,000 290,607 -105,393 12,607 -26.61% 4.53%
Operations & Maintenance\...\...\...\...\...\..... 1,969,110 2,258,000 2,195,471 226,361 -62,529 11.50% -2.77%
Regulatory Programs\...\...\...\...\...\...\...\...\...\... 158,400 173,000 173,000 14,600 0 9.22% 0.00%
Flood Control & Coastal Emergencies\.... 0 81,000 32,000 32,000 -49,000 0.00% -60.49%
General Expenses\...\...\...\...\...\...\...\...\...\...\..... 152,460 164,000 142,100 -10,360 -21,900 -6.80% -13.35%
Total, Corps of Engineers\...\...\...\...\..... 8,228,719 4,733,000 4,983,803 -3,244,916 250,803 -39.43% 5.30%
**Dept of Interior**
Central Utah Project\...\...\...\...\...\...\...\...\...\... 31,351 37,587 37,587 6,236 0 19.89% 0.00%
Water and Related Resources\...\...\...\...\...\... 874,679 833,424 849,122 -25,557 15,698 -2.92% 1.88%
Central Valley Project\...\...\...\...\...\...\...\...\.... 52,219 41,478 41,478 -10,741 0 -20.57% 0.00%
California Bay-Delta Restoration\...\...\..... 36,630 38,610 40110 3,480 1,500 0.00% 3.89%
Policy & Administration\...\...\...\...\...\...\...\... 57,338 58,069 58,069 731 0 1.27% 0.00%
Total, Dept of Interior\...\...\...\...\...\...\... 1,054,873 923,736 940,934 -113,939 17,198 -10.80% 1.86%
**Dept of Energy**
Energy Supply\...\...\...\...\...\...\...\...\...\...\...\...\.... 1,812,627 1,923,361 2,025,527 212,900 102,166 11.75% 5.31%
Fossil Energy Research\...\...\...\...\...\...\...\...\...\.... 592,014 469,686 558,204 -33,810 88,518 -5.71% 18.85%
Naval Petroleum and Oil Shale Reserves\.... 21,285 18,810 18,810 -2,475 0 -11.63% 0.00%
Elk Hills School Lands Fund\...\...\...\...\...\...\..... 83,160 0 0 -83,160 0 -100.00%
Strategic Petroleum Reserve\...\...\...\...\...\...\...\... 164,340 155,430 155,430 -8,910 0 -5.42% 0.00%
Northeast Home Heating Oil Reserve\...\...\... 0 4,950 4,950 4,950 0 0
Energy Information Adminstration\...\...\...\.... 85,314 89,769 89,769 4,455 0 5.22% 0.00%
Uranium Enrichment Decontam \...\...\..... 556,606 579,368 579,368 22,762 0 4.09% 0.00%
Non-Defense Environmental Services\.... 349,687 310,358 309,946 -39,741 -412 -11.36% -0.13%
Science\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\... 3,596,393 4,101,710 4,131,710 535,317 30,000 14.88% 0.73%
Nuclear Waste Disposal\...\...\...\...\...\...\...\..... 148,500 156,420 186,420 37,920 30,000 25.54% 19.18%
Departmental Administration\...\...\...\...\.... 250,289 278,382 278,382 28,093 0 11.22% 0.00%
Inspector General\...\...\...\...\...\...\...\...\...\...\..... 41,580 45,507 45,507 3,927 0 9.44% 0.00%
National Nuclear Security Admin\...\...\..... 9,104,497 9,315,811 9,199,811 95,314 -116,000 1.05% -1.25%
Other Defense Activities\...\...\...\...\...\...\...\... 635,577 717,788 720,788 85,211 3,000 13.41% 0.42%
Defense Nuclear Waste Disposal\...\...\...\... 346,500 388,080 388,080 41,580 0 12.00% 0.00%
Power Marketing Administrations\...\...\.... 269,725 251,975 251,975 -17,750 0 -6.58% 0.00%
Total, Dept of Energy\...\...\...\...\...\...\.... 24,046,772 24,074,717 24,373,489 326,717 298,772 1.36% 1.24%
**Independent Agencies**
Appalachian Regional Commission\...\..... 64,817 65,472 35,472 -29,345 -30,000 -45.27% -45.82%
Def Nuclear Facilities Safety Board\...\..... 21,812 22,260 22,260 448 0 2.05% 0.00%
Delta Regional Authority\...\...\...\...\...\...\..... 11,880 5,940 5,940 -5,940 0 -50.00% 0.00%
Denali Commission\...\...\...\...\...\...\...\...\...\..... 49,500 2,536 7,536 -41,964 5,000 -84.78% 197.16%
Nuclear Regulatory Commission\...\...\...\.... 116,022 148,082 152,082 36,060 4,000 31.08% 2.70%
Nuclear Waste Technical Review Board\...\...\...\... 3,572 3,670 3,670 98 0 2.74% 0.00%
Total, Independent Agencies\...\...\...\.... 268,426 248,774 227,774 -40,652 -21,000 -15.14% -8.44%
----------------------------------------------------------------------------- ------------ ------------ ------------ ------------ ----------- ---------- -----------
|
en
|
all-txt-docs
|
825472
|
WFUS53 KDMX 100001
TORDMX
IAC187-100030-
/O.NEW.KDMX.TO.W.0131.080810T0000Z-080810T0030Z/
BULLETIN - EAS ACTIVATION REQUESTED
TORNADO WARNING
NATIONAL WEATHER SERVICE DES MOINES IA
700 PM CDT SAT AUG 9 2008
THE NATIONAL WEATHER SERVICE IN DES MOINES HAS ISSUED A
* TORNADO WARNING FOR...
NORTHWESTERN WEBSTER COUNTY IN CENTRAL IOWA...
* UNTIL 730 PM CDT.
* AT 655 PM CDT...NATIONAL WEATHER SERVICE DOPPLER RADAR INDICATED A
SEVERE THUNDERSTORM CAPABLE OF PRODUCING A TORNADO NEAR CLARE...OR
11 MILES NORTHWEST OF FORT DODGE...MOVING SOUTH AT 12 MPH.
* THE TORNADO WILL BE NEAR...
BARNUM BY 720 PM CDT...
THIS IS A HAZARDOUS SITUATION. SEEK SHELTER IN A BASEMENT...OR IN AN
INTERIOR ROOM. STAY AWAY FROM WINDOWS. IF YOU ARE OUTSIDE OR IN A
CAR...SEEK SHELTER IN A REINFORCED BUILDING.
LAT...LON 4250 9422 4245 9440 4261 9442 4263 9434
TIME...MOT...LOC 0000Z 340DEG 11KT 4257 9436
$$
MOYER
|
en
|
markdown
|
040744
|
# Presentation: 040744
## Vaccines and Related Biological Products Advisory Committee Meeting
**Vaccines and Related Biological Products Advisory Committee Meeting **
**Preventive HPV Vaccine Endpoints****November 28-29, 2001****Bethesda, MD**
**Karen L. Goldenthal, M.D.**
**Division of Vaccines and **
** ****Related Products Applications**
**US Food and Drug Administration**
## Acknowledgements
**Douglas R. Pratt, M.D., M.P.H. **
**Antonia Geber, M.D. **
**Donna K. Chandler, Ph.D. **
**Jerry P. Weir, Ph.D. **
**Gopa Raychaudhuri, Ph.D. **
**Jerry D. Willett, M.D. **
**Rebecca L. Sheets, Ph.D. **
**Robert W. Anderson, Ph.D. **
**Rakesh Pandey, Ph.D. **
**Karen Midthun, M.D. **
**Theresa M. Finn, Ph.D. **
## Cervical Cancer Global Perspective
**Worldwide, 3rd most common CA in women********* **
**After breast and colon/rectum cancer**
**Developing countries: 2nd most common CA**
**Developed countries: 6th most common CA**
**Worldwide, ~400,000 to 500,000 new cases/yr**
**Disturbing trend, Finland: Between 1991-95, 60% ******** in cervical CA incidence for women <55 yrs of age****#**
**Worldwide, 190,000 deaths per yr********
**~78% in developing countries**
*******Parkin DM, et al. **_**Int J Cancer**_** 1999;80:827–41. (Worldwide CA incidence, 1990)**
********Pisani P, et al. **_**Int J Cancer**_** 1999;83:18–29. (Worldwide CA mortality, 1990)**
**#****Dillner J, 2000; Anttila et al., 1999.**
## Cervical Cancer U.S.A. Perspective
**In 1930s, cervical CA most common cause of CA deaths in U.S. women**
**Incidence/mortality rates for cervical CA declined dramatically following Pap screening & intervention**
**For 2001, ~12,900 new cases of cervical CA and 4,400 deaths due to cervical CA projected for U.S.***
**Woman's lifetime risk of cervical CA dx currently ~0.85%; risk of dying from disease is ~0.30%** **
***Janicek MF & Averette HE, 2001; Greenlee RT et al., 2001 **
****Ries LAG et al., 2000 (Surveillance, Epidemiology, & End Results [SEER] data, NCI) **
## Precursor Lesions of Cervical Carcinoma
**From Figure 6.13, DeMay RM. The Art and Science of Cytopathology. CD-ROM. ASCP. 1999.**
**Wright TC, Kurman RJ, Ferenczy A: Precancerous Lesions of the Cervix. In Kurman RJ, ed: *****Blaustein's Pathology of the Female Genital Tract.***** 4th ed. New York: Springer-Verlag NY Inc, 1994.**
**LSIL = Low Grade Squamous Intraepithelial Lesion CIN = Cervical Intraepithelial Neoplasia**
**HSIL = High Grade Squamous Intraepithelial Lesion**
** ****LSIL**** **** **** ****HSIL**
** **** ****CIN 1 CIN 2**** **** **** **** ****CIN 3**
**Normal Mild**** **** **** **** Moderate**** **** Severe**** ****Carcinoma**
** **** ****Dysplasia Dysplasia Dysplasia**** *****in situ***** **
## Above, right. CIN 3, cervix. Note adjacent koilocytes (bottom right). http://hsc.virginia.edu/med-ed/path/gyn/cervix4.html
**Above, right. CIN 3****, cervix. ****Note adjacent koilocytes (bottom right).**** **_**http://hsc.virginia.edu/med-ed/path/gyn/cervix4.html**_
**Above, left. Squamous carcinoma *****in situ***** (CIS), cervix.**** To the right is normal squamous epithelium with its basal cell layer & orderly maturation upwards. The left side shows CIS characterized by lack of maturation, altered cell polarity, nuclear pleomorphism & increased nuclear / cytoplasmic ratio. As is characteristic of CIS, neoplastic cells are confined to the epithelial layer & have not invaded through the epithelial basement membrane, under which, the submucosal stroma contains chronic inflammatory cells. **
**Cornell Medical School **_**http://www.pathinfo.com/alphlit.htm**_
## Cervical Lesions: “Pyramid” of Findings (U.S.)*
*******From ALTS: The ASCUS/LSIL Triage Study Newsletter, Vol 1, Issue 1**
****More recent projection: 12, 900 cases/yr for 2001**
**Janicek MF & Averette HE, 2001; Greenlee RT et al., 2001**
** **
**ASCUS**** = Atypical Squamous Cells of Undetermined Significance. **
**A recommendation from The Bethesda 2001 Workshop: Replace term ASCUS with **
**ASC**** (Atypical Squamous Cells). **
**Cancer** **~15,000 cases/yr****
**HSIL **
- **~300,000 cases/yr**
**LSIL**
** ****~1,250,000 cases/yr**
**ASCUS **
** ****~2,000,000 cases/yr**
## Natural History of CIN
**Table 7 (Modified) from ****Östör**** AG: Natural history of cervical intraepithelial neoplasia: A critical review **_**Int. J Gynecol. Pathol.**_** 12:186-92, 1993. (Literature Review)**
- **Regress**** ****Persist**** ****Progression to**
** **** **** **** **** **** ****CIN 3**** **** Invasion**
** ****CIN 1**** ****57%**** **** ****32%**** **** ****11%**** **** 1%**** **
** ****CIN 2**** ****43%**** **** ****35%**** **** ****22%**** **** 5%**** **
** ****CIN 3**** ****32%**** **** ****<56%**** **** **** >12%**
## Natural History of CIN
**Limitations**** of this literature review, e.g.:*******
**Biopsy may alter natural history**
**1950s-1990; Non-uniform diagnostic criteria**
**Cytology does not always predict histology **
**“****Jigsaw puzzle effect” e.g., CIN 1 & 3 in same cervix**
**Lack of long-term follow-up**
**Estimate ****CIN 3 to ICC**** “>12%” likely too low,**** ****may be ****20-30% within 5-10 yrs********
******* ****Östör**** ****AG: **_**Int J Gynecol Pathol**_** 12:186-92, 1993. (Lit Review)**
********Chang AR: CIS of the cervix & its malignant potential. A lesson from New Zealand. **_**Cytopathology**_** 1:321-8, 1990. **
## Natural History of Cervical Dysplasiaa
**Cytology Progression****b**** **** Progression to**** **** Regression**
** **** **** **** **** ****Invasive Cancer to Normal****c**
** **** ****6 mos**** ****24 mos 6 mos**** ****24 mos**** **
**ASCUS 2%**** ****7.2%**** **** 0.06%**** ****0.25%**** **** 68.2%**** **
**LSIL**** **** 6.6%**** ****20.8%**** **** 0.04%**** ****0.15%**** **** 47.4%**** **
**HSIL**** **** 6.8%**** ****23.4%**** **** 0.15%**** ****1.44%**** **** 35.0%**** **
**a****Data source: Melnikow J et al., Natural history of cervical squamous intraepithelial lesions: a meta-analysis. **_**Obstet Gynecol**_** 1998;92:727-735. Also, ****from Table 3 in: Bristow RE et al.** **Workup of the Abnormal Pap Test. **_**Clinical Cornerstone**_** 3:12-24, 2000.**
**b****Follow-up smears or biopsies showed a higher grade lesion than the**
**entry cytology. For HSIL, progression to CIN 3 (from grade 2) or CIS. ****c****Neg. result of F/U cytology or biopsy. No relationship found between proportion of subjects regressing to normal & length of follow-up. **
## HPV Vaccine Composition
**93% HPV positive by PCR*******
**5 most common HPV types:**
**HPV 16 in 50%**** HPV 31 in 5.3 % HPV 33 in 2.8%**
**HPV 18 in 14%**** HPV 45 in 8.4%**
**Subsequently, 97% HPV positive with improved retesting (e.g., more sensitive primers); 99.7 % w/author-defined adequate specimens****** **
*** ****Bosch FX et al., **_**J Natl Cancer Inst**_** 1995;87:796-802. **
**** ****Walboomers, J.M.M. **_**J. Pathol**_** 1999;189:12**** ̄****19.**
** ****Meijer C et al.: Commentary in **_**Histopathology**_** 1998;33:83-6. **
**Worldwide survey >1000 invasive cervical cancers*******
## Squamous Cell Carcinoma* - HPV 16 Most Common Type
**HPV **** **** ****Bosch**** ****Iwasawa**
**Type **** ****N=881**** ****N=352**
**HPV 16**** ****51%**** **** ****78% **
**HPV 18**** ****12%**** **** ****16%**
**Bosch FX et al. **_**JNCI**_** 87:796-802, 1995**
**Iwasawa A et al. **_**Cancer**_** 1996;77:2275–9.**
*******Cervix**
## Adenocarcinoma (Cervix) - HPV 18 - Most Common Type
**Bosch FX et al. **_**JNCI**_** 1995; 87:796-802. (Global cases)**
**Iwasawa A et al. Cancer 1996;77:2275–9. (Finnish cases)**
**Andersson S et al. **_**Eur J Cancer**_** 2001;37:246-50. (Swedish cases)**
**Pirog EC et al. **_**Am J Pathol**_** 2000;157:1055–62. (US & Polish cases)**
** *****Excludes 6 HPV neg cases of nonmucinous adenocarcinomas (clear cell, serous & mesonephric).**
**HPV**** **** Bosch**** **** Iwasawa**** **** Andersson Pirog Type**** **** N=25**** **** N=108**** **** N=131**** **** N=**** ****67***
**HPV 16 28%**** **** 17%**** **** **** 24%**** **** **** 36% **
**HPV 18 56%**** **** 56%**** **** **** 37%**** **** **** 36%**
## Incidence of Squamous Cell Carcinoma (SCC) vs. Adenocarcinoma (ADC) of the Cervix
**Cytology screening - far less impact on incidence of ADC compared to SCC***
**In U.S., review of SEER database has shown **
**A clear **_**decrease**_** in incidence of SCC, and invasive cervical cancer (ICC) overall; **
**However, an **_**increase**_** in the rate of ADC**
**Overall, similar findings in Scandinavia**
***Smith HO, et al. The rising incidence of adenocarcinoma relative to **
**squamous cell carcinoma of the uterine cervix in the U.S.--a 24-year **
**population-based study. **_**Gynecol Oncol**_** 2000;78:97-105.**
## Risk of CIN 2 or 3: Relation to HPV Type 16 and 18
**241 women presenting for ****STD evaluation**** & with ****negative**** cervical cytology***
**Followed q4 months (ave. F/U 25 mos): **
**Cytology, **_**colposcopy**_**, HPV DNA, STDs**
**CIN 2 or 3 (biopsy) in 28 women (11.6%)**
**If ****+ HPV type 16 or 18,**** ****adj. RR 11**** (4.6-26) for CIN 2 or 3 compared to those w/o HPV**
**Attributable proportion to types 16 & 18 = 52% **
**Only 36% (10/28) had LSIL Pap before HSIL Pap**
**Subset HPV DNA neg. on 1****st**** 2 visits **
**In subsequent 2 yrs, 8.6% (9/105)** had CIN 2/3 dx**
***Koutsky L, et al.: A cohort study of the risk of CIN 2 or 3 in relation to papillomavirus infection. **_**NEJM**_** 327:1272-8, 1992. (STD clinic, Seattle, WA)**
****8 of 9 cases occurred among 35 women who developed HPV infection**
## Risk of CIN 2 or 3: Relation to HPV Type 16
**1075 women with normal cytology **_**and**_** HPV negative tests at baseline***
**Followed q6 months: Pap smear & HPV DNA (median FU = 26 months)**
**If abn. cytology, referred to colposcopy/bx**
**CIN 2 or 3 (biopsy) in 28 women**** (2.6%)**
**Median time to dx = 36 months from study entry**
**20 of these CIN 2/3 cases diagnosed during work-up of the 1****st**** episode of abn. cytology**
**If ****+ HPV type 16,**** ****adj. RR 8.5**** (3.7 to 19) for CIN 2 or 3 compared to those w/o HPV**
***Woodman CB, et al. Natural history of cervical human papillomavirus infection **
**in young women: a longitudinal cohort study. **_**Lancet**_** 2001;357:1831–36.**
## Stages of Review and Regulation
**Clinical Investigational Plan**
**Phase 1**
**Safety**
**Immuno-**
**genicity**
**Phase 2**
**Immuno-genicity**
**Safety**
**Dose Ranging**
**Phase 3**
**Efficacy**
**Safety**
**Immuno-genicity**
**BLA**
**Data to support approval;**
**Inspection**
**Phase 4**
**Inspection**
**Safety**
**Efficacy**
**Lot Release**
**BLA Supplement**
**Post-approval**
**Changes:**
**New Indications**
**Dosing**
**Manufacture**
**Equipment/**
**Facilities**
- **IND**
**IND = Investigational New Drug Application; **
**BLA = Biologics License Application**
## “Theoretical” Endpoints - HPV Preventive Vaccines
**Types 16, 18 and other “high risk” types**
**Virology (various definitions of incident or persistent infection)**
**LSIL cytology (w/o biopsy confirmation) or worse with virology**
**CIN 1 histology, AIS*, or worse with virology (Hereafter = CIN 1 or worse**** ****with virology)**
**CIN 2/3 histology, AIS, or worse with virology (Hereafter = CIN 2/3 or worse**** ****w/virology)**
**Invasive cervical cancer with or w/o virology**
***AIS = Adenocarcinoma *****in situ *****(of the cervix)**
## Possible Endpoints – HPV Vaccines
**Virology (only)**** - *****Advantages***
**Feasibility**
**Smaller Trial, i.e., a few thousand**
**Populations exist in many countries w/sufficient incident HPV “infection” rate, e.g., for Type 16**** **
**U.K. - 10.5% cum for 3 yrs (Woodman CB et al., 2001)**
**U.S. - 7% cum for 2 yrs (Ho GYF et al., 1998)**
**U.S. - 4.7 / 100 person yrs (Thomas KK et al., 2000)**
**Brazil - 1.68 / 100 person yrs (Franco EL et al., 1999)**
## Possible Endpoints – HPV Vaccines
**Virology (only)**** - *****Advantages***
**HPV strongly associated with HSIL cytology, CIS and cervical cancer***
**Determine vaccine versus non-vaccine serotypes**
**Might be able to determine immune correlate**
***Koutsky LA, et al. **_**N Engl J Med**_** 1992;327:1272-8. (CIN 2/3 and HPV infection)**
**Woodman CBJ, et al. **_**Lancet**_** 2001;357:1831–36. (CIN 2/3 and HPV infection)**
**Ylitalo N, et al. **_**Lancet**_** 2000;355:2194-8. (HPV Viral load and CIS)**
**Josefsson AM, et al. **_**Lancet**_** 355:2189, 2000. (HPV Viral load and CIS)**
**Ylitalo N, et al. **_**Cancer Res**_** 2000;60:6027-32. (Long term HPV infection and CIS)**
**Bosch FX, et al. **_**J Natl Cancer Inst**_** 1995; 87:796-802. (HPV and cervical cancer)**
## Possible Endpoints - HPV Vaccines
**Virology (only)**** - *****Disadvantages***
**HPV infection is not a clinical disease**
**Most HPV infection resolves**
**Durability of protection uncertain **
**? Change in lifetime risk for HSIL histology/cancer**
**Not as proximal to cancer as other endpoints**
**e.g.,**** ****may overestimate vaccine efficacy with regard to high grade lesions/cancer**
**May want definitive high grade clinical endpoint data before extensive deployment of a new HPV vaccine**** **
## Possible Endpoints - HPV Vaccines
**Virology (only)**** - *****Disadvantages***
**Uncertainty in existence of, or detection of latent infections in the cervix**
**Detection in superficial vs. basal layer cells?**
**Could a vaccine-induced immune response make HPV DNA more difficult to detect?**
**Uncertainty distinguishing new infection from re-infection (although this problem would tend to negatively bias efficacy estimate)**
**Various definitions of persistent infection, e.g., infection X 2 at 4, 6 or 12 months, not validated in previous clinical trials **
## Possible Endpoints - HPV Vaccines
**Virology (only)**** - *****Disadvantages***
**May not identify unanticipated vaccine-associated problems with virology endpoint: **
**Alteration in HPV natural history, difficulty in detecting cervical dysplasia, enhanced disease (dysplasia, cancer)**
**Post-approval, could be difficult to detect outside context of a randomized, well-controlled trial **
**Small efficacy trial **
**Provides less well-controlled safety data **
**Could be addressed w/supplemental trials**
## Possible Endpoints - HPV Vaccines
**LSIL cytology or worse w/Virology **** - *****Advantages***
**Feasibility**
**Smaller trial, i.e., a few thousand**
**LSIL leads to many clinical work-ups in developed countries**
## Possible Endpoints - HPV Vaccines
**LSIL cytology or worse w/Virology**** - *****Disadvantages***
**Clinical relevance: About half of LSIL resolves w/o therapy **
**LSIL cytology, by itself, does not represent a definitive diagnosis **
**Need histologic diagnosis for therapy**
**Without colposcopy and biopsy, if needed, cannot R/O higher grade lesions **
**CIN 2/3 found at work-up in a % of LSIL cases, even w/o prior hx of cervical disease **
## Possible Endpoints - HPV Vaccines
**LSIL cytology or worse w/ Virology**** - *****Disadvantages (cont.)***
**Not as proximal to cancer as other endpoints**
**May want definitive high grade clinical endpoint data before extensive deployment of a new HPV vaccine **
**May be easier to identify unanticipated vaccine-associated problems with high grade disease endpoint (see earlier slide)**
**Small efficacy trial**** **
**Provides less well-controlled safety data **
**Could be addressed w/supplemental trials**
## Possible Endpoints - HPV Vaccines
**CIN 1* or worse w/ Virology**** - *****Assumptions***
**CIN 1 (biopsy) or worse (CIN 1 +) = 1****0**** endpoint**
**Virology used to classify CIN 1 + cases as vaccine serotype or not**
**Prespecify HPV testing on cervical samples vs histology to classify cases**** **
**Cases would be identified from colposcopic work-up of (mostly) ASCUS & LSIL cytology**
**Plan/algorithm for colposcopy will affect # of endpoints (more frequent = more endpoints)**
**Can’t use economics as basis for US licensure**
** ********* Histology**
## Possible Endpoints - HPV Vaccines
**CIN 1 histology or worse w/ Virology**** - *****Advantages***
**Feasibility**
**Smaller trial, i.e., a few thousand**
**Populations exist in many countries with sufficient incident CIN 1 **
**Necessitates definite work-up **
**Generates histologic dx that guides therapy**
**Data are available on the natural history of CIN 1 from initial diagnosis**
## Possible Endpoints - HPV Vaccines
**CIN 1 histology or worse w/Virology**** - *****Disadvantages***
**At least half of CIN 1 resolves w/o therapy**
**Not as proximal to cancer as other endpoints**
**May want definitive high grade clinical endpoint data before extensive deployment of a new HPV vaccine **
## Possible Endpoints - HPV Vaccines
** ****CIN 1 histology or worse w/Virology**** - *****Disadvantages (cont.)***
**May be easier to identify unanticipated vaccine-associated problems with high grade disease endpoint (see earlier slide)**
**Small efficacy trial **
**Provides less well-controlled safety data **
**Could be addressed w/supplemental trials**
## Possible Endpoints - HPV Vaccines
**CIN 2/3 or worse w/ Virology**** - *****Assumptions***
**Virology used to classify CIN 2/3 + cases as vaccine serotype or not**
**Prespecify HPV testing on cervical samples vs histology to classify cases **
**Many/most CIN 2/3 + cases would be identified from colposcopic work-up of ASCUS and LSIL********* **
**Plan/algorithm for colposcopy critical to # of endpoints (more frequent = more endpoints)**
**Many/most CIN 2/3+ cases could be those found at 1st work-up of abnormal cytology**
******* Lonky NM, et al. The clinical significance of the poor correlation of cervical dysplasia & cervical malignancy with referral cytologic results. **_**Am J Obstet Gynecol**_** 1999;181:560-6.**
## Possible Endpoints - HPV Vaccines
**CIN 2/3 histology or worse w/Virology**** - *****Advantages***
**More proximal to cervical cancer**** **
**Provides definitive high grade clinical endpoint data before, before wide-spread public health use**** **
**Natural history data - Prevent lesions that need therapy (US standard of care)**
## Possible Endpoints - HPV Vaccines
**CIN 2/3 histology or worse w/Virology**** - *****Advantages (cont.)***
**May be easier to identify unanticipated vaccine-associated problems with high grade disease endpoint (see earlier slide)**
**Larger efficacy trial **
**Implications for randomized safety database**
## Possible Endpoints - HPV Vaccines
**CIN 2/3 or worse w/Virology**** - *****Disadvantages***
**Feasibility - Subject #s may not differ from most vaccine efficacy trials; however, type of follow-up likely to be more resource intensive**
**Uncertainty trial size/ duration estimate??**
**Little natural hx data to est. trial size: women w/ baseline neg. HPV, normal cytology **
**12,000 women, randomized 1:1 (vaccine to placebo), vaccine efficacy **_**>**_** 80%, 3 1/2 yrs*******
- *** Preliminary estimate based on data from: **
**Woodman CBJ, et al. **_**Lancet**_** 2001;357:1831–36.**
## Possible Endpoints - HPV Vaccines
**Cervical Cancer w or w/o Virology**** - *****Assumptions***
**One scenario (developed country)**
**Randomize subjects; infrastructure in place for routine F/U & a method of capturing all diagnoses for an area, e.g., cancer registry and death certificates**
**Scandinavian Countries ****(Comprehensive CA registries)**
**HPV testing: Presence or absence of baseline testing before randomization, & cervical sample/ histology testing will affect efficacy level assessment**
**Esp. in U.S., many/most cervical CA cases identified from colposcopic work-up of ASC, AGC and LSIL********* **
******* Lonky NM, et al. The clinical significance of the poor correlation of cervical dysplasia & cervical malignancy with referral cytologic results. **_**Am J Obstet Gynecol**_** 1999;181:560-6.**
## Possible Endpoints - HPV Vaccines
**Cervical Cancer with or w/o Virology**** - *****Advantages***
**The major concern **_**is**_** cervical CA**
**Provides definitive high grade clinical endpoint data before, before wide-spread public health use **
**May be easier to identify unanticipated vaccine-associated problems with high grade disease endpoint (see earlier slide)**
## Possible Endpoints - HPV Vaccines
**Cervical Cancer with or w/o Virology**** - *****Advantages (cont.)***
**Give best understanding of impact of vaccine (if Type 18 included) on ****adenocarcinoma**
**Larger efficacy trial**
**Implications for randomized safety database, although detailed data not expected**
## Possible Endpoints - HPV Vaccines
**Cervical Cancer with or w/o Virology**** - *****Disadvantages***
**Feasibility**
**Uncertainty **
**Trial size/ duration estimate/ population selection/countries w/o screening program??**
## Efficacy Trial Analysis
**Statistical section of protocol ****(prospective)**
**Detailed, especially for 1****o**** endpoint**
**Interim analysis**
**Intent-to-treat**** vs. per protocol: vaccine serotypes**
**Handling of mixed infections****, esp. vaccine & non-vaccine types, in ****1****o**** endpoint analysis**
**Evidence of**** ****overall benefit**** when all endpoints, including ones attributed to non-vaccine high risk HPV types, are included in an analysis**
## Accelerated Approval (AA)
**21 CFR 601.40s Subpart E: Accelerated Approval of New Biologic Products for Serious or Life-Threatening Illnesses*******
**“...****provide ****meaningful therapeutic benefit**** to patients over existing treatments (e.g., ability to treat patients unresponsive to, or intolerant of, available therapy, or improved patient response over available therapy).”**
*****_** Federal Register**_** 57;58942-60, 1992.**
**See 21 CFR 314.500s Subpart H for AA of new drugs **
## Accelerated Approval (AA)
**“****FDA may grant marketing approval for a biological product on the basis of ****adequate and well-controlled clinical trials**** establishing that a biological product has an effect on a surrogate endpoint that is reasonably likely, based on epidemiologic, therapeutic, pathophysiologic, or other evidence, to predict clinical benefit, or on the basis of an effect on a clinical endpoint other than survival or irreversible morbidity.”**** **
## Accelerated Approval (AA)
**Intended to make available promising therapies while definitive confirmatory efficacy studies being completed **
**Confirmatory post-marketing studies:**
**Usually well underway at time of AA**
**Must be adequate and well-controlled**** **
**Must be carried out with due diligence **
**Original, and current, intent of AA regulation = serve best interests of public **
**Preventive vaccines have not been previously approved using AA regulation**
## FDA Questions
**1.**** ****Please discuss and identify the most appropriate endpoints for traditional approval of HPV vaccines intended to prevent cervical cancer: **
** ****In particular, please discuss the use of the following endpoints in clinical trials intended to demonstrate the efficacy of HPV vaccines for oncogenic types, and the indications (e.g., prevention of HPV infection, etc.) these endpoints would support: **
**a.**** ****Incident HPV infection by oncogenic HPV types **
**(i.e., at least one positive HPV DNA test result).**
**b.**** ****Persistent HPV infection by oncogenic HPV types.**
** ****- Regarding this endpoint, please also discuss the appropriate number of positive virologic results, and the interval between positive virologic results.**
**c. **** ****LSIL (cytology), associated w/oncogenic HPV types.**
**d. **** ****CIN 1, associated with oncogenic HPV types.**
**e. **** ****CIN 2/3, associated with oncogenic HPV types.**
**Cervical cancer. **
## FDA Questions (continued)
**2.**** ****Please discuss the use of the accelerated approval regulations for licensure of HPV vaccines for the prevention of cervical cancer: **
** ****Specifically, please discuss and identify possible surrogate endpoints to support accelerated approval. In particular, consider the following endpoints:**
** ****a. Incident HPV infection by oncogenic HPV types. **
** ****b. Persistent HPV infection by oncogenic HPV types. **
** ****c. LSIL (cytology), associated w/oncogenic HPV types.**
** ****d. CIN 1, associated with oncogenic HPV types.**
** **
** ****In the context of accelerated approval, please discuss and identify possible endpoints for the confirmatory trial.**
|
en
|
all-txt-docs
|
092550
|
!! spellx done
87 Demands of Vietnam Hobble
Our Steps to Outer World
The Washington Post Saturday, March 2, 1968
"No New Starts!" was the central message of the 1968 budget, and
for many long-range progressions of the Nation's ideals, may be the
most optimistic hope for 1969. It has become wearisome and
exasperating to talk, think or write about the drain of America's
resources in the Asian war. But there it is, and it is pointless
to comment on expectations for science and education without paying
homage to the tyranny of military "solutions" to world problems.
"No new starts!" was applied with particular force to NASA's
programs for the exploration of space. Many other agencies were
subjected to the attrition implied by a fixed dollar ceiling; NASA
was cut back from a 1967 expenditure level of nearly $5 billion to
$4.6 billion in fiscal 1968. This appropriation ran a half-billion
lower than President Johnson's budget request. This year he has
asked for $4.37 billion; some critics of any-space-at-all have set
their sights on reducing this to an even $4 billion.
The Apollo project has still been left virtually intact at about
$2.5 billion and the brunt of these cutbacks is taken by space
science, planetary exploration and other advanced missions. This is
paradoxical, insofar as the loss of the three astronauts in the Apollo
fire last year has played a large part in public disenchantment with
space efforts. However, NASA Administrator James E. Webb has made a
convincing case that we might still manage a lunar manned landing
by 1970, that we can hardly abandon the program at this stage, and
that a reprogramming to a stretched-out schedule would eventually
cost more than continuing with established plans. He has also
stressed the importance of unmanned planetary exploration as a basic
program for the next decade.
The momentum of this effort still leaves the possibility of
continuing a significant program after 1970, provided we make a
continued investment in advance planning and design and make
special efforts to maintain the integrity and morale of the teams
of experts who have committed their careers to space.
In this light, the deferral for another year or two of
large-scale operational spending for planetary missions need not be
a major tragedy for the overall chronicle of this frontier. There
are, in fact, potential advantages to mounting a broader, more
carefully planned campaign. An essential element of this strategy
is to leave enough time between successive missions to each target for
the data from one to be digested and to have a significant impact on
planning the next. This might impose a four-year rather than the
minimal two-year cycle of visits to Mars, unless the Mars missions
can be programmed to have far more flexibility in the revision of
details than is now provided. Against this philosophy of planning is
the pressure of technological obsolescence, and the competition with
the Soviet program.
The mapping and eventual surface analysis of Mars remain the
most plausible and rewarding next steps in the mastery of the outer
world.
---------------------------------------------------------------------
|
en
|
markdown
|
942581
|
# Presentation: 942581
## Rare Hadronic B Decays
- John Fry
- Lepton Photon 2003
## Scope of Talk
- To present updated branching fractions (BF) and CP asymmetries (ACP) for rare (charmless) B decay modes
- To show how BF and ACP are used with theoretical models to put constraints on the Standard Model and to search for New Physics.
**NB:** All results are preliminary unless referenced.
- John Fry Lepton Photon 2003
## How Good is the Standard Model?
- A. H**ö**cker et al, Eur. Phys. Jour.
- C21 (2001) 225, [hep-ph/0104062]
- K [K] and B sectors [md,
- V_ub_ , V_td_ , Sin (2)]
- consistent with each other
- and SM (theory)
- LEP
- Coupling Constants
- CPLEAR
- T consistent with CP
- Tight CPT constraint
- John Fry Lepton Photon 2003
## Motivation for Rare Decays
**SM is a **_**very**_** good approximation to reality**
** ****Hence**** **
**Need to consider processes where is small in order to be sensitive to new physics.**
**Hence processes dominated by penguin loops, or CKM**** ****- suppressed decays**
- John Fry Lepton Photon 2003
## Procedure
- Compare nature (precise, experimental measurements) with SM (theoretical models) for sensitive quantities.
- Agreement gives an alternative route to (, ) and additional constraints on the unitarity triangle.
- Disagreement means:
- New Physics .... **OR**
- Refinements needed to theoretical calculations ... ....**AND **Model-independent calculations needed
- John Fry Lepton Photon 2003
## The (theoretical) Problem
- How to go from here ...
- to branching fractions and CP asymmetry
- John Fry Lepton Photon 2003
## Classes of theoretical calculations
**QCD Factorisation** (mb >> QCD)
- Amps factorise to LO ( / mb), all orders S
- Naïve factorisation recovered in LO
**Phenomenology**
- Amplitudes of dominant processes related to
- measured BF and each other via SU(3)
**Model “Independent”**
- Isospin & minimal dynamical assumptions
- bounds on deviations from SM
- Beneke, Buchalla, Neubert & Sachrajda
- Nucl Phys B606 (2001) 245
- Beneka & Neubert Hep-ph / 0308039
- Chiang, Rosner Phys Rev D65 074035
- Chiang et al Hep-ph / 0307395
- Lipkin Phys Lett B254 (1991) 247
- Grossman, Ligeti, Nir, Quinn
- Hep-ph / 0303171
- John Fry Lepton Photon 2003
## Visualising QCD Factorisation
****
- John Fry Lepton Photon 2003
## Pictorial Phenomenology
****
**Leading Order – Naive Factorisation**
- John Fry Lepton Photon 2003
## Direct CP Violation
- CP asymmetry occurs if the decay B f ( and its charge conjugate)
- is mediated by two amplitudes with different strong and weak phases:
- John Fry Lepton Photon 2003
## Overview of B Production and Decay
**Inclusive Reconstruction**** **
**B-Flavor Tagging**
**Exclusive B Meson Reconstruction**
**CP eigenstates**
**Flavor eigenstates**
- John Fry Lepton Photon 2003
## Signal Selection
- John Fry Lepton Photon 2003
## Discrimination of B and Continuum
- John Fry Lepton Photon 2003
## Search for B0 → p pbar @ BaBar
- p
- K e
- Use the DIRC to reject K, , e,
- Smallest upper-limit BF in B0/Bdecays!
- Signal Eff = 91%
- Background Eff = 3%
- Total signal efficiency = 37%
- John Fry Lepton Photon 2003
## Slide 15
- John Fry Lepton Photon 2003
## Slide 16
- John Fry Lepton Photon 2003
## Summary of BF (10-6) for K, and KK
- Summary of BF (10-6) for K, and KK
| Mode | BaBar | Belle | CLEO | Average |
| --- | --- | --- | --- | --- |
| K+ - | 17.9 0.9 0.7 | 18.5 1.0 0.7 | 18.0 2.3 1.2 | 18.1 0.8 |
| K0 + | 17.5 1.8 1.3 | 22.0 1.9 1.1 | 18.8 3.7 2.1 | 19.6 1.5 |
| K+ 0 | 12.8 1.2 1.0 | 12.8 1.4 1.2 | 12.9 2.4 1.2 | 12.8 1.1 |
| K0 0 | 10.4 1.5 0.8 | 12.6 2.4 1.4 | 12.8 4.0 1.7 | 11.2 1.4 |
| + - | 4.7 0.6 0.2 | 4.4 0.6 0.3 | 4.5 1.4 0.5 | 4.6 0.4 |
| + 0 | 5.5 1.0 0.6 | 5.3 1.3 0.5 | 4.6 1.8 0.7 | 5.3 0.8 |
| 0 0 | 2.1 0.6 0.3 | 1.7 0.6 0.3 | < 4.4 | 1.90 0.47 |
| K+ K- | < 0.6 | < 0.7 | < 0.8 | < 0.6 |
| K+ K0 | < 1.3 | < 3.4 | < 3.3 | < 1.3 |
| K0 K0 | < 1.6 | < 3.2 | < 3.3 | < 3.2 |
- John Fry Lepton Photon 2003
**HFAG**
- J Smith (Colorado)
- J Alexander (Cornell)
- John Fry Lepton Photon 2003
## Belle
**Belle**
**Belle**
**+9.3**
** ****-8.4**
- John Fry Lepton Photon 2003
## BaBar 0 0
**BaBar ********0**** ********0**
**Sub to PRL**
- John Fry Lepton Photon 2003
## QCD_F: Ratios of & K BF’s
- BBNS NPB606 (2001) 245
- Inconsistent ?
- Data (2001)
- Data (2003)
- QCD_F: Ratios of & K BF’s
**0.42 ****± 0.11**
- John Fry Lepton Photon 2003
## Comparison of BF and ACP with Theory‡
| Mode | BFExp
(10-6) | BF pQCD
(10-6) | ACP Expt
(%) | ACP pQCD
(%) | ACP QCDF
(%) |
| --- | --- | --- | --- | --- | --- |
| K+- | 18.2 ± 0.8 | 13 – 19 | -9 ± 3† | -13 – -22 | +5 ± 10 |
| K0+ | 19.6 ± 1.5 | 14 – 26 | -1 ± 6 | -0.6 – -1.5 | 0 ± 1 |
| K+0 | 12.8 ± 1.1 | 8 – 14 | 0 ± 7 | -10 – -17 | +7 ± 10 |
| K00 | 11.2 ± 1.4 | 8 – 14 | 3 ± 37 | | -3 ± 4 |
| +- | 4.55 ± 0.44 | 6 – 11 | | 16 – 30 | -6 ± 13 |
| +0 | 5.3 ± 0.8 | 2.7 – 4.8 | -7 ± 14 | 0 | -2 ± 5 |
| 00 | 1.90 ± 0.47 | 0.33 – 0.65 | | | 45 ± 60 |
- John Fry Lepton Photon 2003
## Belle
**Belle**
- John Fry Lepton Photon 2003
## CDF
**Disentangling the B********h+h- contributions (I)**
_**B **_****** **_**h**__**+**__**h**__**-**__** from hadronic trigger**_
**Includes B****d**** ************B****s********KK,**** ****B****s********K**** ********,**** ****and B****d******** ****K******
**Monte-Carlo plot below shows:**
**B****d**** ******** ************************Bs ******** ****K****+****K****-**** B****s**** ******** ****K****±**** ********±****,**** **
**& B****d**** ******** ****K****±**** ********±**** (From Monte-Carlo)**
**all pile up in the same region**
**Must **_**disentangle **_**contributions from each mode **
**To do this we use:**
**-****Kinematical**** ****variable separation**** ****M******** vs ********=(1-p****1****/p****2****)********q****1 **
**-dE/dx based K and ******** identification**** **
**CDF**
- John Fry Lepton Photon 2003
## CDF
**M******** vs a for each B********h****+****h****-**** mode**
**dE/dx calibration using D*****± ******** ****D****0************, **
**D****0 ********K****±********±**** ****(******** from D* unambiguously distinguishes K, ******** from D****0****)**** **
_**Sanity check: Measure Ratio of Branching Ratios**_
_**CDF :**_** ********(B****d ******** ****************-****)/********(B****d******** ****K****+********-****) = 0.26 ±0.11±0.055, ****PDG:**** **
_**Yield for each mode:**_
**B****d ******** **********************
**B****d ******** ****K****±**** ********±**********
**B****s ******** ****K****± ********±**********
**B****s ******** ****K****+****K****- ********(stat) ********(stat)******
******First observation !**
_**Method works !**_** Confirmed by Sanity **
**check against ratio of branching ratios**
_**Have first observation of B**__**s **_****** **_**K+K-**_
_**Its a CP Eigenstate: Can use this**_
_**To measure **__****__**s**__** as well !!**_
**CDF**
- John Fry Lepton Photon 2003
## Disentangling the Bh+h- contributions (Blessed CDF results)
** ****ACP(B****d********K******** = ****0.02 ± 0.15(stat) ± 0.017(syst)**
** ****BR(B****d************/BR(B****d********K********= **
** ****0.26 ± 0.11(stat) ± 0.055(syst)**
** ****fs X BR(B****s********KK)/fd X BR(B****d********K********) = **
** ****0.74 ****±**** 0.20(stat) ****±**** 0.22(syst)**
**Yield of ****B****s********KK = 90 ****±****17(stat) ****±****17(syst) events**
- John Fry Lepton Photon 2003
## Is Rescattering Important?
- Could modify branching fractions and CP asymmetries in and K decays, complicating extraction of and
- KK decays are more sensitive to rescattering
- Could have significant enhancement through (for example) DD or intermediate states
| | BaBar | P_QCD* |
| --- | --- | --- |
| K+K- | <0.6 | 0.05 |
| K+K0 | <2.2 | 1.7 |
| K0K0 | <1.6 | 1.8 |
- BF(10-6)
- *Chen and Li, Phys. Rev D63, 014003 (2000)
- John Fry Lepton Photon 2003
## BF & ACP for B , K, , K
| Mode | BF (10-6) (BaBar) | BF (10-6) (Belle) | ACP % (BaBar) | ACP % (Belle) |
| --- | --- | --- | --- | --- |
| B0 → ρ+ π- | 22.6 2.8 | 29.1 6.4 | -11 7 | -38 21 |
| B0 → ρ+ K- | 7.3 1.8 | 15.1 4.1 | 19 18 | 22 23 |
| B0 → ρ0 π0 | < 2.5 | 6.0 3.1 | | |
| B+ → ρ+ π0 | 11.0 2.7 | | 23 17 | |
| B+ → ρ0 π+ | 9.3 1.3 | 8.0 2.3 | -17 11 | |
| B+ → ρ0 K+ | < 6.2 | < 12 | | |
| B0 → ω K0 | 5.3 1.4 | < 7.6 | | |
| B+ → ω K+ | 5.0 1.1 | 6.7 1.4 | -5 16 | 6 20 |
| B0 → ω π0 | < 3 | | | |
| B+ → ω π+ | 5.4 1.1 | 5.9 1.5 | 4 17 | 48 23 |
- John Fry Lepton Photon 2003
## Belle B , K
**Belle B ******** ********, K**
**K****+**
******+**
**K****S**
- John Fry Lepton Photon 2003
## BaBar: B K Dalitz Plot
- BaBar:* *B K Dalitz Plot
| B+ K*0(892)+, K*0K+ - | 10.3±1.2+1.0 |
| --- | --- |
| B+ f0(980)K+, f0 + | 9.2±1.2+2.1 |
| B+ c0 K+, c0 + | 1.46±0.35±0.12 |
| B+ D0+, D0 K+ - | 184.6±3.2±9.7 |
| B+higher K*0+, K*0K+- | 25.1±2.0+11.0 |
| B+ 0(770)K+, 0 + | < 6.2 |
| B+ K+ - + (non resonant) | < 17 |
| B+ higher fK+, f + | <12 |
**-5.7**
**-2.6**
**-2.7**
**K*****0****(892)**
**K*****0****(higher)**
**D****0**
**ρ****0**
- **f****0****(980)**
******c0**
**56.4 fb****-1**
**Branching Fractions 10**** -6**
- John Fry Lepton Photon 2003
## Belle: Dalitz Plot Amplitude Analysis
- 140 fb-1 B+ K+K+K- (Signal 1400) and K++ - (Signal 2584)
- Resonances:
- K++ - K*(890), K*(1430), (770), c0(3400), f0(980), X(1350)
- K+K+K- (1020), C0(3400), X(1500)
- Background parameterisation – fitted with large (7*) sideband sample
- Signal parameterisation – fix masses, widths except X, f0
- Fit to signal + background and determine amplitudes and phases
- John Fry Lepton Photon 2003
## Slide 32
- John Fry Lepton Photon 2003
## Belle DP Mass and Helicity Projections K
- Belle DP Mass and Helicity Projections K
- John Fry Lepton Photon 2003
## Belle Branching Fractions from Dalitz Plot
**Belle ** Branching Fractions from Dalitz Plot
- John Fry Lepton Photon 2003
**HFAG**
**J Smith (Colorado)**
**J Alexander (Cornell)**
- John Fry Lepton Photon 2003
## Longitudinal Polarisation B → V V
- fL = L /
- 100% Pol CP even
- Expect: fL ~ 1 – O(M2V/M2B)
- John Fry Lepton Photon 2003
## Belle
**Belle**
**B ******** ********+**** ********0**
- John Fry Lepton Photon 2003
## B → ρ ρ and ρ K* [BaBar & Belle]
| (Errors approximated) | BF (10-6) | ACP % | Long. Poln % |
| --- | --- | --- | --- |
| B0→ ρ0 ρ0 | < 2.1 (90 % CL) | | |
| B0→ ρ+ ρ- | 27 ± 7 ± 6 | | 99 ± 7 ± 3 |
| B+→ ρ+ ρ0
Belle | 22.5 ± 5.7 ± 5.8
31.7 ± 7.1 ± 6.7 | -19 ± 23 ± 3
0 ± 22 ± 3 | 97 ± 7 ± 4
95 ± 11 ± 2 |
| B+→ ρ0 K*+ | 10.6 ± 3.0 ± 2.4 | 20 ± 32 ± 4 | 96 ± 15 ± 4 |
- CP asymmetries consistent with zero
- Polarisation in agreement with expectation
- John Fry Lepton Photon 2003
## Why we need Theorists
**K****0********+**
******+********0**
| Mode | CKM | (fdecay)2 | Ratio | Exp Ratio | BF (10-6) |
| --- | --- | --- | --- | --- | --- |
| K0+ | 1 | 1 | 1 | 1 | 19.6 |
| K*0+ | 1 | 1.85 | 1.85 | 0.65 | 12.7 |
| +0 | 2 | 0.66 | 0.03 | 0.27 | 5.3 |
| +0 | 2 | 1.71 | 0.085 | 0.46 | 9.1 |
| +0 | 2 | 2.9 | 0.145 | 1.35 | 26.4 |
**The VPSTE effect** (Form factor corrections at 40% level)
- John Fry Lepton Photon 2003
## The unique decays B 0 0 and 0 0
**BF give model-independent**
**limits to the CP angle ******
- John Fry Lepton Photon 2003
## B K(*) BaBar & Belle
**q**
**q**
***s***
***s***
- u
- u
**B****+,0**
****
**K****(*)**
| Mode | BF (10-6) | ACP (%) | Polarisation % |
| --- | --- | --- | --- |
| K0 | 7.6 ± 1.4 9.0 ± 2.2 | | |
| K+ | 10.0 ± 1.0 9.4 ± 1.3 | 4 ± 9 1 ± 13 | |
| K*0 | 11.2 ± 1.5 10.0 ± 1.8 | 4 ± 12 7 ± 16 | 65 ± 7 43 ± 10 |
| K*+ | 12.7 ± 2.4 6.7 ± 2.2 | 16 ± 17 -13 ± 31 | 46 ± 12 |
- Expect similar BF all modes
- BF(+) < 4 10-7 [90% CL]
- No indication for rescattering – as KK
- Polarisation unexpectedly small
- John Fry Lepton Photon 2003
## Belle
**Belle**
- John Fry Lepton Photon 2003
## BR(B±K±) at CDF
- BR(B±K±) /BR(B±J/K±) = 0.0068 ±0.0021 (*stat*.) ± 0.0007 (*syst.*)
- Using PDG 2002 for BR(B±J/K±):
- BR(B±K±) = (6.9 ± 2.1 (*stat*.) ± 0.8 (*syst.*)) x 10-6
- John Fry Lepton Photon 2003
## B (')K(*) and ('), BaBar and Belle
| Mode | BF (10-6)
Belle BaBar | |
| --- | --- | --- |
| K+ | 5.3 ± 1.9 | 2.8 ± 0.8 |
| K0 | | < 4.6 |
| ' K+ | 78 ± 11 | 76.9 ± 5.6 |
| ' K0 | 68 ± 13 | 55.4 ± 6.6 |
| + | 5.4 ± 2.1 | 4.2 ± 1.0 |
| ' + | < 7 | 2.8 ± 1.3
3.4 |
| 0 | < 5.5 | |
| Mode | BF (10-6)
Belle BaBar | |
| --- | --- | --- |
| K*+ | 26.5 ± 8.4 | 25.7 ± 4.2 |
| K*0 | 16.5 ± 4.8 | 19.0 ± 2.6 |
| ' K*+ | < 90 | < 12 |
| ' K*0 | < 20 | < 6.4 |
| + | < 6.2 | 10.5 ± 3.4
4.8 |
| ' + | | 14.0 ± 5.4
3.8 |
| ' 0 | < 14 | |
- John Fry Lepton Photon 2003
## Theoretical background: (') K, K * modes
- Similarly for *K *0, *K **0 except no external tree
- Flavour singlet diagram:
- Also important for *K**
- CKM suppressed
- H Lipkin Phys Lett B254 (1991) 247
- John Fry Lepton Photon 2003
## Slide 46
- John Fry Lepton Photon 2003
## B (')K(*) and , BaBar and Belle
| Mode | ACP (%)
Belle BaBar | |
| --- | --- | --- |
| K+ | | -32 ± 22 |
| K0 | | |
| ' K+ | -2 ± 7 | 4 ± 5 |
| ' K0 | | |
| + | | -51 ± 20 |
| Mode | ACP (%)
Belle BaBar | |
| --- | --- | --- |
| K*+ | | 15 ± 14 |
| K*0 | | 3 ± 11 |
| ' K*+ | | |
| ' K*0 | | |
| + | | 6 ± 29 |
- John Fry Lepton Photon 2003
**HFAG**
**J Smith (Colorado)**
**J Alexander (Cornell)**
- John Fry Lepton Photon 2003
**HFAG**
**J Smith (Colorado)**
**J Alexander (Cornell)**
- John Fry Lepton Photon 2003
## How does theory stack up?
- Good phenomenological understanding of Branching Fractions for 2-body PP and PV decays
- [Chiang et al hep-ph/0307395; Beneke et al hep-ph/0308039; Keum et al hep-ph/0306004]
- Factorisation models give insight into dynamics, but:
- BF for 0 0 looks to be in disagreement with all predictions
- BF for K, ' K, K* final states underestimated in QCDF
- [Annihilation contribution may be too large Aleksan et al, hep-ph/0301165]
- Asymmetry data is not yet precise enough to test models
- There is still a considerable role for model-independent theoretical calculations
- John Fry Lepton Photon 2003
## When is it safe to claim New Physics?
- For B0 KS, 'KS, K+K-KS we expect to measure:
- S = sin(2) + , C = , where = O (2)
- If S and C are measured precisely (S, C << 2 = 0.05)
- Claim new physics if: |C| > 5, or |S- sin(2)| > 5
****** ****might be enhanced:** Grossman bounds using isospin
- relations and ratios of BFs.
- (K+K-KS) 0.2, ('KS) 0.5
- GLNQ Hep-ph / 0303171
- Must measure 20 BFs precisely
- to improver the limit on !
- u-amplitude might be large
- John Fry Lepton Photon 2003
## Summary – What have we learned?
- Precision measurements of branching fractions are testing factorisation models – to destruction??
- Precise measts of ACP will enable further tests of models. Is there a hint of a signal in K+- ?
- B K, K*,'K, 'K* are now almost understood, but polarisation << 100% in K* is a puzzle
- Measuring the BF for 0 0 is a triumph, but the value is surprisingly high. Increased focus on 00 for | - eff|
- Measurement of many more decay modes is needed to make model-independent tests of NP meaningful
- The expected increase in luminosity of the B Factories promises a continuing, rich harvest of physics
- John Fry Lepton Photon 2003
|
en
|
all-txt-docs
|
202653
|
FXUS61 KBUF 110235
AFDBUF
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE BUFFALO NY
930 PM EST MON NOV 10 2003
THE AVN STILL SEEMS TO HAVE A BETTER HANDLE ON THE EASTWARD
PROGRESSION OF THE RAIN THAT IS NOW MOVING INTO WESTERN MICHIGAN.
THE ATMOSPHERE OVER OUR FA IS STILL VERY DRY BELOW 500 MB...SO MOST
OF OUR FA WILL REMAIN DRY OVERNIGHT. I WILL LEAVE IN THE CHANCE POPS
ACROSS WESTERN NEW YORK AND INTRODUCE A CHANCE FOR A SHOWER TOWARD
MORNING ACROSS MONROE AND LIVINGSTON COUNTIES...ASSUMING THE FASTER
TREND DEPICTED BY THE GFS CONTINUES TO VERIFY.
AREA TEMPERATURES APPEAR TO HAVE ALREADY BOTTOMED OUT ACROSS WESTERN
NEW YORK AND THE GENESEE VALLEY AS THE MID AND HIGH LEVEL CLOUDS
CONTINUE TO ADVECT TO THE EAST. THE PREVIOUS FORECAST TREND OF EARLY
MINS FOLLOWED BY RISING TEMPERATURES STILL LOOKS GOOD.
THE REST OF THE PREVIOUS AFD FOLLOWS.
TUE...MODELS NOT VASTLY DIFFERENT. CLOUDS AND PRECIP WITH WARM FRONT
AND SHORT WAVE WILL BE OVER THE REGION MUCH OF THE DAY. THE BULK OF
THE PRECIP WILL BE IN THE MORNING WEST AND DURING THE AFTERNOON EAST
OF LAKE ONTARIO. QPF TAPERS OFF DURING THE EVENING. OUR REGION WILL
BE UNDER A REGION OF LITTLE DYNAMICS BUT A FAIRLY SHARP NORTH TO
SOUTH MOISTURE GRADIENT. REDUCED POPS ACROSS MOST AREAS TUESDAY
NIGHT...BUT KEPT A FEW SHOWERS OVER THE SOUTHERN TIER. DECIDED TO BE
MORE OPTIMISTIC ON WEDNESDAY WITH MUCH OF THE FIRST PART OF THE DAY
HAVING NO PRECIP AND MAYBE EVEN SOME LIMITED SUN. POPS INCREASED
DURING THE AFTERNOON WITH THE APPROACH OF NEXT SYSTEM.
WED LATE-EARLY THURSDAY. STRONG COLD FRONT WILL CROSS REGION. LIKELY
POPS WERE USED FOR THE ENTIRE CWA. MODEL FCST CAPES IN THE WESTERN
AND CENTRAL REGION IN THE 400-600 J/KG RANGE. THUNDER IS A
POSSIBILITY...BUT WONT PUT IN FCST FOR NOW. H8 TEMPS WILL DIVE FROM
THE 5-7 C RANGE ON 00Z THU TO THE -4 TO -7 RANGE BY 12Z THU. WINDS
WILL INCREASE AS THE CAA STRENGTHS ACROSS REGION...MODELS SHOW
SPEEDS INCREASING INTO THE 25-40 KNOT RANGE. THESE STRONG WINDS WILL
REMAIN THROUGH MUCH OF THURSDAY. WIND ADVISORIES MAY HAVE TO BE
REQUIRED IN FUTURE FCSTS.
XTENDED FORECAST...(THU-MON). AS PREVIOUS DISCUSSION NOTED...COLD
AIR AND LAKE EFFECT WILL BE ACROSS REGION ON THURSDAY THROUGH FRIDAY
NIGHT. UPPER LOW REMAIN JUST NORTH OF REGION WITH ABUNDANT RH
CIRCULATING ACROSS REGION. BASICALLY USED CHC POPS MOVE ENTIRE FA
WITH AREAS OF LIKELY IN FAVORED LAKE EFFECT AREAS. REGIONS TO THE
EAST OF THE LAKES ARE FAVORED THURSDAY...BUT AS THE PRESSURE
GRADIENT BECOMES MORE NORTHWESTERLY THURSDAY NIGHT THE LAKE EFFECT
IS EXPECTED TO SHIFT MORE TO THE SOUTHEAST OF THE LAKES. IT SHOULD
REMAIN IN THE AREAS SOUTHEAST OF THE LAKES UNTIL CONDITIONS BECOME
MORE UNFAVORABLE LATER FRIDAY NIGHT. STRONG WINDS THURSDAY AND
THURSDAY NIGHT MAY INHIBIT ORGANIZATION OF THE BANDS SOMEWHAT.
HIGH PRESSURE SHOULD BEGIN TO INFLUENCE THE WEATHER MORE SATURDAY
THROUGH MONDAY. NO SIGNIFICANT WEATHER IN THIS PERIOD EXCEPT A FEW
SHOWERS LATER MONDAY IN THE SW CORNER OF THE STATE...TO BLEND THE
KCLE'S GRIDS.
.BUF...NONE.
$$
TJP/PO
|
en
|
markdown
|
087966
|
# Presentation: 087966
## IT Backup Planning
- Lessons from a real-world disaster
- Michael Watson M.D., M.L.S.
- Associate Director
- LSU Health Sciences Center / Shreveport, LA
- [email protected]
## Lesson 1
- A disaster doesn’t have to be _local_ to have an impact on your library.
- Remotely hosted ILS systems can be taken offline by remote events
- Intranet-based systems are not necessarily local
- It’s not just the _library_ systems you need to worry about!
- Recommendation:
- Wherever possible, know where your critical systems are hosted. Even if you can’t influence backup policies & procedures, you’ll know where you need to devise workarounds.
## Lesson 2
- Disasters come in all sizes. Plan accordingly.
- Many disaster plans implicitly consider “mid range” disasters that affect only the library, the hospital, or the campus.
- A community-wide disaster can prevent prompt access to your collections, servers, and backup tapes.
- Small disasters are still disasters. Are there critical documents on your PC’s hard drive? When was the last time you backed them up?
- Recommendation:
- For each disaster scenario in your plan, consider the “small, medium and large” cases.
## Lesson 3
- Some mission-critical systems are outside your control.
- How does your institution handle accounts payable? Accounts receivable? Payroll? What is the potential impact of loss of these systems?
- What does your *institutional* disaster plan say about key administrative systems? Has the library’s plan considered this broader context?
- Recommendation:
- Keep your own backups of key information from institutional systems, if only in a spreadsheet.
## Lesson 4
- In large disasters, library systems won’t be the highest priorities. Backup planning should include operational procedures, not just data.
- Post-Katrina, initial IT priorities included rebuilding LSUHSC-NO IP space, located evacuated personnel, restoring key administrative systems (PeopleSoft)
- Restoration of library systems took from 2 weeks to 2 months.
- Recommendation:
- In planning, don’t think only about data; think also about operational procedures.
- List critical resources & services. For each, consider how you would continue to operate if it were to go offline for 30 days.
## Lesson 5
- Disasters are informational “black holes.”
- Lack of timely, authoritative news considerably complicates your response to events.
- Even with 12+ New Orleans Computer Services personnel working out of our computer lab, there was no definitive news on whether servers were damaged or when they might be up again.
- It may be difficult to decide when to stop waiting for your institution’s servers to come back online & request access to vendor-hosted services.
- Recommendations:
- Difficult to make, except to note that in an information vacuum, flexibility is key.
## Lesson 6
- Don’t allow the mere existence of “backup tapes” to lull you into a false sense of security.
- Losing your ILS is likely to have far-ranging affects. How will Circ, ILL, Serials, Cataloging, and Acquisitions operate if the ILS is unavailable for an extended period?
- IT support is often decentralized. The person who actually has to retrieve the backup media will not necessarily be aware of backup schedules, procedures or locations.
- IP issues may complicate remote access even if patron data files are fully backed up.
- Recommendations:
- At minimum, document your data backup procedures, schedules, and storage location of backup media in the disaster plan.
- Consider whether off-site backup is an option.
- Include remote access in your disaster planning.
## Lesson 7
- In the wake of a disaster, your colleagues and your vendors are willing to work with you.
- More than 30 vendors offered discounts, free extensions to subscriptions, temporary remote access accounts, and other assistance. Some vendors even contacted us without waiting for us to call.
- Recommendation:
- Don’t be shy about asking your colleagues and your vendors to ask for help. Chances are, many of them will be more than willing to assist in any number of ways.
- Your colleagues are invaluable resources. One of the few pleasant aspects of a decidedly unpleasant situation was the way that other libraries leaped in to assist. Consortia, Associations and individual libraries in the area provided computer hardware, temporary office space, and waived ILL fees. Expressions of moral support arrived from every quarter.
|
en
|
all-txt-docs
|
237870
|
.
ALL AMERICAN ASPHALT
May 5, 1997
WEST 93-336-DM
FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION
1244 SPEER BOULEVARD #280
DENVER, CO 80204-3582
(303) 844-3993/FAX (303) 844-5268
May 5, 1997
SECRETARY OF LABOR : DISCRIMINATION PROCEEDINGS
MINE SAFETY AND HEALTH :
ADMINISTRATION (MSHA), :
on behalf of :
JAMES HYLES, : Docket Nos. WEST 93-336-DM
: WEST 93-436-DM
DOUGLAS MEARS, : WEST 93-337-DM
: WEST 93-437-DM
DERRICK SOTO, : WEST 93-338-DM
: WEST 93-438-DM
GREGORY DENNIS, : WEST 93-339-DM
Complainants : WEST 93-439-DM
: WEST 94-21-DM
v. :
: All American Aggregates
ALL AMERICAN ASPHALT, : Mine ID 04-03646
Respondent :
DECISION
Before: Judge Cetti
These consolidated cases are before me upon remand by the
Commission for further consideration, more specific credibility
findings, and analysis consistent with its December 1996
decision, 18 FMSHRC 2096, 2103 (December 1996).
FACTUAL AND PROCEDURAL BACKGROUND
The basic factual framework and procedural background of
these cases is set forth in my decision, 16 FMSHRC 2232 (November
1994) and is also more concisely and ably set forth in the
Commission's remand decision 18 FMSHRC 2096 as follows:
AAA is a general contractor in Corona,
California that operates an asphalt plant, a
quarry, and a plant that produces rock-based
aggregates for its own use and sale to other
con- tractors. Tr. 1136-39. In April 1991,
AAA was in the process of completing an
addition to its rock finishing plant. 16
FMSHRC at 2235. On Thursday, April 18, James
Hyles, a leadman on AAA's third or
"graveyard" shift, learned that AAA equipment
was not in place. Hyles voiced his concern
about safety conditions in the plant to Mike
Ryan, plant supervisor and a vice president
of AAA. Hyles also spoke to Patrick McGuire,
business representative of Local 12 of the
International Union of Operating Engineers
("Operating Engineers"), which represented
AAA's employees. Id. Thereafter, McGuire
visited the plant and saw the plant running
without numerous pieces of equipment in place.
Id.; Tr. 177-78.
During the weekend of startup operations,
Ryan assigned Hyles to work as leadman on a
combined second and third shift. 16 FMSHRC at
2236. When Hyles reported to work on Friday,
April 19, at 7:00 p.m., he saw equipment
lacking guards, ladders, catwalks, decks,
handrails and trip cords. Id. at 2235-36.
Working under Hyles' supervision in the
finish plant area were Greg Dennis, Doug
Mears, and Derrick Soto. Hyles warned them
to be careful, and they complained to Hyles
about conditions in the plant. Later, during
the weekend, Hyles videotaped the plant in
operation and spoke to Dennis, Mears, and
Soto about what he was doing. Id. at 2236.
Other employees on the videotape observed
Hyles' videotaping, including leadman Gary
Richter. Tr. 365-70. On Sunday night, Hyles
was involved in a minor accident when he fell
through a gap in decking. Tr. 367-70; Gov't
Ex. 23. Hyles spoke to Dennis, Mears, and
Soto about taking the videotape to the field
office of the Mine Safety and Health
Administration (MSHA). They all agreed that
the plant's condition posed dangers to
employees and that the tape should be turned
in. 16 FMSHRC at 2236; Tr. 370.
On Monday morning, Hyles went to the MSHA
field office and turned in the videotape.
16 FMSHRC at 2236; Gov't Ex. 54. After
viewing the videotape, MSHA inspectors went
to the AAA plant and saw it in operation.
MSHA issued numerous citations, including 29
unwarrantable failure violations. 16 FMSHRC
at 2236. Later that day, Ryan called Hyles
at home and told him not to report to work
that evening because someone had turned them
in and MSHA had shut the plant down. Id.
About a week later on the first day that
the plant reopened, Hyles had lunch with Ryan
and Gary White, leadman on the maintenance
shift. Ryan asked if either man knew who
turned him in. Ryan added that he wanted to
find out who it was so he could make life so
miserable for them that they would be happy
to go to work someplace else. Id.; Tr. 375-
76. Also after the plant reopened, AAA
President William Sisemore stated that he
wanted to find out who turned in the company
and make it worth their while to go
elsewhere. 16 FMSHRC at 2237, Tr. 391-504.
In June 1991, during a subsequent MSHA
investigation, Hyles, Dennis, Mears, and
Soto, in addition to other employees, were
interviewed in an investigation into Ryan's
conduct under 30 U.S.C. 820(c). Id. at
2237, Gov't Exs. 2, 3, 4, and 5.
In October 1991, Ryan, without
explanation, demoted Hyles from his position
as leadman. When asked why he was demoting
Hyles, Ryan responded that they no longer saw
eye-to-eye. 16 FMSHRC at 2237. [1] On July
7, 1992, due to an equipment move, AAA laid
off 16 of its 27 employees, includ-ing Hyles,
Dennis, Mears, and Soto. Over the succeeding
weeks, all employees but the four
complainants were called back to work, and
some employees were working overtime. When
Hyles and Soto went to the plant and saw less
senior employees working, the four filed
grievances under the collective bargaining
agreement between AAA and the Operating Engi-
neers. The grievants contended that the
contract required AAA to conduct a "bumping"
meeting prior to layoffs where employ- ees
could bid on jobs held by less senior
employees and bump those employees out of
jobs for which the more senior employee was
qualified to perform. Id. at 2238-39. The
grievances went to arbitration, and the
arbitrator found that AAA had violated the
contract by laying off employees without
conducting a bumping meeting; however, he
concluded that only Hyles was entitled to
relief to bump less senior employees, based
on his qualifications. 16 FMSHRC at 2238-39,
Gov't Ex. 51, at 11-14.
In September 1992, Hyles, Dennis, Mears,
and Soto filed discrimination complaints with
MSHA. Following the insti- tution of
temporary reinstatement proceedings, AAA
reinstated the four complainants on February
11, 1993. 16 FMSHRC at 2239-40. Upon their
reinstatement, they were assigned to
production work on the day shift. Id. at
2240.
In early March 1993, AAA reestablished a
third shift as a result of decreased
production due to wetness of material that
was being processed through the plant. AAA
temporarily assigned four of its most senior
plant repairmen to perform production work,
while paying them at their higher rate of pay
as repairmen. It was unusual for senior
employees to work the night shift, because
the day shift was seen as more desirable and
the most senior employees generally bid on
it. Id. Three weeks later, on March 23, AAA
discontinued the third shift and announced a
layoff. Rather than reassigning the four
repairmen to their regular positions, AAA
required the repairmen to participate in a
bumping meeting. Rather than bumping into
repairmen positions, they bumped into the
production jobs held by Hyles, Dennis, Mears,
and Soto. As a result the complain-ants were
the only four employees laid off. AAA
discontinued the third shift and announced a
layoff. Rather than reassigning the four
repairmen to their regular positions, AAA
required the repairmen to participate in a
bumping meeting. Rather than bumping into
repairmen positions, they bumped into the
pro-duction jobs held by Hyles, Dennis,
Mears, and Soto. As a result, the
complainants were the only four employees
laid off. AAA subsequently hired new
employees to fill the vacant repair- men
positions. Id. at 2240-41; Tr. 457, 481,
1693.
On March 24, the four complainants were
called into the layoff meeting and told that
they had been bumped by more senior employees
and that they were to bid on jobs held by
less senior employees. They were reluctant
to exercise their bump-ing rights at the
meeting for fear that Ryan would refuse to
allow them to bump into other jobs because
they were not quali- fied. Hyles and Soto
requested that they be given time to
consult with counsel from the Solicitor's
office because of the pendency of their
discrimination complaints. 16 FMSHRC at
2241. Shortly after the meeting, Operating
Engineers Business Agent McGuire called Ryan
to let him know that Hyles had decided to
bump into the plant operator position. Ryan
refused the request, stating that it was
untimely. AAA refused to accept any of the
complainants' subsequent written requests to
bump for the same reason. Id.
Following the second layoff, Hy1es,
Dennis, Mears, and Soto filed a second
discrimination complaint, alleging that the
March 1993 layoff was in retaliation for
their MSHA related safety activity. AAA
reinstated the complainants on April 26,
1993. After their reinstatement, the
complainants were frequently given reduced
working hours. In April 1993, AAA began hir-
ing ten new employees and increased its
output of finished material. In August 1993,
AAA posted a seniority list indi- cating that
Dennis, Mears and Soto had seniority dates of
January 1993. When Mears asked why the list
did not reflect his original seniority
date, Ryan responded that he had no
seniority. Id. at 2242.
The Secretary issued four complaints for
each of the two layoffs, and an eight day
hearing was held. At the close of the
hearing, the judge issued a bench decision
granting the complainants temporary
reinstatement, and a written decision
followed. 16 FMSHRC 31 (January 1994)(ALJ).
Thereafter, the judge issued his decision on
the merits of the complaints. Initially, the
judge dismissed several procedural defenses
raised by AAA, including that the complaints
were time barred under the Mine Act and that
the discrimination complaints were preempted
by the National Labor Relations Act, 29
U.S.C.
141 et seq. (1994). 16 FMSHRC at 2233-35.
On the merits, the judge found that AAA had
violated section 105(c) of the Mine Act by
laying off the complainants on two occasions
in retaliation for their MSHA related safety
activity. Id. at 2247-49.
APPLICABLE LAW
The principles governing analysis of discrimination cases
under the Mine Act are well settled. In order to establish a
prima facie case of discrimination under Section 105(c) of the
Act, a complaining miner bears the burden of production and proof
in establishing that (1) he engaged in protected activity and (2)
the adverse action complained of was motivated in any part by
that protected activity. Secretary on behalf of Pasula v.
Marshall, 663 F.2d 1211 (3rd Cir. 1981); Secretary on behalf of
Robinette v. United Castle Coal Co., 3 FMSHRC 817-18 (April
1981). The operator may rebut the prima facie case by showing
either that no protected activity occurred or that the adverse
action was in no part motivated by protected activity. If an
operator cannot rebut the prima facie case in this manner, it,
nevertheless, may defend affirmatively by proving that it also
was motivated by the miner's unprotected activity and would have
taken the adverse action in any event for the unprotected
activity alone. Pasula, supra; Robinette, supra. See also
Eastern Assoc. Coal Corp. v. FMSHRC, 813 F.2d 639, 642 (4th
Cir. 1987); Donovan v. Stafford Construction Co., 732 F.2d 954,
958-59 (D.C. Cir. 1984); Boich v. FMSHRC, 719 F.2d 194, 195-96
(6th Cir. 1983) (specifically approving the Commission's Pasula-
Robinette test). Cf. NLRB v. Transportation Management Corp.;
462 U.S. 393, 397-413 (1983) (approving nearly identical test
under National Labor Relations Act).
Direct evidence of actual discriminatory motive is rare.
Short of such evidence, illegal motive may be established if
the facts support a reasonable inference of discriminatory
intent. Secretary on behalf of Chacon v. Phelps Dodge Corp., 3
FMSHRC 2508, 2510-11 (November 1981), rev'd on other grounds sub
nom. Donovan v. Phelps Dodge Corp., 709 F.2d 86 (D.C. Cir. 1983);
Sammons v. Mine Services Co., 6 FMSHRC 1381, 1398-99 (June
1984). As the Eighth Circuit analogously stated with regard to
discrimination cases arising under the National Labor Relations
Act in NLRB v. Melrose Processing Co., 351 F.2d 693, 698 (8th
Cir. 1965):
It would indeed be the unusual case in
which the link between the discharge and
the (protected) activity could be supplied
exclusively by direct evidence. Intent is
subjective and in many cases the
discrimination can be proven only by the use
of circumstantial evidence. Furthermore, in
analyzing the evidence, circumstantial or
direct, the [NLRB] is free to draw any
reasonable inferences.
Circumstantial indicia of discriminatory intent by a mine
operator against a complaining miner or miners includes
hostility towards the miner because of his protected activity and
disparate treatment of the complaining miner by the operator.
Chacon, supra at 2510.
Docket Nos. WEST 93-336-DM, WEST 93-337-DM, WEST 93-338-DM,
WEST 93-339-DM
With respect to these four dockets (first set of dockets)
for reasons set forth below, I find and conclude that each of the
four Complainants in April 1991 engaged in protected activity,
that Ryan, the plant supervisor and vice-president, as well as
the president, Sisemore, blatantly expressed hostility to the
protected activity and a desire to find out who "turned them in"
so as to make it so miserable for them they would be glad to seek
employment elsewhere. Over a period of time, Respondent was
able to determine who the employees were that engaged in the
April 1991 protected activity and took adverse dis-
criminatory action against them in retaliation for their having
engaged in the protected activity. The adverse action taken
included not recalling Complainants back to work for a prolonged
period of time after the July 1992 layoff while less senior
employees were working and at other times between July 1992
and December 16, 1993, all of which are covered by the back-pay
stipulation set forth in the stipulation marked as Exhibit A. [2]
This adverse action resulted in a loss of wages (back-pay) for
each of the Complainants in the dollar amounts set forth in my
decision dated November 2, 1994, 16 FMSHRC 2232, which in turn,
is based on the record and the agreed dollar amounts set forth in
the stipulation signed and filed by all parties. This
stipulation was and is accepted by the undersigned Judge. On
the same basis, after consideration of the relevant statutory
criteria, I find the appropriate penalty to be assessed for the
violations of Section 105(c) found in this first set of four
dockets is $14,000.00.
Docket Nos. WEST 93-436-DM, WEST 93-437-DM, WEST 93-438-DM,
WEST 439-DM
This second set of dockets, listed above, arose out of the
second set of discrimination complaints that the four
complainants filed with MSHA in September 1992. With respect to
these dockets, Docket Nos. WEST 93-436-DM, WEST 93-437-DM, WEST
93-438-DM and WEST 93-439-DM, I find that each of the
Complainants did indeed engage in protected activity which
included taking an active part in the Section 110(c)
investigation of the plant supervisor, Ryan. It is undisputed
that the Respondent was fully aware of the Claimants' protected
activity. I find, however, that Respondent took no adverse
action against the Complainants that was motivated by the
protected activity involved in their participation in the
110(c) investigation or in their filing the second set of
discrimination complaints. I find that all the adverse action
taken against the Complainants, except for the demotion of Hyles
from his leadman position to a journeyman position, was motivated
by Respondent's animosity towards Complainants for their April
1991 protected activity, and not motivated by the protected
activity involved in the 110(c) investigation. There maybe
suspicion but there is no persuasive evidence of a causal
nexus between any adverse action and the Complain- ant's
protected activity involved in the 110(c) investigation of Ryan.
It is on this basis that I find and concluded the Secretary
has not proved there was a violation of Section 105(c) with
respect to this second set of dockets. I, therefore, dismiss
these dockets and vacate the corresponding proposed $14,000.00
penalty assessments for the alleged violations in the second set
of dockets. Likewise, I dismiss Docket No. WEST 94- 21-DM in
view of the failure to prosecute and stipulation number four of
Ex. A which clearly states "there shall be no penalty in the
case bearing Docket No. WEST 94-21-DM."
CREDIBILITY FINDINGS
Having heard and observed the demeanor of the witnesses as
they testified at the hearings, I make the following credibility
findings:
I credit the testimony of William S. Smillie, particularly
his testimony that he heard Respondent's President Sisemore and
its Vice-President and Plant Manager Mr. Ryan having a
conversation that clearly showed they wanted to find out who
filed the hazard complaint with MSHA. He heard them say in a
loud voice, as though intending him to hear, that they would like
to know who filed the hazard complaint so they could make it
worthwhile for them to leave. This was a blatant threat
against miners who engaged in statutorily protected activity and
clearly showed their intent to retaliate against the miners who
engaged in the protected activity.
I credit the testimony of the complainant James Hyles, that
Ryan asked him and leadman Gary White if they had any idea who
"turned him in" and that Ryan told them he wanted to find out who
it was and that he would make it so miserable for them, they
would be happy to go to work someplace else. I credit Hyles'
testimony that while he was in the office of President Sisemore,
he heard Sisemore say he would like to "find out who was causing
him all the problems and that he would make it worth their while
to seek employment elsewhere."
I credit the testimony of the Complainants, Hyles, Mears,
Soto and Dennis, including their testimony as to their training,
experience and their job qualifications. In view of Ryan's
blatant hostility to the Claimants' protective activity and to
his express desire to get rid of those who "turned him in". I
do not credit Ryan's testimony as to the job qualifica-
tions of the applicants during the relevant time period through
the date of the final hearing in this matter December 16, 1993.
I do not credit Ryan's testimony that neither he nor Mr.
Sisemore said anything to the effect that they wanted to find out
who had made the complaints to MSHA so that they (Management)
could make it worth their (Complainants) while to leave. I do
not credit Ryan's testimony that he did not find out who "turned
in" Respondent to MSHA in April 1991 until MSHA sent him the
discrimination complaints filed by the four Complainants.
I credit the testimony of Cathy Ann Matchett, the Special
Investigator with Mine Safety and Health Administration who
pursuant to her MSHA assignment investigated the complaints of
discrimination filed by the Complainants with MSHA. Although
much of her testimony consisted of hearsay, I credit her with
accurately summarizing the information given to her in the
course of her investigation. (See Exhibits G-18, G-19, G-31, G-
32). I credit the testimony of Patrick McGuire and Martin
Collins, the business representatives for the International Union
of Operating Engineers, Local 12. Martin Collins specializes in
rock, sand and gravel agreements for Local 12. (Tr. 1084).
Collins was called as a witness, respectively, by both Respondent
and Complainants.
**FOOTNOTES**
[1]: The Commission in footnote 3. Id. at 2402 ruled the
judge's determination that Hyles demotion did not violate 105(c)
of the Mine Act is final since the Secretary did not preserve the
demotion issue for review through a timely filed petition, nor
did the Commission order sua sponte review of the issue.
[2]: The stipulation signed by all parties is attached to
this Decision as Exhibit A.
OPERATOR'S HOSTILITY TO THE PROTECTED ACTIVITY
AND THREATS OF RETALIATION
There is strong convincing evidence of the operator's
animosity and hostility towards the protected activity and their
intention to retaliate against those employees who engaged in the
protected activity when they determined their identity.
Management's conduct was exacerbated by their making loud vocal
threats as to how they were going to retaliate against said
employee(s) once they determined who they were. Such blatant
expressions of hostility has a chilling effect on all employees.
It is an indirect threat of adverse action in retaliation against
any employee who dares to engage in protected activity. This
blatant intimidating conduct is the antithesis of the very intent
and purpose of Section 105(c) of the Mine Act. Such conduct on
the part of an operator flies in the face of the purpose and the
intent of the Mine Act. The effect and the probable intent of
such expression of hostility is to intimidate employees from
engaging in protected activity. Such expression of animosity
towards the protected activity and the express desire and
attempts to find out who "turned them in" with threats of
retaliation against those employees once their identity is known
followed by adverse action against the Complainants, supports
a reasonable inference that Respondent did, in fact, determine
the identity of the employees who participated in the protected
activity that caused Respondent "so much trouble." Knowledge of
the Respondent is reasonably inferred from the established facts
and circumstances.
THE ARBITRATOR'S DECISION
A miner's rights under a union contract are different and
subservient to the statutory protected rights of a miner under
Section 105(c) of the Mine Act. The crucial issues and
procedures are different.
The record reveals practically nothing about the arbitrator
nor does it demonstrate the adequacy of the record on which
arbitrator's conclusions were based. I have never seen the
record before the arbitrator and the decision does not appear to
name all the witnesses who testified in the arbitration
proceeding. Assuming the same witnesses testified in the arbi-
tration proceeding as in these discrimination cases under Section
105(c) of the Mine Act, it is quite clear I have made different
credibility findings than the arbitrator. Based upon the record
before me I do not give any weight to the arbitrator's decision.
In view of Management's blatant hostility to the protected activity
of the Claimants and Management's obvious desire to get rid of
Claimants, I place very little credence in Ryan's testimony as to
the qualifications of the claimants for available jobs,
particularly as compared to qualifications of less senior
employees who were working or returned to work before the
Complainants after the July 1992 layoff. I based my opinion
that All American Asphalt violated its collective bargaining
agreement in implementing the layoff in July 1992 without
conducting a pre-layoff bumping meeting, not on the decision of
the arbitrator, but on the provisions of the union contract, the
testimony of business agents for Local 12 of the Union of
Operating Engineers, and the admission of Ryan at page 2 of Ex.
G-7.
PROTECTED ACTIVITY
I find that Ryan, Respondent's vice-president and plant
manager, started running the plant in April 1991 with full
knowledge that mandatory basic safety equipment such as trip
cords, handrails, ladders, catwalks, decks and guards, were not
in place. I credit the testimony of James Hyles, the leadman of
the combined crew, that he complained to Ryan, to no avail,
about running the plant without the basic safety equipment in
place. I also credit the testimony of the Complainants that they
complained about the unsafe conditions to their leadman Hyles and
to leadman Gerald Richter. Hyles' protected activity, in
addition to his safety complaint to Ryan, included the making of
a video tape of the plant running in its unsafe condition and
his turning the video tape over to MSHA after his discussion with
the other three Complainants as to the danger involved to
employees and as to whether he should take the video tape to
MSHA.
The protected activity of Mears, Soto and Dennis consisted
of their safety complaints to leadman Hyles and Richter and
their discussion with Hyles as to the danger to employees
involved in running the plant in its unsafe condition and their
support and agreement that the Hyles video tape showing the many
violations of mandatory safety standards should be turned over to
MSHA.
In the vacated decision, I apparently was willing to go
along with Respondent's contention that they had no knowledge of
Hyles' protected activity at the time Respondent demoted Hyles in
October 1991 from his leadman position to a journeyman. I did
this only because there was no direct evidence on this point and,
most importantly, because it made no difference as to the
legality of the demotion in view of my finding and conclusion
that Respondent properly demoted Hyles for his admitted on the
job misconduct alone, irrespective of Hyles' protected
activity. While the Secretary presented some evidence that the
plant had a lax policy for inadvertent falling asleep on the job,
there was no evidence that Hyles' degree of misconduct was
tolerated in other employees. Hyles' unprotected conduct was
clearly unsuitable for an employee in a leadman position and
Respondent demoted him for his unprotected conduct alone. I
find no disparate treatment in demoting Hyles from a leadman
position to a journeyman position.
Although there is no direct evidence as to the exact time
Respondent determined the identity of those who "turned them in",
based on the reasonable inference to be drawn from the
established facts, I find that it was sometime before the July
1992 layoff and recall. First, it is established that Hyles
was observed making the video of the plant by many of the
employees who worked with Hyles on the weekend just before the
Monday MSHA shutdown of the plant. Those who observed Hyles
making the video tape of the plant's many hazardous safety
violations included leadman Richter. In this connection it is
worthy of note, for example that Smillie, a very credible
witness, testified he assumed Hyles was the one who turned the
company in because Hyles was the one who video taped the plant in
its unsafe condition. The other three Complainants worked
under Hyles and along with Hyles were exposed to the hazardous
work conditions on the weekend before the Monday morning MSHA
shutdown of the plant. When the four Complainants were not
called back to work following the July 1992 layoff while less
senior employees were working, it is reasonable, in view of the
established facts, to infer that Respondents had determined that
Complainants were the ones that engaged in the protected activity
that caused them so much trouble and for that reason
retaliated against them by not calling them back to work.
In addition, it is established that the Plant Manager, Vice-
President Ryan and President Sisemore expressed great hostility
to the protected activity and a strong desire to know who turned
the company in and caused them so much trouble. They threatened
to make life so miserable for those who engaged in the
protected activity so they would be only too glad to seek
employment elsewhere. These facts, plus the fact that the
Claimants were clearly subject to disparate treatment by the
Respondent not calling them back to work after the July 1992
layoff, while less senior employees were working lends support to
a reasonable inference that Respondent had knowledge of the
identity of the employees who participated in the protected
activity that led to the MSHA shutdown of the plant, the issuance
of 29 unwarrantable citations, and the 110(c) investigation of
the plant supervisor. It is reasonable to infer from the
evidence presented that sometime before the July 1992 layoff and
recall, Management determined the identity of the employees who
participated in the protected activity that Respondent so deeply
resented.
SENIORITY
The Union contract in effect at the relevant time (July 1992
- March 1993) states in Article XIII Section 3 the following:
Section 3: Seniority Termination. Seniority
shall be terminated by ...(3) if the
employee performs no work for the Employer
within the bargaining unit for a period of
six months ....
In view of the miners' statutorily protected rights, I find
this provision has no effect on the Claimants' seniority at any
time relevant to this decision. Any failure of Complain-
ants to perform work for Respondent for any six months or longer
period during the relevant time period up through December 16,
1993, was due to Respondent's illegal discrimination against the
Claimants. As stated before, the Union agreement is subservient
to the miners statutorily protected rights under the Mine Act.
The Respondent's seniority list for the Claimants and other
operating engineers under the Local 12 Union contract is as set
forth in Government Exhibits 13, 14, and 15. I find Claimants
seniority date at all time relevant to this decision, is their
date of hire as follows:
Name Date Hired
Hyles, James 07-09-85
Dennis, Gregory 08-21-86
Mears, Douglas 04-09-87
Soto, Derrick 07-05-88
These dates of hire establish the Claimants seniority
through all period of time relevant to this decision i.e.
through December 16, 1993, the date of the final hearing in
these cases.
FURTHER FINDINGS
1. Respondent refused to recall the Complainants back to
work after the July 1992 layoff in retaliation for Complainants
having engaged in protected activity which resulted in MSHA
issuing many citations and shutting the plant down.
2. Respondent's claim that Claimants were not recalled
shortly after the July 1992 layoff because Complainants were
not qualified for available work is pretextual.
3. Respondent manipulated the shift and job assignments in
March of 1993 for the specific planned purpose of terminating the
Claimants employment in retaliation of their protected activity
that resulted in the shutdown of the plant, the 29 unwarrantable
citations and the 110(c) investigation of Ryan, the plant manager
and vice-president of the company.
BACK-PAY AND PENALTY
In the decision of November 2, 1994 (16 FMSHRC 2232) I
directed counsel for the parties to confer with each other
with respect to the remedies due each of the Claimants and
encouraged the parties to reach a mutually agreeable
resolution or settlement of these matters.
When the parties finally informed me they could not reach an
agreement as to the specific dollar amount, I set the matter
for hearing on May 8 - 10, 1995, in Riverside California.
Just days prior to the scheduled May 1995 hearing, the
parties after conference calls on May 5th and May 8, 1995,
notified the Judge that they had reached an agreement on the
dollar amounts due. They requested cancellation of the May
hearing on the grounds that it would no longer be
necessary or productive, in any way, in view of a
stipulation reached by the parties. The scheduled hearing
was canceled and on May 22, 1995, the parties filed the
stipulation, attached hereto as Ex. A.
In the stipulation the parties, assuming liability, agree to
certain dollar amounts of back-pay due each Claimant from
April 1991 up through the date of the final hearing in these
cases, December 16, 1993. The parties stipulate that the
interest began to accrue on March 15, 1993, on the entire back-pay
award, and that Respondent shall make all legally required payroll
deductions and withholdings.
Based on the record and the stipulation attached as Exhibit
A, I enter the following:
ORDER
Respondent is ordered to pay the Complainants' back wages
and interest for all periods through the date of the final
hearing in these cases, December 16, 1993, the following
amounts:
Name Amounts
James Hyles $20,837.24 plus interest [3]
Derrick Soto $34,347.10 plus interest
Douglas Mears $38,656.34 plus interest
Gregory Dennis $36,159.32 plus interest
It is further ordered the RESPONDENTS PAY a civil penalty of
$14,000.00 to the Secretary of Labor for Respondent's violations
of Section 105(c) of the Mine Act as charged in Docket Nos. WEST
93-336-DM, WEST 93-337-DM, WEST 93-338-DM and WEST 93-339-DM. All
amounts payable by Respondent pursuant to this order shall be paid
within 40 days of the date of this decision.
It is further ORDERED that Docket Nos. WEST 93-436-DM, WEST
93-437-DM, WEST 93-438-DM, WEST 93-439-DM and WEST 94-21-DM be
DISMISSED and their corresponding proposed penalties VACATED.
August F. Cetti
Administrative Law Judge
**FOOTNOTES**
[3]: Interest shall be computed in accordance with the
Commission's decision in Secretary/Bailey v. Arkansas-Carbona, 5
FMSHRC 2042 (December 1983), at the adjusted prime rate announced
semi-annually by the Internal Revenue Service for the
underpayment and overpayment to taxes. Interest shall be
computed from March 15, 1993, until the date of payment of back-
pay awarded.
Distribution:
John C. Nangle, Esq., J. Mark Ogden, Esq., Office of the
Solicitor, U.S. Department of Labor, 3247 Federal Building,
300 North Los Angeles Street, Los Angeles, CA 90012
(Certified Mail)
Yoora Kim, Esq., Office of the Solicitor, U.S.Department of
Labor, 4015 Wilson Boulevard, Arlington, VA 22203
(Certified Mail)
Lawrence Gartner, Esq., GARTNER & YOUNG, P.C., 1925 Century
Park East #2050, Los Angeles, CA 90067-2709
(Certified Mail)
William Rehwald, Esq., REHWALD, RAMESON, LEWIS & GLASNER, 5855
Topanga Canyon Blvd., Suite 400, Woodland Hills, CA 91367-4600
(Certified Mail)
/sh
JOHN C NANGLE ESQ
J MARK OGDEN ESQ
3247 FEDERAL BUILDING
300 N LOS ANGELES ST
LOS ANGELES CA 90012
YOORA KIM ESQ
OFFICE OF THE SOLICITOR
U S DEPARTMENT OF LABOR
4015 WILSON BLVD
ARLINGTON VA 22203
LAWRENCE GARTNER ESQ
GARTNER & YOUNG PC
1925 CENTURY PARK EAST
#2050
LOS ANGELES CA 90067-2709
WILLIAM REHWALD ESQ
REHWALD RAMESON LEWIS &
GLASNER
5855 TOPANGA CANYON
BLVD #400
WOODLAND HILLS CA
91367-46001
|
en
|
all-txt-docs
|
425189
|
FXUS64 KMAF 191844
AFDMAF
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MIDLAND/ODESSA TX
130 PM CDT THU JUN 19 2003
SUMMER PATTERN IN PLACE WITH UPPER RIDGE OVER AREA. WEST COAST
TROUGH COMES EAST FRIDAY AND SATURDAY FLATTENING OUT RIDGE BUT NOT
DISPLACING IT.
NO GREAT FEATURES TO FOCUS CONVECTION ALTHOUGH NEW MEXICO COUNTIES
AND WEST TEXAS MOUNTAINS HAVE BEEN GETTING PRECIP THE LAST SEVERAL
DAYS. GIVEN EASTERLY FORECASTED WINDS EXPECT THIS TO CONTINUE.
RIGHT NOW MOISTURE PACKED UP AGAINST THE MOUNTAINS BUT A WEAK DRYLINE
IS EXPECTED TO DEVELOP. DRYLINE WILL WAFFLE ACROSS THE AREA THROUGH
FRIDAY AND SHARPEN UP A LITTLE SATURDAY AND SUNDAY. DRYLINE COULD
HELP CONVECTION BUT MODEL PRECIP DOES NOT SEEM TO CONCENTRATE ON IT.
PLANNING ON ADDING POPS TO MOUNTAINS TONIGHT AND INCREASING NORTH TO
MATCH UP BETTER. MODELS TEND TO KEEP MAJORITY OF PRECIP OUT WEST.
COULD SEE A FEW STORMS AROUND PERMIAN BASIN AS MORNING/MODEL
SOUNDINGS SLIGHTLY UNSTABLE WITH SOME CAPE.
ALL GUIDANCES IN AGREEMENT... ALL HAVE WARMING TEMPS. WARMING TEMPS
ALOFT ARE EXPECTED TO CAP ATMOSPHERE NEW WEEK. WILL CONTINUE WITH
DRY FORECAST NEXT WEEK.
LATEST RADAR SHOWING A BAND OF SHOWERS/STORMS MOVING THROUGH LEA
COUNTY INTO TEXAS WITH AN ISOLATED STORM OVER DAVIS MOUNTAINS.
OVERALL...DRY CONDITIONS AND A SIGNIFICANT WARNING TREND ARE
FORECAST INTO EARLY NEXT WEEK.
INITIAL NUMBERS FOLLOW.
MAF 67/93/69/97/71 1000
CNM 63/95/66/98/68 2010
MRF 58/85/59/88/61 2010
FST 68/95/70/98/73 0000
.MAF...
TX...NONE.
NM...NONE.
$$
72
|
en
|
all-txt-docs
|
284793
|
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000001.gif","1","1","","0000001.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000002.gif","2","2","","0000002.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000003.gif","3","3","","0000003.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000004.gif","4","4","","0000004.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000005.gif","5","5","","0000005.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000006.gif","6","6","","0000006.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000007.gif","7","7","","0000007.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000008.gif","8","8","","0000008.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000009.gif","9","9","","0000009.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000010.gif","10","10","","0000010.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000011.gif","11","11","","0000011.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000012.gif","12","12","","0000012.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000013.gif","13","13","","0000013.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000014.gif","14","14","","0000014.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000015.gif","15","15","","0000015.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000016.gif","16","16","","0000016.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000017.gif","17","17","","0000017.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000018.gif","18","18","","0000018.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000019.gif","19","19","","0000019.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000020.gif","20","20","","0000020.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000021.gif","21","21","","0000021.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000022.gif","22","22","","0000022.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000023.gif","23","23","","0000023.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000024.gif","24","24","","0000024.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000025.gif","25","25","","0000025.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000026.gif","26","26","","0000026.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000027.gif","27","27","","0000027.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000028.gif","28","28","","0000028.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000029.gif","29","29","","0000029.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000030.gif","30","30","","0000030.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000031.gif","31","31","","0000031.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000032.gif","32","32","","0000032.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000033.gif","33","33","","0000033.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000034.gif","34","34","","0000034.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000035.gif","35","35","","0000035.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000036.gif","36","36","","0000036.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000037.gif","37","37","","0000037.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000038.gif","38","38","","0000038.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000039.gif","39","39","","0000039.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000040.gif","40","40","","0000040.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000041.gif","41","41","","0000041.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000042.gif","42","42","","0000042.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000043.gif","43","43","","0000043.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000044.gif","44","44","","0000044.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000045.gif","45","45","","0000045.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000046.gif","46","46","","0000046.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000047.gif","47","47","","0000047.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000048.gif","48","48","","0000048.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000049.gif","49","49","","0000049.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000050.gif","50","50","","0000050.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000051.gif","51","51","","0000051.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000052.gif","52","52","","0000052.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000053.gif","53","53","","0000053.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000054.gif","54","54","","0000054.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000055.gif","55","55","","0000055.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000056.gif","56","56","","0000056.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000057.gif","57","57","","0000057.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000058.gif","58","58","","0000058.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000059.gif","59","59","","0000059.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000060.gif","60","60","","0000060.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000061.gif","61","61","","0000061.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000062.gif","62","62","","0000062.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000063.gif","63","63","","0000063.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000064.gif","64","64","","0000064.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000065.gif","65","65","","0000065.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000066.gif","66","66","","0000066.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000067.gif","67","67","","0000067.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000068.gif","68","68","","0000068.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000069.gif","69","69","","0000069.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000070.gif","70","70","","0000070.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000071.gif","71","71","","0000071.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000072.gif","72","72","","0000072.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000073.gif","73","73","","0000073.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000074.gif","74","74","","0000074.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000075.gif","75","75","","0000075.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000076.gif","76","76","","0000076.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000077.gif","77","77","","0000077.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000078.gif","78","78","","0000078.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000079.gif","79","79","","0000079.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000080.gif","80","80","","0000080.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000081.gif","81","81","","0000081.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000082.gif","82","82","","0000082.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000083.gif","83","83","","0000083.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000084.gif","84","84","","0000084.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000085.gif","85","85","","0000085.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000086.gif","86","86","","0000086.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000087.gif","87","87","","0000087.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000088.gif","88","88","","0000088.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000089.gif","89","89","","0000089.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000090.gif","90","90","","0000090.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000091.gif","91","91","","0000091.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000092.gif","92","92","","0000092.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000093.gif","93","93","","0000093.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000094.gif","94","94","","0000094.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000095.gif","95","95","","0000095.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000096.gif","96","96","","0000096.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000097.gif","97","97","","0000097.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000098.gif","98","98","","0000098.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000099.gif","99","99","","0000099.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000100.gif","100","100","","0000100.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000101.gif","101","101","","0000101.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000102.gif","102","102","","0000102.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000103.gif","103","103","","0000103.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000104.gif","104","104","","0000104.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000105.gif","105","105","","0000105.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000106.gif","106","106","","0000106.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000107.gif","107","107","","0000107.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000108.gif","108","108","","0000108.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000109.gif","109","109","","0000109.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000110.gif","110","110","","0000110.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000111.gif","111","111","","0000111.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000112.gif","112","112","","0000112.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000113.gif","113","113","","0000113.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000114.gif","114","114","","0000114.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000115.gif","115","115","","0000115.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000116.gif","116","116","","0000116.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000117.gif","117","117","","0000117.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000118.gif","118","118","","0000118.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000119.gif","119","119","","0000119.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000120.gif","120","120","","0000120.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000121.gif","121","121","","0000121.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000122.gif","122","122","","0000122.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000123.gif","123","123","","0000123.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000124.gif","124","124","","0000124.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000125.gif","125","125","","0000125.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000126.gif","126","126","","0000126.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000127.gif","127","127","","0000127.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000128.gif","128","128","","0000128.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000129.gif","129","129","","0000129.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000130.gif","130","130","","0000130.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000131.gif","131","131","","0000131.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000132.gif","132","132","","0000132.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000133.gif","133","133","","0000133.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000134.gif","134","134","","0000134.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000135.gif","135","135","","0000135.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000136.gif","136","136","","0000136.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000137.gif","137","137","","0000137.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000138.gif","138","138","","0000138.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000139.gif","139","139","","0000139.jpg"
"Derer beyden Czaaren in Reussland Iwan und Peter Alexewiz nebst dero Schwester der Princessin Sophia bisshero dreyfach-gefuehrter Regiments-Stab : und was darauff erfolget ist, nebst dem ietzigen Zustande in Reussland und allerhand curieusen Sac","txg","g340722509","0000140.gif","140","140","","0000140.jpg"
|
de
|
markdown
|
570413
|
# Presentation: 570413
## INTEGRAL Archive at HEASARC Status and Plans
- Steve Drake
## INTEGRAL: Mission Status, Overview of US Program & Archive
- INTEGRAL is an ESA mission with NASA participation for hard X-ray/gamma-ray (15 keV-10 MeV) imaging and spectroscopy (& soft X-ray & optical instruments)
- Currently in its 4th year of operations; will be supported by ESA at least through 2010
- Spacecraft and subsystems all operating nominally
- 4th GO cycle starts in August 2006
- US investigators comprise ~25% of overall GO program (supported by NASA grants)
- NASA GOF mirrors ESA’s ISDC archive, and provides technical and scientific support to US astronomy community (2.5 science FTEs)
- Future of NASA INTEGRAL funding to be determined by 2006 MO&DA Senior Review
## INTEGRAL Archive: Milestones
**July 2004:** The ISDC INTEGRAL Public Data Archive opened with data up to revolution 66 (5-1-03).
**September 2004:** The US INTEGRAL Public Data Archive at the HEASARC opened.
**January 2005:** All public data was reprocessed into revision 2 format.
- - Rev 2 utilizes HEASARC-compatible event file formats
**February 2005: ** The US INTEGRAL Public Data Archive at the HEASARC switches over to revision 2 format data.
**February 2006:** 1.8 TB of public INTEGRAL data available from the HEASARC (most of mission up to Jan/Feb 2005)
## INTEGRAL Archive: Current Status
- New public data is available to the community within a few days of its release from the ISDC.
- The limiting factor is the low data transfer rate from the ISDC.
- ~3 spacecraft orbital revolutions = 9 days of data can be transferred per day.
- All public data through the latest ISDC release (03-31-06) is currently available from the HEASARC archive.
## Accessibility
- The US INTEGRAL Public Data Archive is accessible from the HEASARC via Browse or FTP.
- Downloading the data as a tar file is complicated by the large size of the typical observation, 1 Rev. = 3 days of data = 7-8 GB.
- The HEASARC limit for a tar file is 5 GB ==> the preferred download method is via a wget script created by Browse.
- A detailed description of all the INTEGRAL catalogs available through Browse as well as a detailed cookbook describing the downloading of data : <http://heasarc.gsfc.nasa.gov/docs/integral/inthp_archive.html>
## HEASARC and INTEGRAL/GOF
- Download previews and quick-look data
- Multi-band Images, lightcurves,
- - Roadmap for follow-up analysis
## High-level INTEGRAL Products
- Routine analysis of all public data
- Basic analysis of 600 observations in the archive
- ISGRI and SPI lightcurves for 200 bright sources:
- “INTEGRAL Bright Source Catalog”
- “INTEGRAL Source Results”
- ISGRI fluxes in 2 energy bands (23-40, 40-80 keV)
- “INTEGRAL AGN Catalog” - detailed information about 68 AGN available soon
|
en
|
markdown
|
020702
|
# Presentation: 020702
## Group Analysis with AFNI - Hands On
- The following sample group analysis comes from “How-to #5 -- Group Analysis: AFNI 3dANOVA3”, described in full detail on the AFNI website:
- http://afni.nimh.gov/pub/dist/HOWTO/howto/ht05_group/html
_**Brief description of experiment**_** ****:**
- Design:
- Rapid event-related
- “Stimulus Condition” has 4 levels:
- TM = Tool Movies
- HM = Human Movies
- TP = Tool Point Light Displays
- HP = Human Point Light Displays
**Human Movie**
**Tool Movie**
**Human Point Light**
**Tool Point Light**
## Data Collected:
1 Anatomical (SPGR) dataset for each subject
124 sagittal slices
10 Time Series (EPI) datasets for each subject
23 axial slices x 138 volumes = 3174 volumes/timepoints per run
note: each run consists of random presentations of rest and all 4 stimulus condition levels
TR = 2 sec; voxel dimensions = 3.75 x 3.75 x 5 mm
Sample size, n=7 (subjects ED, EE, EF, FH, FK, FL, FN)
Analysis Steps:
Part I: Process data for each subject first
Pre-process subjects’ data many steps involved here...
Run deconvolution analysis on each subject’s dataset --- 3dDeconvolve
Part II: Run group analysis
3-way Analysis of Variance (ANOVA) --- 3dANOVA3
i.e., Object Type (2) x Animation Type (2) x Subjects (7) = 3-way ANOVA
- 1 Anatomical (SPGR) dataset for each subject
- 124 sagittal slices
- 10 Time Series (EPI) datasets for each subject
- 23 axial slices x 138 volumes = 3174 volumes/timepoints per run
- note: each run consists of random presentations of rest and all 4 stimulus condition levels
- _TR_ = 2 sec; voxel dimensions = 3.75 x 3.75 x 5 mm
- Sample size, _n_=7 (subjects ED, EE, EF, FH, FK, FL, FN)
_**Analysis Steps**_**:**
- _**Part I**_: Process data for each subject first
- Pre-process subjects’ data many steps involved here...
- Run deconvolution analysis on each subject’s dataset --- **3dDeconvolve**
- _**Part II**_: Run group analysis
- 3-way Analysis of Variance (ANOVA) --- **3dANOVA3**
- i.e., Object Type (2) x Animation Type (2) x Subjects (7) = 3-way ANOVA
## PART I Process Data for each Subject First:
Hands-on example: Subject ED
We will begin with ED’s anat dataset and 10 time-series (3D+time) datasets:
EDspgr+orig, EDspgr+tlrc, ED_r01+orig, ED_r02+orig ... ED_r10+orig
Below is ED’s ED_r01+orig (3D+time) dataset. Notice the first two time points of the time series have relatively high intensities*. We will need to remove them later:
_**PART I **__****__** Process Data for each Subject First**_**:**
- Hands-on example: Subject **ED**
- We will begin with ED’s anat dataset and 10 time-series (3D+time) datasets:
**EDspgr+orig**, **EDspgr+tlrc**, **ED_r01+orig**, **ED_r02+orig** ... **ED_r10+orig**
- Below is ED’s **ED_r01+orig** (3D+time) dataset. Notice the first two time points of the time series have relatively high intensities*****. We will need to remove them later:
**Timepoints 0 and 1 have high intensity values**
** ****Images obtained during the first 4-6 seconds of scanning will have much larger intensities than images in the rest of the timeseries, when magnetization (and therefore intensity) has decreased to its steady state value **
## STEP 1: Check for possible “outliers” in each of the 10 time series datasets. The AFNI program to use is 3dToutcount (also run by default in to3d)
An outlier is usually seen as an isolated spike in the data, which may be due to a number of factors, such as subject head motion or scanner irregularities.
In any case, the outlier is not a true signal that results from presentation of a stimulus event, but rather, an artifact from something else -- it is noise.
foreach run (01 02 03 04 05 06 07 08 09 10)
3dToutcount -automask ED_r{$run}+orig \
> toutcount_r{$run}.1D
end
How does this program work? For each time series, the trend and Mean Absolute Deviation are calculated. Points far away from the trend are considered outliers. “Far away” is mathematically defined.
See 3dToutcount -help for specifics.
-automask: Does the outlier check only on voxels within the brain and ignores background voxels (which are detected by the program because of their smaller intensity values).
> : This is the “redirect” symbol in UNIX. Instead of displaying the results onto the screen, they are saved into a text file. In this example, the text files are called toutcount_r{$run}.1D.
- An outlier is usually seen as an isolated spike in the data, which may be due to a number of factors, such as subject head motion or scanner irregularities.
- In any case, the outlier is not a true signal that results from presentation of a stimulus event, but rather, an artifact from something else -- it is noise.
- **foreach run (01 02 03 04 05 06 07 08 09 10)**
- **3dToutcount -automask ED_r{$run}+orig \**
** **** **** **** ****> toutcount_r{$run}.1D**
** ****end**
- How does this program work? For each time series, the _trend_ and _Mean Absolute_ _Deviation_ are calculated. Points far away from the trend are considered outliers. “Far away” is mathematically defined.
- See 3dToutcount -help for specifics.
- _-automask_: Does the outlier check only on voxels within the brain and ignores background voxels (which are detected by the program because of their smaller intensity values).
- _>_ : This is the “redirect” symbol in UNIX. Instead of displaying the results onto the screen, they are saved into a text file. In this example, the text files are called toutcount_r{$run}.1D.
## Subject ED’s outlier files:
toutcount_r01.1D
toutcount_r02.1D
...
toutcount_r10.1D
Use AFNI 1dplot to display any one of ED’s outlier files. For example: 1dplot toutcount_r04.1D
- **toutcount_r01.1D**
** ****toutcount_r02.1D**** **
** **** ...**
** ****toutcount_r10.1D**
- Use AFNI **1dplot** to display any one of ED’s outlier files. For example: **1dplot toutcount_r04.1D**
_**Note**_**: “1D” is used to identify a text file. In this case, each file consists a column of 138 numbers (b/c of 138 time points).**
**High intensity values in the beginning are usually due to scanner attempting to reach steady state.**
**Outliers? If head motion, this should be cleared up with 3dvolreg. If due to something weird with the scanner, 3dDespike might work (but use sparingly).**
**time**
**Num. of ‘outlier’ voxels**
## STEP 2: Shift voxel time series so that separate slices are aligned to the same temporal origin using 3dTshift
The temporal alignment is done so it seems that all slices were acquired at the same time, i.e., the beginning of each TR.
The output dataset time series will be interpolated from the input to a new temporal grid. There are several interpolation methods to choose from, including ‘Fourier’, ‘linear’, ‘cubic’, ‘quintic’, and ‘heptic’.
foreach run (01 02 03 04 05 06 07 08 09 10)
3dTshift -tzero 0 -heptic \
-prefix ED_r{$run}_ts \
ED_r{$run}+orig
end
-tzero: Tells the program which slice’s time offset to align to. In this example, the slices are all aligned to the time offset of the first (0) slice.
-heptic: Use the 7th order Lagrange polynomial interpolation. Why 7th order? Bob Cox likes this (and that’s good enough for me).
- The temporal alignment is done so it seems that all slices were acquired at the same time, i.e., the beginning of each TR.
- The output dataset time series will be interpolated from the input to a new temporal grid. There are several interpolation methods to choose from, including ‘Fourier’, ‘linear’, ‘cubic’, ‘quintic’, and ‘heptic’.
- **foreach run (01 02 03 04 05 06 07 08 09 10)**
- **3dTshift -tzero 0 -heptic **** ****\**
- **-prefix ED_r{$run}_ts **** ****\**
- **ED_r{$run}+orig**
** ****end**
- _-tzero_: Tells the program which slice’s time offset to align to. In this example, the slices are all aligned to the time offset of the first (**0**) slice.
- _-heptic_: Use the 7th order Lagrange polynomial interpolation. Why 7th order? Bob Cox likes this (and that’s good enough for me).
## Subject ED’s newly created time shifted datasets:
ED_r01_ts+orig.HEAD ED_r01_ts+orig.BRIK
... ...
ED_r10_ts+orig.HEAD ED_r10_ts+orig.BRIK
Below is run 01 of ED’s time shifted dataset, ED_r01_ts+orig:
- Subject ED’s newly created time shifted datasets:
- **ED_r01_ts+orig.HEAD**** ****ED_r01_ts+orig.BRIK**
** **** ...**** **** **** ...**
** ****ED_r10_ts+orig.HEAD**** ****ED_r10_ts+orig.BRIK**
- Below is run 01 of ED’s time shifted dataset, **ED_r01_ts+orig**:
- Slice acquisition now in synchrony with beginning of TR
## STEP 3: Volume Register the voxel time series for each 3D+time dataset using AFNI program 3dvolreg
We will also remove the first 2 time points at this step
foreach run (01 02 03 04 05 06 07 08 09 10)
3dvolreg -verbose
-base ED_r01_ts+orig’[2]’ \
-prefix ED_r{$run}_vr \
-1Dfile dfile.r{$run}.1D \
ED_r{$run}_ts+orig’[2..137]’
end
-verbose: Prints out progress report onto screen
-base: Timepoint 2 is our base/target volume to which the remaining timepoints (3-137) will be aligned. We are ignoring timepoints 0 and 1
-prefix gives our output files a new name, e.g., ED_r01_vr+orig
-1Dfile: Save motion parameters for each run (roll, pitch, yaw, dS, dL, dP) into a file containing 6 ASCII formatted columns.
ED_r{$run}_ts+orig’[2..137]’ refers to our input datasets (runs 01-10) that will be volume registered. Notice that we are removing timepoints 0 and 1
- We will also remove the first 2 time points at this step
**foreach run (01 02 03 04 05 06 07 08 09 10)**
- **3dvolreg -verbose**
** **** **** **** ****-base ED_r01_ts+orig’[2]’ **** ****\**
- **-prefix ED_r{$run}_vr \**
- **-1Dfile dfile.r{$run}.1D**** ****\**
- **ED_r{$run}_ts+orig’[2..137]’**
** ****end**
- _-verbose_: Prints out progress report onto screen
- _-base_: Timepoint **2** is our base/target volume to which the remaining timepoints (3-137) will be aligned. We are ignoring timepoints 0 and 1
- _-prefix_ gives our output files a new name, e.g., ED_r01_vr+orig
- _-1Dfile_: Save motion parameters for each run (roll, pitch, yaw, dS, dL, dP) into a file containing 6 ASCII formatted columns.
- ED_r{$run}_ts+orig’[2..137]’ refers to our input datasets (runs 01-10) that will be volume registered. Notice that we are removing timepoints 0 and 1
## Subject ED’s newly created volume registered datasets:
ED_r01_vr+orig.HEAD ED_r01_vr+orig.BRIK
... ...
ED_r10_vr+orig.HEAD ED_r10_vr+orig.BRIK
Below is run 01 of ED’s volume registered datasets, ED_r01_vr+orig:
- **ED_r01_vr+orig.HEAD**** ****ED_r01_vr+orig.BRIK**
** **** ...**** **** **** ...**
** ****ED_r10_vr+orig.HEAD**** ****ED_r10_vr+orig.BRIK**
- Below is run 01 of ED’s volume registered datasets, **ED_r01_vr+orig**:
## STEP 4: Smooth 3D+time datasets with AFNI 3dmerge
The result of spatial blurring (filtering) is somewhat cleaner, more contiguous activation blobs
Spatial blurring will be done on ED’s time shifted, volume registered datasets:
foreach run (01 02 03 04 05 06 07 08 09 10)
3dmerge -1blur_fwhm 4 \
-doall \
-prefix ED_r{$run}_vr_bl \
ED_r{$run}_vr+orig
end
-1blur_fwhm 4 sets the Gaussian filter to have a full width half max of 4mm (You decide the type of filter and the width of the selected filter)
-doall applies the editing option (in this case the Gaussian filter) to all sub-bricks uniformly in each dataset
- The result of spatial blurring (filtering) is somewhat cleaner, more contiguous activation blobs
- Spatial blurring will be done on ED’s time shifted, volume registered datasets:
**foreach run (01 02 03 04 05 06 07 08 09 10)**
- **3dmerge -1blur_fwhm 4**** **** **** **** **** ****\**
- **-doall**** **** **** **** **** **** ****\**
- **-prefix ED_r{$run}_vr_bl **** ****\**
- **ED_r{$run}_vr+orig**
**end**
- -1blur_fwhm 4 sets the Gaussian filter to have a full width half max of 4mm (You decide the type of filter and the width of the selected filter)
- _-doall_ applies the editing option (in this case the Gaussian filter) to all sub-bricks uniformly in each dataset
## Result from 3dmerge:
**Before blurring**
**After blurring**
- Result from **3dmerge**:
**ED_r01_vr+orig**
**ED_r01_vr_bl+orig**
## STEP 5: Scaling the Data - i.e., Calculating Percent Change
This particular step is a bit more involved, because it is comprised of three parts. Each part will be described in detail:
Create a mask so that all background values (outside of the volume) are set to zero with 3dAutomask
Do a voxel-by-voxel calculation of the mean intensity value with 3dTstat
Do a voxel-by-voxel calculation of the percent signal change with 3dcalc
Why should we scale our data?
Scaling becomes an important issue when comparing data across subjects, because baseline/rest states will vary from subject to subject
The amount of activation in response to a stimulus event will also vary from subject to subject
As a result, the baseline Impulse Response Function (IRF) and the stimulus IRF will vary from subject to subject -- we must account for this variability
By converting to percent change, we can compare the activation calibrated with the relative change of signal, instead of the arbitrary baseline of FMRI signal
- This particular step is a bit more involved, because it is comprised of three parts. Each part will be described in detail:
- Create a mask so that all background values (outside of the volume) are set to zero with **3dAutomask**
- Do a voxel-by-voxel calculation of the mean intensity value with **3dTstat**
- Do a voxel-by-voxel calculation of the percent signal change with **3dcalc**
- _Why should we scale our data_?
- Scaling becomes an important issue when comparing data *across* subjects, because baseline/rest states will vary from subject to subject
- The amount of activation in response to a stimulus event will also vary from subject to subject
- As a result, the baseline Impulse Response Function (IRF) and the stimulus IRF will vary from subject to subject -- we must account for this variability
- By converting to percent change, we can compare the activation calibrated with the relative change of signal, instead of the arbitrary baseline of FMRI signal
## For example:
Subject 1 - Signal in hippocampus goes from 1000 (baseline) to 1050 (stimulus condition)
Difference = 50 IRF units
Subject 2 - Signal in hippocampus goes from 500 (baseline) to 525 (stimulus condition)
Difference = 25 IRF units
Conclusion:
Subject 1 shows twice as much activation in response to the stimulus condition than does Subject 2 --- WRONG!!
If ANOVA were run on these difference scores, the change in baseline from subject to subject would add variance to the analysis
We must control for these differences in baseline across subjects by somehow normalizing the baseline so that a reliable comparison between subjects can be made
- ***Subject 1*** - Signal in hippocampus goes from 1000 (baseline) to 1050 (stimulus condition)
- Difference = **50** IRF units
- ***Subject 2*** - Signal in hippocampus goes from 500 (baseline) to 525 (stimulus condition)
- Difference = **25** IRF units
- Conclusion:
- Subject 1 shows *twice* as much activation in response to the stimulus condition than does Subject 2 --- **WRONG!!**
- If ANOVA were run on these difference scores, the change in baseline from subject to subject would add *variance* to the analysis
- We must control for these differences in baseline across subjects by somehow normalizing the baseline so that a reliable comparison between subjects can be made
## Solution:
Compute Percent Signal Change
i.e., by what percent does the Impulse Response Function increase with presentation of the stimulus condition, relative to baseline?
Percent Change Calculation:
If A = Stimulus IRF
If B = Baseline IRF
Percent Signal Change = (A/B) * 100%
- Compute **Percent Signal Change**
- i.e., by what percent does the Impulse Response Function increase with presentation of the stimulus condition, relative to baseline?
- Percent Change Calculation:
- If **A** = _Stimulus IRF_
- If **B** = _Baseline IRF_
- **Percent Signal Change** =** (A/B) * 100%**
## Subject 1 -- Stimulus (A) = 1050, Baseline (B) = 1000
(1050/1000) * 100% = 105% or 5% increase in IRF
Subject 2 -- Stimulus (A) = 525, Baseline (B) = 500
(525/500) * 100% = 105% or 5% increase in IRF
Conclusion:
Both subjects show a 5% increase in signal change from baseline to stimulus condition
Therefore, no significant difference in signal change between these two subjects
- (1050/1000) * 100% = 105% or _**5% increase in IRF**_
***Subject 2*** -- Stimulus (A) = 525, Baseline (B) = 500
** **** **
- (525/500) * 100% = 105% or _**5% increase in IRF**_
- Conclusion:
- Both subjects show a ***5% increase*** in signal change from baseline to stimulus condition
- Therefore, no significant difference in signal change between these two subjects
## STEP 5A: Ignore any background values in a dataset by creating a mask with 3dAutomask
Values in the background have very low baseline values, which can lead to artificially large percent signal change values. Let’s remove them altogether by creating a mask of our dataset, where values inside the brain are assigned a value of “1” and values outside of the brain (e.g., noise) are assigned a value of “0”
This mask will be used later when the percent signal change in each voxel is calculated. A percent change will be computed only for voxels inside the mask
A mask will be created for each of Subject ED’s time shifted/volume registered/blurred 3D+time datasets:
foreach run (01 02 03 04 05 06 07 08 09 10)
3dAutomask -dilate 1 -prefix mask_r{$run} \
ED_r{$run}_vr_bl+orig
end
Output of 3dAutomask: A mask dataset for each 3D+time dataset:
mask_r01+orig, mask_r02+orig ... mask_r10+orig
- Values in the background have very low baseline values, which can lead to artificially large percent signal change values. Let’s remove them altogether by creating a mask of our dataset, where values inside the brain are assigned a value of “1” and values outside of the brain (e.g., noise) are assigned a value of “0”
- This mask will be used later when the percent signal change in each voxel is calculated. A percent change will be computed only for voxels inside the mask
- A mask will be created for each of Subject ED’s time shifted/volume registered/blurred 3D+time datasets:
- **foreach run (01 02 03 04 05 06 07 08 09 10)**
** **** ****3dAutomask -dilate 1 -prefix mask_r{$run} \**
** **** **** **** ****ED_r{$run}_vr_bl+orig**
** ****end**
- Output of **3dAutomask**: A mask dataset for each 3D+time dataset:
** **** ****mask_r01+orig****, ****mask_r02+orig**** ... ****mask_r10+orig**
## Now let’s take those 10 masks (we don’t need 10 separate masks) and combine them to make one master or “full mask”, which will be used to calculate the percent signal change only for values inside the mask (i.e., inside the brain).
3dcalc -- one of the most versatile AFNI programs -- is used to combine the 10 masks into one:
3dcalc -a mask_r01+orig -b mask_r02+orig -c mask_r03+orig \
-d mask_r04+orig -e mask_r05+orig -f mask_r06+orig \
-g mask_r07+orig -h mask_r08+orig -i mask_r09+orig \
-j mask_r10+orig \
-expr ‘or(a+b+c+d+e+f+g+h+i+j)’ \
-prefix full_mask
Output: full_mask+orig:
**3dcalc** -- one of the most versatile AFNI programs -- is used to combine the 10 masks into one:
- **3dcalc** **-a mask_r01+orig -b mask_r02+orig -c mask_r03+orig \**
- **-d mask_r04+orig -e mask_r05+orig -f mask_r06+orig \**
- **-g mask_r07+orig -h mask_r08+orig -i mask_r09+orig \**
- **-j mask_r10+orig**** **** **** **** **** **** **** \**
- **-expr ‘or(a+b+c+d+e+f+g+h+i+j)’**** **** **** \**
- **-prefix full_mask**
- Output: **full_mask+orig**:
- _-expr ‘or’_: Used to determine whether voxels along the edges make it to the full mask or not. If an edge voxel has a “1” value in *any* of the individual masks, the ‘or’ keeps that voxel as part of the full mask.
## STEP 5B: Create a voxel-by-voxel mean for each timeseries dataset with 3dTstat
For each voxel, add the intensity values of the 136 time points and divide by 136
The resulting mean will be inserted into the “B” slot of our percent signal change equation (A/B*100%)
foreach run (01 02 03 04 05 06 07 08 09 10)
3dTstat -prefix mean_r{$run} \
ED_r{$run}_vr_bl+orig
end
Unless otherwise specified, the default statistic for 3dTstat is to compute a voxel-by-voxel mean
Other statistics run by 3dTstat include a voxel-by-voxel standard deviation, slope, median, etc...
- For each voxel, add the intensity values of the 136 time points and divide by 136
- The resulting mean will be inserted into the “B” slot of our percent signal change equation (A/**B***100%)
- **foreach run (01 02 03 04 05 06 07 08 09 10)**
** **** **** ****3dTstat -prefix mean_r{$run} \**
** **** **** ****ED_r{$run}_vr_bl+orig**** **
** **** ****end**
- Unless otherwise specified, the default statistic for **3dTstat** is to compute a voxel-by-voxel mean
- Other statistics run by **3dTstat** include a voxel-by-voxel standard deviation, slope, median, etc...
## The end result will be a dataset consisting of a single mean value in each voxel. Below is a graph of a 3x3 voxel matrix from subject ED’s dataset mean_r01+orig:
**ED_r01_vr_bl+orig**
**mean_r01+orig**
- Timept 0: 1530
- + TP 1: 1515
- + TP 2: 1498
- + TP ...
- + TP 135: 1522
- Divide sum by 136
- Mean = 1523.346
## STEP 5C: Calculate a voxel-by-voxel percent signal change with 3dcalc
Take the 136 intensity values within each voxel, divide each one by the mean intensity value for that voxel (that we calculated in Step 3B), and multiply by 100 to get a percent signal change at each timepoint
This is where the A/B*100 equation comes into play
foreach run (01 02 03 04 05 06 07 08 09 10)
3dcalc -a ED_r{$run}_vr_bl+orig \
-b mean_r{$run}+orig \
-c full_mask+orig \
-expr “(a/b * 100) * c” \
-prefix scaled_r{$run}
end
Output of 3dcalc: 10 scaled datasets for Subject ED, where the signal intensity value at each timepoint has now been replaced with a percent signal change value
scaled_r01+orig, scaled_r02+orig ... scaled_r10+orig
- Take the 136 intensity values within each voxel, divide each one by the *mean* intensity value for that voxel (that we calculated in Step 3B), and multiply by 100 to get a percent signal change at each timepoint
- This is where the **A/B*100** equation comes into play
- **foreach run (01 02 03 04 05 06 07 08 09 10)**
** **** ****3dcalc**** ****-a ED_r{$run}_vr_bl+orig**** ****\**
** **** **** ****-b mean_r{$run}+orig**** **** **** ****\**
** **** **** ****-c full_mask+orig**** **** **** ****\**
** **** **** ****-expr “(a/b * 100) * c” **** ****\**
** **** **** ****-prefix scaled_r{$run}**** **
** ****end**
- Output of **3dcalc**: 10 scaled datasets for Subject ED, where the signal intensity value at each timepoint has now been replaced with a percent signal change value
- **scaled_r01+orig****,**** scaled_r02+orig**** ...** **scaled_r10+orig**
## E.g., Timepoint #18 above shows a percent signal change value of 101.7501
i.e., relative to the baseline (of 100), the stimulus presentation (and noise too) resulted in a percent signal change of 1.7501% at that specific timepoint
- i.e., relative to the baseline (of 100), the stimulus presentation (and noise too) resulted in a percent signal change of 1.7501% at that specific timepoint
**Timepoint #18**
**Shows index coordinates for highlighted voxel**
**Displays the timepoint highlighted in center voxel and its percent signal change value**
**scaled_r01+orig**
## STEP 6: Concatenate ED’s 10 scaled datasets into one big dataset with 3dTcat
3dTcat -prefix ED_all_runs \
scaled_r??+orig
The ?? Takes the place of having to type out each individual run, such as scaled_01+orig, scaled_r02+orig, etc. This is a helpful UNIX shortcut. You could also use the wildcard *
The output from 3dTcat is one big dataset -- ED_all_runs+orig -- which consists of 1360 volumes (i.e., 10 runs x 136 timepoints). Every voxel in this large dataset contains percent signal change values
This output file will be inserted into the 3dDeconvolve program
Do you recall those motion parameter files we created when running 3dvolreg? (No? See page 8 of this handout). We need to concatenate those files too because they will be inserted into the 3dDeconvolve command as Regressors of No Interest (RONI’s).
The UNIX program cat will concatenate these ASCII files:
cat dfile.r??.1D > dfile.all.1D
** **** **** ****3dTcat **** ****-prefix ED_all_runs**** ****\**
** **** **** **** ****scaled_r??+orig**** **
** **** **** **** **
- The **??** Takes the place of having to type out each individual run, such as **scaled_01+orig**, **scaled_r02+orig**, etc. This is a helpful UNIX shortcut. You could also use the wildcard *
- The output from **3dTcat** is one big dataset -- **ED_all_runs+orig** -- which consists of _1360_ volumes (i.e., 10 runs x 136 timepoints). Every voxel in this large dataset contains percent signal change values
- This output file will be inserted into the** ****3dDeconvolve** program
- Do you recall those motion parameter files we created when running **3dvolreg**? (No? See page 8 of this handout). We need to concatenate those files too because they will be inserted into the **3dDeconvolve** command as Regressors of No Interest (RONI’s).
- The UNIX program **cat** will concatenate these ASCII files:
- **cat dfile.r??.1D > dfile.all.1D**
## STEP 7: Perform a deconvolution analysis on Subject ED’s data with 3dDeconvolve
What is the difference between regular linear regression and deconvolution analysis?
With linear regression, the hemodynamic response is already assumed (we can get a fixed hemodynamic model by running the AFNI waver program)
With deconvolution analysis, the hemodynamic response is not assumed. Instead, it is computed by 3dDeconvolve from the data
Once the HRF is modeled by 3dDeconvolve, the program then runs a linear regression on the data
To compute the hemodynamic response function with 3dDeconvolve, we include the “minlag” and “maxlag” options on the command line
The user (you) must determine the lag time of an input stimulus
1 lag = 1 TR = 2 seconds
In this example, the lag time of the input stimulus has been determined to be about 15 lags (decided by the wise and all-knowing experimenter)
As such, we will add a “minlag” of 0 and a “maxlag” of 14 in our 3dDeconvolve command
- What is the difference between regular linear regression and deconvolution analysis?
- With _linear regression_, the hemodynamic response is already assumed (we can get a fixed hemodynamic model by running the AFNI **waver** program)
- With _deconvolution analysis_, the hemodynamic response is not assumed. Instead, it is computed by** ****3dDeconvolve** from the data
- Once the HRF is modeled by **3dDeconvolve**, the program then runs a linear regression on the data
- To compute the hemodynamic response function with **3dDeconvolve**, we include the “**minlag**” and “**maxlag**” options on the command line
- The user (you) must determine the lag time of an input stimulus
- 1 lag = 1 TR = 2 seconds
- In this example, the lag time of the input stimulus has been determined to be about 15 lags (decided by the wise and all-knowing experimenter)
- As such, we will add a “minlag” of **0** and a “maxlag” of **14** in our **3dDeconvolve** command
## 3dDeconvolve command - Part 1
3dDeconvolve -polort 2
-input ED_all_runs+orig -num_stimts 10 \
-concat ../misc_files/runs.1D \
-stim_file 1 ../misc_files/all_stims.1D’[0]’ \
-stim_label 1 ToolMovie \
-stim_minlag 1 0 -stim_maxlag 1 14 -stim_nptr 1 2 \
-stim_file 2 ../misc_files/all_stims.1D’[1]’ \
-stim_label 2 HumanMovie \
-stim_minlag 2 0 -stim_maxlag 2 14 -stim_nptr 2 2 \
-stim_file 3 ../misc_files/all_stims.1D’[2]’ \
-stim_label 3 ToolPoint \
-stim_minlag 3 0 -stim_maxlag 3 14 -stim_nptr 3 2 \
-stim_file 4 ../misc_files/all_stims.1D’[3]’ \
-stim_label 4 HumanPoint \
-stim_minlag 4 0 -stim_maxlag 4 14 -stim_nptr 4 2 \
**3dDeconvolve ****-polort 2**
** ****-input ED_all_runs+orig**** -num_stimts 10**** **** **** ****\**
** ****-concat ../misc_files/runs.1D**** **** **** **** ****\**
** ****-stim_file 1 ../misc_files/****all_stims.1D’[0]’**** **** **** ****\**
** **** ****-stim_label 1**** ****ToolMovie**** **** **** **** **** ****\**
** **** ****-stim_minlag ****1 0**** -stim_maxlag ****1 14**** -stim_nptr 1 2**** ****\**
** ****-stim_file 2 ../misc_files/****all_stims.1D’[1]’**** **** **** ****\**
** **** ****-stim_label 2 HumanMovie**** **** **** **** **** ****\**
** **** ****-stim_minlag ****2 0**** -stim_maxlag ****2 14**** -stim_nptr 2 2**** ****\**
** ****-stim_file 3 ../misc_files/****all_stims.1D’[2]’**** **** **** ****\**
** **** ****-stim_label 3 ToolPoint**** **** **** **** **** ****\**
** **** ****-stim_minlag ****3 0**** -stim_maxlag ****3 14**** -stim_nptr 3 2**** ****\**
** ****-stim_file 4 ../misc_files/****all_stims.1D’[3]’**** **** **** ****\**
** **** ****-stim_label 4 HumanPoint**** **** **** **** ****\**
** **** ****-stim_minlag**** 4 0 ****-stim_maxlag**** 4 14**** ****-stim_nptr 4 2**** ****\**
** **
**Experimenter estimates the HRF will last ~15 sec**
**# of stimulus function pts per TR. Default = 1. Here it’s set to 2**
**Our stim files for each stim condition**
**Concatenated 10 runs for subject ED**
**Our baseline is quadratic (default is “linear”)**
*Continued on next page...*
## 3dDeconvolve command - Part 2
-stim_file 5 dfile.all.1D’[0]’ -stim_base 5 \
-stim_file 6 dfile.all.1D’[1]’ -stim_base 6 \
-stim_file 7 dfile.all.1D’[2]’ -stim_base 7 \
-stim_file 8 dfile.all.1D’[3]’ -stim_base 8 \
-stim_file 9 dfile.all.1D’[4]’ -stim_base 9 \
-stim_file 10 dfile.all.1D’[5]’ -stim_base 10 \
-gltsym ../misc_files/contrast1.1D -glt_label 1 FullF \
-gltsym ../misc_files/contrast2.1D -glt_label 2 HvsT \
-gltsym ../misc_files/contrast3.1D -glt_label 3 MvsP \
-gltsym ../misc_files/contrast4.1D -glt_label 4 HMvsHP \
-gltsym ../misc_files/contrast5.1D -glt_label 5 TMvsTP \
-gltsym ../misc_files/contrast6.1D -glt_label 6 HPvsTP \
-gltsym ../misc_files/contrast7.1D -glt_label 7 HMvsTM \
** **
** ****-stim_file 5 ****dfile.all.1D’[0]’**** ****-stim_base 5**** **** **** ****\**
** ****-stim_file 6 dfile.all.1D’[1]’ -stim_base 6 **** **** ****\**
** ****-stim_file 7 dfile.all.1D’[2]’ -stim_base 7 **** **** ****\**
** ****-stim_file 8 dfile.all.1D’[3]’ -stim_base 8 **** **** ****\**
** ****-stim_file 9 dfile.all.1D’[4]’ -stim_base 9 **** **** ****\**
** ****-stim_file 10 dfile.all.1D’[5]’ -stim_base 10 **** **** ****\**
** ****-gltsym ../misc_files/contrast1.1D -glt_label 1 FullF**** ****\**
- **-gltsym ../misc_files/contrast2.1D -glt_label 2 HvsT**** ****\**
- **-gltsym ../misc_files/contrast3.1D -glt_label 3 MvsP**** ****\**
** ****-gltsym ../misc_files/contrast4.1D -glt_label 4 HMvsHP**** ****\**
- **-gltsym ../misc_files/contrast5.1D -glt_label 5 TMvsTP**** ****\**
- **-gltsym ../misc_files/contrast6.1D -glt_label 6 HPvsTP**** ****\**
- **-gltsym**** ../misc_files/contrast7.1D -glt_label 7 HMvsTM**** ****\**
**General Linear Tests, “Symbolic” usage.**
**E.g., ****+[Human Movie] -[Tool Movie]**
**rather than ****-glt**** option, e.g., ****30@0 1 -1 0 0**
**RONI’s**
**RONI’s are part of the baseline model**
*Continued on next page...*
## 3dDeconvolve command - Part 3
-iresp 1 TMirf
-iresp 2 HMirf
-iresp 3 TPirf
-iresp 4 HPirf
-full_first -fout -tout -nobout
-xpeg Xmat
-bucket ED_func
** **
** **
** ****-iresp 1 TMirf**
** ****-iresp 2 HMirf**
** ****-iresp 3 TPirf**
** ****-iresp 4 HPirf**
** ****-full_first -fout -tout -nobout**
** ****-xpeg Xmat**
** ****-bucket ED_func**
**Writes a JPEG file graphing the X matrix**
**Show Full-F first in bucket dataset, compute F-tests, compute t-tests, don’t show output of baseline coefficients in bucket dataset**
*Done with 3dDeconvolve command*
**irf**** files show the voxel-by-voxel impulse response function for each stimulus condition. Recall that the IRF was modeled using ‘min’ and ‘max’ lag options (more explanation on p.27).**
## -iresp 1 TMirf
-iresp 2 HMirf
-iresp 3 TPirf
-iresp 4 HPirf
These output files are important because they contain the estimated Impulse Response Function for each stimulus type
The percent signal change is shown at each time lag
Below is the estimated IRF for Subject ED’s “Human Movies” (HM) condition:
** ****-iresp 2 HMirf **
** ****-iresp 3 TPirf **
** ****-iresp 4 HPirf**
- These output files are important because they contain the estimated Impulse Response Function for each stimulus type
- The percent signal change is shown at each time lag
- Below is the estimated IRF for Subject ED’s “Human Movies” (HM) condition:
**Switch UnderLay:**** HMirf+orig**
**Switch OverLay:**** ED_func+orig**
## Focusing on a single voxel (from ED’s HMirf+orig dataset), we can see that the IRF is made up of 15 time lags (0-14). Recall that this lag duration was determined in the 3dDeconvolve command
Each time lag consists of a percent signal change value:
- Focusing on a single voxel (from ED’s **HMirf+orig** dataset), we can see that the IRF is made up of 15 time lags (0-14). Recall that this lag duration was determined in the **3dDeconvolve** command
- Each time lag consists of a percent signal change value:
## To run an ANOVA, only one data point can exist in each voxel
As such, the percent signal change values in the 15 lags must be averaged
In the voxel displayed below, the mean percent signal change = 1.957%
- As such, the percent signal change values in the 15 lags must be averaged
- In the voxel displayed below, the **mean percent signal change =** **1.957%**
**+**
**Mean % sig. chg,. (lags 0-14) = 1.957%**
## STEP 8: Use AFNI 3dbucket to slim down the functional dataset bucket, i.e., create a mini-bucket that contains only the sub- bricks you’re interested in
There are 152 sub-bricks in ED_func+orig.BRIK. Select the most relevant ones for further analysis and ignore the rest for now.
3dbucket -prefix ED_func_slim \
-fbuc ED_func+orig’[0,125..151]’
- There are 152 sub-bricks in **ED_func+orig.BRIK**. Select the most relevant ones for further analysis and ignore the rest for now.
** **
** **** **
** **** ****3dbucket -prefix ED_func_slim \**
** **** **** **** ****-fbuc ED_func+orig’[0,125..151]’**
## STEP 9: Compute a voxel-by-voxel mean percent signal change with AFNI 3dTstat
The following 3dTstat command will compute a voxel-by-voxel mean for each IRF dataset, of which we have four: TMirf, HMirf, TPirf, HPirf
foreach cond (TM HM TP HP)
3dTstat -prefix ED_{$cond}_irf_mean \
{$cond}irf+orig
end
- The following **3dTstat** command will compute a voxel-by-voxel mean for each IRF dataset, of which we have four: **TMirf**, **HMirf**, **TPirf**, **HPirf**
** ****foreach cond (TM HM TP HP)**
** **** ****3dTstat**** **** -prefix ED_{$cond}_irf_mean \**
** **** **** **** ****{$cond}irf+orig**
** ****end**
## The output from 3dTstat will be four irf_mean datasets, one for each stimulus type. Below are subject ED’s averaged IRF datasets:
ED_TM_irf_mean+orig ED_HM_irf_mean+orig
ED_TP_irf_mean+orig ED_HP_irf_mean+orig
Each voxel will now contain a single number (i.e., the mean percent signal change). For example:
- **ED_TM_irf_mean+orig**** ****ED_HM_irf_mean+orig**
- **ED_TP_irf_mean+orig**** ****ED_HP_irf_mean+orig**
- Each voxel will now contain a single number (i.e., the mean percent signal change). For example:
**ED_HM_irf_mean+orig**
## STEP 10: Resample the mean IRF datasets for each subject to the same grid as their Talairached anatomical datasets with adwarp
For statistical comparisons made across subjects, all datasets -- including functional overlays -- should be standardized (e.g., Talairach format) to control for variability in brain shape and size
foreach cond (TM HM TP HP)
adwarp -apar EDspgr+tlrc -dxyz 3 \
-dpar ED_{$cond}_irf_mean+orig \
end
The output of adwarp will be four Talairach transformed IRF datasets.
ED_TM_irf_mean+tlrc ED_HM_irf_mean+tlrc
ED_TP_irf_mean+tlrc ED_HP_irf_mean+tlrc
We are now done with Part 1-- Process Individual Subjects’ Data -- for Subject ED
Go back and follow the same steps for remaining 6 subjects
We can now move on to Part 2 -- RUN GROUP ANALYSIS (ANOVA)
- For statistical comparisons made across subjects, all datasets -- including functional overlays -- should be standardized (e.g., Talairach format) to control for variability in brain shape and size
- **foreach cond (TM HM TP HP)**
** **** ****adwarp**** ****-apar EDspgr+tlrc -dxyz 3**** **** \**
** **** **** ****-dpar ED_{$cond}_irf_mean+orig \**
** ****end**
- The output of **adwarp** will be four Talairach transformed IRF datasets.
- **ED_TM_irf_mean+tlrc**** **** ED_HM_irf_mean+tlrc**
- **ED_TP_irf_mean+tlrc**** **** ED_HP_irf_mean+tlrc**
- We are now done with Part 1-- Process Individual Subjects’ Data -- for Subject ED
- Go back and follow the same steps for remaining 6 subjects
- We can now move on to Part 2 -- RUN GROUP ANALYSIS (ANOVA)
## PART 2 Run Group Analysis (ANOVA3):
In our sample experiment, we have 3 factors (or Independent Variables) for our analysis of variance: “Stimulus Condition” and “Subjects”
IV 1: OBJECT TYPE 2 levels
Tools (T)
Humans (H)
IV 2: ANIMATION TYPE 2 levels
Movies (M)
Point-light displays (P)
IV 3: SUBJECTS 7 levels (note: this is a small sample size!)
Subjects ED, EE, EF, FH, FK, FL, FN
The mean IRF datasets from each subject will be needed for the ANOVA. Example:
ED_TM_irf_mean+tlrc EE_TM_irf_mean+tlrc EF_TM_irf_mean+tlrc
ED_HM_irf_mean+tlrc EE_HM_irf_mean+tlrc EF_HM_irf_mean+tlrc
ED_TP_irf_mean+tlrc EE_TP_irf_mean+tlrc EF_TP_irf_mean+tlrc
ED_HP_irf_mean+tlrc EE_HP_irf_mean+tlrc EF_HP_irf_mean+tlrc
- In our sample experiment, we have 3 factors (or Independent Variables) for our analysis of variance: “Stimulus Condition” and “Subjects”
- IV 1: OBJECT TYPE 2 levels
- Tools (T)
- Humans (H)
- IV 2: ANIMATION TYPE 2 levels
- Movies (M)
- Point-light displays (P)
- IV 3: SUBJECTS 7 levels *(note: this is a small sample size!)*
- Subjects ED, EE, EF, FH, FK, FL, FN
- The mean IRF datasets from each subject will be needed for the ANOVA. Example:
- **ED_TM_irf_mean+tlrc**** ****EE_TM_irf_mean+tlrc**** ****EF_TM_irf_mean+tlrc**
- **ED_HM_irf_mean+tlrc**** ****EE_HM_irf_mean+tlrc**** ****EF_HM_irf_mean+tlrc**
- **ED_TP_irf_mean+tlrc**** ****EE_TP_irf_mean+tlrc**** ****EF_TP_irf_mean+tlrc**
- **ED_HP_irf_mean+tlrc**** ****EE_HP_irf_mean+tlrc**** ****EF_HP_irf_mean+tlrc**
## 3dANOVA3 Command - Part 1
3dANOVA3 -type 4 \
-alevels 2 \
-blevels 2 \
-clevels 7 \
-dset 1 1 ED_TM_irf_mean+tlrc \
-dset 2 1 ED_HM_irf_mean+tlrc \
-dset 3 1 ED_TP_irf_mean+tlrc \
-dset 4 1 ED_HP_irf_mean+tlrc \
-dset 1 2 EE_TM_irf_mean+tlrc \
-dset 2 2 EE_HM_irf_mean+tlrc \
-dset 3 2 EE_TP_irf_mean+tlrc \
-dset 4 2 EE_HP_irf_mean+tlrc \
-dset 1 3 EF_TM_irf_mean+tlrc \
-dset 2 3 EF_HM_irf_mean+tlrc \
-dset 3 3 EF_TP_irf_mean+tlrc \
-dset 4 3 EF_HP_irf_mean+tlrc \
*Continued on next page...*
**irf**** datasets, created for each subj with 3dDeconvolve (See p.26)**
**IV A: Object**
**IV B: Animation**
**IV C: Subjects**
_**3dANOVA3 Command - Part 1**_
** **** ****3dANOVA3**** ****-type 4 **** **** **** ****\**
** **** **** ****-alevels 2 **** **** **** ****\**
** **** **** ****-blevels 2 **** **** **** ****\**
** **** **** ****-clevels 7**** **** **** ****\**
** **** **** ****-dset 1 1 ****ED_TM_irf_mean+tlrc**** \**
** **** **** ****-dset 2 1 ****ED_HM_irf_mean+tlrc**** \**
** **** **** ****-dset 3 1 ****ED_TP_irf_mean+tlrc**** \**
** **** **** ****-dset 4 1 ****ED_HP_irf_mean+tlrc**** \**
** **** **** ****-dset 1 2 ****EE_TM_irf_mean+tlrc**** \**
** **** **** ****-dset 2 2 ****EE_HM_irf_mean+tlrc**** \**
** **** **** ****-dset 3 2 ****EE_TP_irf_mean+tlrc**** \**
** **** **** ****-dset 4 2 ****EE_HP_irf_mean+tlrc**** \**
** **** **** ****-dset 1 3 ****EF_TM_irf_mean+tlrc**** \**
** **** **** ****-dset 2 3 ****EF_HM_irf_mean+tlrc**** \**
** **** **** ****-dset 3 3 ****EF_TP_irf_mean+tlrc**** \**
** **** **** ****-dset 4 3 ****EF_HP_irf_mean+tlrc**** \**
** **** **** **
**IV’s A & B are fixed, C is random. See ****3dANOVA3 -help**
## 3dANOVA3 Command - Part 2
-dset 1 1 FH_TM_irf_mean+tlrc \
-dset 2 1 FH_HM_irf_mean+tlrc \
-dset 3 1 FH_TP_irf_mean+tlrc \
-dset 4 1 FH_HP_irf_mean+tlrc \
-dset 1 2 FK_TM_irf_mean+tlrc \
-dset 2 2 FK_HM_irf_mean+tlrc \
-dset 3 2 FK_TP_irf_mean+tlrc \
-dset 4 2 FK_HP_irf_mean+tlrc \
-dset 1 3 FL_TM_irf_mean+tlrc \
-dset 2 3 FL_HM_irf_mean+tlrc \
-dset 3 3 FL_TP_irf_mean+tlrc \
-dset 4 3 FL_HP_irf_mean+tlrc \
-dset 1 3 FN_TM_irf_mean+tlrc \
-dset 2 3 FN_HM_irf_mean+tlrc \
-dset 3 3 FN_TP_irf_mean+tlrc \
-dset 4 3 FN_HP_irf_mean+tlrc \
** **** **** ****-dset 1 1 ****FH_TM_irf_mean+tlrc**** \**
** **** **** ****-dset 2 1 ****FH_HM_irf_mean+tlrc**** \**
** **** **** ****-dset 3 1 ****FH_TP_irf_mean+tlrc**** \**
** **** **** ****-dset 4 1 ****FH_HP_irf_mean+tlrc**** \**
** **** **** ****-dset 1 2 ****FK_TM_irf_mean+tlrc**** \**
** **** **** ****-dset 2 2 ****FK_HM_irf_mean+tlrc**** \**
** **** **** ****-dset 3 2 ****FK_TP_irf_mean+tlrc**** \**
** **** **** ****-dset 4 2 ****FK_HP_irf_mean+tlrc**** \**
** **** **** ****-dset 1 3 ****FL_TM_irf_mean+tlrc**** \**
** **** **** ****-dset 2 3 ****FL_HM_irf_mean+tlrc**** \**
** **** **** ****-dset 3 3 ****FL_TP_irf_mean+tlrc**** \**
** **** **** ****-dset 4 3 ****FL_HP_irf_mean+tlrc**** \**
** **** **** ****-dset 1 3 ****FN_TM_irf_mean+tlrc**** \**
** **** **** ****-dset 2 3 ****FN_HM_irf_mean+tlrc**** \**
** **** **** ****-dset 3 3 ****FN_TP_irf_mean+tlrc**** \**
** **** **** ****-dset 4 3 ****FN_HP_irf_mean+tlrc**** \**
** **** **** **
*Continued on next page...*
**more ****irf**** datasets**
## 3dANOVA3 Command - Part 3
-fa ObjEffect \
-fb AnimEffect \
-adiff 1 2 TvsH \
-bdiff 1 2 MvsP \
-acontr 1 -1 sameas.TvsH \
-bcontr 1 -1 sameas.MvsP \
-aBcontr 1 -1: 1 TMvsHM \
-aBcontr -1 1: 2 HPvsTP \
-Abcontr 1: 1 -1 TMvsTP \
-Abcontr 2: 1 -1 HMvsHP \
-bucket AvgAnova
** **** **** ****-fa ObjEffect**** **** **** ****\**
** **** **** ****-fb AnimEffect**** **** **** ****\**
** **** **** ****-adiff 1 2 TvsH**** **** ****\**
** **** **** ****-bdiff 1 2 MvsP**** **** ****\**
** **** **** ****-acontr 1 -1 sameas.TvsH**** ****\**
** **** **** ****-bcontr 1 -1 sameas.MvsP**** ****\**
** **** **** ****-aBcontr 1 -1: 1 TMvsHM**** ****\**
** **** **** ****-aBcontr -1 1: 2 HPvsTP**** ****\**
** **** **** ****-Abcontr 1: 1 -1 TMvsTP**** ****\**
** **** **** ****-Abcontr 2: 1 -1 HMvsHP**** ****\**
** **** **** ****-bucket AvgAnova**
** **** **** **
*End of ANOVA command*
**Produces main effect for factor ‘a’ (Object type). I.e., which voxels show increases in % signal change that is sig. Different from zero?**
**Main effect for factor ‘b’, (Animation type)**
**All F-tests, t-tests, etc will go into this dataset bucket**
**These are contrasts (t-tests). Explained on pp 38-39**
## -adiff: Performs contrasts between levels of factor ‘a’ (or -bdiff for factor ‘b’, -cdiff for factor ‘c’, etc), with no collapsing across levels of factor ‘a’.
E.g.1, Factor “Object Type” --> 2 levels: (1)Tools, (2)Humans:
-adiff 1 2 TvsH
E.g., 2, Factor “Faces” --> 3 levels: (1)Happy, (2)Sad, (3)Neutral
-adiff 1 2 HvsS
-adiff 2 3 SvsN
-adiff 1 3 HvsN
-acontr: Estimates contrasts among levels of factor ‘a’ (or -bcontr for factor ‘b’, -ccontr for factor ‘c’, etc). Allows for collapsing across levels of factor ‘a’
In our example, since we only have 2 levels for both factors ‘a’ and ‘b’, the -diff and -contr options can be used interchangeably. Their different usages can only be demonstrated with a factor that has 3 or more levels:
E.g.: factor ‘a’ = FACES --> 3 levels :(1) Happy, (2) Sad, (3) Neutral
-acontr 1 -1 -1 HvsSN
-acontr 1 1 -1 HSvsN
-acontr 1 -1 1 HNvsS
- E.g.1, Factor “Object Type” --> 2 levels: (1)Tools, (2)Humans:
- **-adiff 1 2 TvsH**** **
- E.g., 2, Factor “Faces” --> 3 levels: (1)Happy, (2)Sad, (3)Neutral
- **-adiff 1 2 HvsS**
- **-adiff 2 3 SvsN**
- **-adiff 1 3 HvsN**
_**-acontr**_: Estimates contrasts among levels of factor ‘a’ (or -bcontr for factor ‘b’, -ccontr for factor ‘c’, etc). *Allows* for collapsing across levels of factor ‘a’
- In our example, since we only have 2 levels for both factors ‘a’ and ‘b’, the **-diff** and **-contr** options can be used interchangeably. Their different usages can only be demonstrated with a factor that has 3 or more levels:
- E.g.: factor ‘a’ = FACES --> 3 levels :(1) Happy, (2) Sad, (3) Neutral
- **-acontr 1 -1 -1 HvsSN**
** **** ****-acontr 1 1 -1 HSvsN**
** **** ****-acontr 1 -1 1 HNvsS**
**Simple paired t-tests, no collapsing across levels, like Happy vs. Sad/Neutral**
**Happy vs. Sad/Neutral**
**Happy/Sad vs. Neutral**
**Happy/Neutral vs. Sad**
## -aBcontr: 2nd order contrast. Performs comparison between 2 levels of factor ‘a’ at a Fixed level of factor ‘B’
E.g. factor ‘a’ --> Tools(1) vs. Humans(-1),
factor ‘B’ --> Movies(1) vs. Points(2)
We want to compare ‘Tools Movies’ vs. ‘Human Movies’. Ignore ‘Points’
-aBcontr 1 -1 : 1 TMvsHM
We want to compare “Tool Points’ vs. ‘Human Points’. Ignore ‘Movies’
-aBcontr 1 -1 : 2 TPvsHP
-Abcontr: 2nd order contrast. Performs comparison between 2 levels of factor ‘b’ at a Fixed level of factor ‘A’
E.g., E.g. factor ‘b’ --> Movies(1) vs. Points(-1),
factor ‘A’ --> Tools(1) vs. Humans(2)
We want to compare ‘Tools Movies’ vs. ‘Tool Points’. Ignore ‘Humans
-Abcontr 1 : 1 -1 TMvsTP
We want to compare “Human Movies vs. ‘Human Points’. Ignore ‘Tools’
-Abcontr 2 : 1 -1 HMvsHP
- E.g. factor **‘a’** --> Tools(1) vs. Humans(-1),
- factor **‘B’** --> Movies(1) vs. Points(2)
- We want to compare ‘Tools Movies’ vs. ‘Human Movies’. Ignore ‘Points’
- **-aBcontr 1 -1 : 1 TMvsHM**** **
- We want to compare “Tool Points’ vs. ‘Human Points’. Ignore ‘Movies’
- **-aBcontr 1 -1 : 2 TPvsHP**
_**-Abcontr**_: 2nd order contrast. Performs comparison between 2 levels of factor **‘b’** at a *Fixed* level of factor **‘A’**
- E.g., E.g. factor **‘b’** --> Movies(1) vs. Points(-1),
- factor **‘A’** --> Tools(1) vs. Humans(2)
- We want to compare ‘Tools Movies’ vs. ‘Tool Points’. Ignore ‘Humans
- **-Abcontr 1 : 1 -1 TMvsTP**** **
- We want to compare “Human Movies vs. ‘Human Points’. Ignore ‘Tools’
- **-Abcontr 2 : 1 -1 HMvsHP**
## In class -- Let’s run the ANOVA together:
cd AFNI_data2
This directory contains a script called s3.anova.ht05 that will run 3dANOVA3
This script can be viewed with a text editor, like emacs
./s3.anova.ht05
execute the ANOVA script from the command line
cd group_data ; ls
result from ANOVA script is a bucket dataset AvgANOVA+tlrc, stored in the group_data/ directory
afni &
launch AFNI to view the results
**cd AFNI_data2**
- This directory contains a script called s3.anova.ht05 that will run 3dANOVA3
- This script can be viewed with a text editor, like **emacs**
**./s3.anova.ht05**
- execute the ANOVA script from the command line
**cd group_data ; ls**
- result from ANOVA script is a bucket dataset AvgANOVA+tlrc, stored in the group_data/ directory
**afni &**
- launch AFNI to view the results
- The output from **3dANOVA3** is bucket dataset **AvgANOVA+tlrc**, which contains 20 sub-bricks of data:
- i.e., main effect F-tests for factors A and B, 1st order contrasts, and 2nd order contrasts
## -fa: Produces a main effect for factor ‘a’
In this example, -fa determines which voxels show a percent signal change that is significantly different from zero when any level of factor “Object Type” is presented
-fa ObjEffect:
- In this example, -fa determines which voxels show a percent signal change that is significantly different from zero when any level of factor “Object Type” is presented
- **-fa ObjEffect**:
**Activated areas respond to OBJECTS in general (i.e., humans and/or tools)**
**ULay: ****sample_anat+tlrc**
**OLay: ****AvgANOVA+tlrc**
## Brain areas corresponding to “Tools” (reds) vs. “Humans” (blues)
-diff 1 2 TvsH (or -acontr 1 -1 TvsH)
- **-diff 1 2 TvsH **(or **-acontr 1 -1 TvsH**)** **
**Red blobs show statistically significant percent signal changes in response to “**_**Tools**_**.” Blue blobs show significant percent signal changes in response to “**_**Humans**_**” displays**
**ULay: ****sample_anat+tlrc**
**OLay: ****AvgANOVA+tlrc**
## Brain areas corresponding to “Human Movies” (reds) vs. “Humans Points” (blues)
-Abcontr 2: 1 -1 HMvsHP
- **-Abcontr 2: 1 -1 HMvsHP**
**Red blobs show statistically significant percent signal changes in response to “**_**Human Movies**_**.” Blue blobs show significant percent signal changes in response to “**_**Human Points**_**” displays**
**ULay: ****sample_anat+tlrc**
**OLay: ****AvgANOVA+tlrc**
## Many thanks to Mike Beauchamp for donating the data used in this lecture and in the how-to#5
For a full review of the experiment described in this lecture, see
Beauchamp, M.S., Lee, K.E., Haxby, J.V., & Martin, A. (2003). FMRI responses to video and point-light displays of moving humans and manipulable objects. Journal of Cognitive Neuroscience, 15:7, 991-1001.
For more information on AFNI ANOVA programs, visit the web page of Gang Chen, our wise and infinitely patient statistician:
http//afni.nimh.gov/sscc/gangc
- For a full review of the experiment described in this lecture, see
- Beauchamp, M.S., Lee, K.E., Haxby, J.V., & Martin, A. (2003). FMRI responses to video and point-light displays of moving humans and manipulable objects. _Journal of Cognitive Neuroscience_, _15:7_, 991-1001.
- For more information on AFNI ANOVA programs, visit the web page of Gang Chen, our wise and infinitely patient statistician:
- _http//afni.nimh.gov/sscc/gangc_
|
en
|
converted_docs
|
733333
|
> **Meeting Location*:***
>
> Hilton Silver Spring
>
> Capitol Ballroom
>
> 8727 Colesville Rd.
>
> Silver Spring, MD 20910
>
> Tel: (1) 301-589-5200
>
> Fax: (1) 301-588-1841
>
> [**[http://www.hilton.com/en/hi/hotels/index.jhtml?ctyhocn=DCASSHF]{.underline}**](http://www.watertownseattle.com/)
>
> **Meeting Dates and Times:**
>
> Wednesday, 28 June 2006
>
> *8:00 am -- 5:30 pm*
>
> *(SAB Executive Session from 8:00-10:00am)*
>
> Thursday, 29 June 2006
>
> *8:00 am -- 3:00 pm*
>
> **Lodging:**
>
> We have a block of 20 rooms at the Hilton Silver Spring listed at a
> conference rate of \$177.00 +tax. Meeting participants are encouraged
> to make their own hotel reservations before 7 June 2006 by calling
> 1--800-445-8667. You will need to mention "Climate Test Bed" to
> reserve under this room block.
>
> **How to get to the Hilton Silver Spring:**
>
> ***From BWI:***
>
> Distance from hotel: 25 mi.
>
> Drive time: 45 min.
>
> Directions: 95 South to I-495 West, Exit 30B - Colesville Road 2 miles
> South.
>
> Public Transportation:
+---------------------------------+------------------------------------+
| > **Type** | # Typical Charge |
+---------------------------------+------------------------------------+
| > Bus Service | > USD 30.00 |
+---------------------------------+------------------------------------+
| > Limousine | > USD 45.00 |
+---------------------------------+------------------------------------+
| > Taxi | > USD 35.00 |
+---------------------------------+------------------------------------+
> ***From Ronald Reagan National Airport:***
>
> Distance from hotel: 11 mi.
>
> Drive time: 30 min.
>
> Directions: George Washington Parkway to Beltway (I-495) North, Exit
> 30B-Colesville Road South 3 miles.
>
> Public Transportation:
## The metro/rail stop for the hotel is the Silver Spring stop on the red line. This is approximately 3 blocks from the hotel. Please call the hotel directly once you arrive and the can send a shuttle.
http://www.wmata.com/metrorail/systemmap.cfm
+---------------------------------+------------------------------------+
| > **Type** | # Typical Charge |
+---------------------------------+------------------------------------+
| > Metro/Rail | > USD 3.00 |
+---------------------------------+------------------------------------+
| > Limousine | > USD 50.00 |
+---------------------------------+------------------------------------+
| > Taxi | > USD 35.00 |
+---------------------------------+------------------------------------+
> ***From Dulles International:***
>
> Distance from hotel: 25 mi.
>
> Drive time: 45 min.
>
> Directions: Dulles Toll Road to I-495 East to Exit 30B, Colesville
> Road, South 2 Miles.
>
> Public Transportation:
+---------------------------------+------------------------------------+
| > **Type** | # Typical Charge |
+---------------------------------+------------------------------------+
| > Bus Service | > USD 35.00 |
+---------------------------------+------------------------------------+
| > Limousine | > USD 50.00 |
+---------------------------------+------------------------------------+
| > Taxi | > USD 40.00 |
+---------------------------------+------------------------------------+
> **Driving Directions:**
>
> **From Washington DC:** Take 16th St. NW heading North for 6 miles.
> Make a right on to Colesville Road. The hotel is located five blocks
> up on the right at the intersection on Colesville Road and Spring St.
>
> **From the Capitol Beltway (495):** Exit 30B (Route 29 South) - 1 mile
> South as you enter downtown Silver Spring, The hotel is on the left.
>
> **From Bethesda: From Wisconsion Ave., travel South on East West
> Highway towards Silver Spring. Travel approximatley 5 miles. Make a
> left on Colesville Road. Hotel will be 4 blocks up on the right at the
> intersection of Colesville Rd and Spring St. and Colesville Road.**
|
en
|
all-txt-docs
|
087830
|
This text file was formatted by the U.S. General Accounting Office (GAO)
to be accessible to users with visual impairments, as part of a longer term
project to improve GAO products' accessibility. Every attempt has been made
to maintain the structural and data integrity of the original printed product.
Accessibility features, such as alternative text descriptions for graphic
images, are provided but may not exactly duplicate the presentation or format
of the printed version. The portable document format (PDF) file is an exact
electronic replica of the printed version. We welcome your feedback. Please
E-mail your comments regarding the contents or accessibility features of this
document to [email protected].
Strategic Objective: The Education and Protection of the Nation's Children.
Issue: Educating and protecting children are important to the
continued vitality of this democratic society and to its long-term
ability to compete in a global marketplace. To this end, the federal
government invests more than $90 billion per year in programs that
foster the development, education, and protection of children from
childbirth through elementary and secondary school and postsecondary
education. Although federal spending is only about 7 percent of total
spending on education, the federal government's efforts are especially
important in ensuring that all children have the opportunity to meet
high academic standards from kindergarten through high school. The
government's postsecondary efforts provide access to higher education
for all through the use of loans, grants, and other financial tools,
while protecting the financial interests of taxpayers.
According to the most recently available data, the federal government
spent more than $9 billion in fiscal year 1999 on 29 programs that have
early childhood education or care as an objective. These programs,
including Head Start, are geared principally toward disadvantaged
children from infancy to age 5; a developmental period during which
early investment may lead to better performance in school years. Beyond
inherent concerns about fragmentation and overlap among these programs,
there is also concern about their effectiveness. Although the
Department of Health and Human Services (HHS) and the Department of
Education are sponsoring research on some of these programs, little is
known about their ultimate effect, especially on school-readiness and
early literacy skills; two areas at the center of the federal education
focus. Federal investment in child care has been growing, in part to
support low-income mothers who have entered the workforce due to
welfare reform (see fig. 1.2). Policymakers at the federal and state
levels are concerned about the cost, quality, and availability of child
care.
Figure 1.2: Growth of Federal Investment in Child Care, Fiscal Years
1997 through 2000.
Area graph showing dollars in millions with 4 groups and 2 items
per group.
Group 1, 1997, Total value of 2539.
Item 1, TANF value of 14.
Item 2, CCDF value of 2525.
Group 2, 1998, Total value of 3747.
Item 1, TANF value of 259.
Item 2, CCDF value of 3488.
Group 3, 1999, Total value of 5244.
Item 1, TANF value of 604.
Item 2, CCDF value of 4640.
Group 4, 2000, Total value of 6119.
Item 1, TANF value of 1060.
Item 2, CCDF value of 5059.
Note: Child Care and Development Fund (CCDF) amounts include dollars
states transferred from their Temporary Assistance for Needy Families
(TANF) programs to CCDF as allowed under the Personal Responsibility
and Work Opportunity Reconciliation Act of 1996. The amounts shown for
TANF include only those TANF funds expended for child care.
Source: Administration for Children and Families, HHS.
[End of Figure]
Federal elementary and secondary school programs are especially
designed to ensure that children in poor families and children who are
disadvantaged are given the opportunity to meet challenging academic
standards, which will give them the skills to succeed. The United
States places a high priority on educating its children at the
elementary and secondary levels and has increased the federal
investment from over $20 billion in fiscal year 2000 to nearly $30
billion in fiscal year 2002. However, this increased investment is
accompanied by an increased emphasis on accountability for schools to
raise all students to proficient levels in math and reading. With the
reauthorization of the Elementary and Secondary Education Act, the
Congress has placed additional requirements on states, beyond those in
the 1994 act. For example, the Congress required testing in three
additional grades and mandated actions for schools that fail to improve
the performance of their students. All students; including those from
poor families, with limited English proficiency, and with disabilities;
are expected to meet challenging academic standards. However, an
achievement gap exists between different groups of students, for
example between white and African American students and between white
and Hispanic students (see figs. 1.3 and 1.4). Dissatisfied with this
continued achievement gap, policymakers are exploring a variety of
school reform initiatives and strategies to improve school performance,
improve teaching, reduce student dropout rates, and enhance educational
options for the nation's children.
Figure 1.3: Achievement Gaps in Reading at Age 17.
Bar chart with 3 groups with 2 items per group showing score differences.
Group 1, calendar year 1994.
Item 1, Score differences between White and Black students' average scores, 30.
Item 2, Score differences between White and Hispanic students' average scores, 33.
Group 2, calendar year 1996.
Item 1, Score differences between White and Black students' average scores, 29.
Item 2, Score differences between White and Hispanic students' average scores, 30.
Group 3, calendar year 1999.
Item 1, Score differences between White and Black students' average scores, 31.
Item 2, Score differences between White and Hispanic students' average scores, 24.
Source: National Center for Education Statistics, National Assessment
of Educational Progress, 1999 Long-Term Trend Assessment.
[End of Figure]
Figure 1.4: Achievement Gaps in Math at Age 17.
Bar chart with 3 groups with 2 items per group showing score differences.
Group 1, calendar year 1994.
Item 1, Score difference between White and Black students' average scores, 27.
Item 2, Score differences between White and Hispanic students' average scores, 22.
Group 2, calendar year 1996.
Item 1, Score difference between White and Black students' average scores, 27.
Item 2, Score differences between White and Hispanic students' average scores, 21.
Group 3, calendar year 1999.
Item 1, Score difference between White and Black students' average scores, 31.
Item 2, Score differences between White and Hispanic students' average scores, 22.
Source: National Center for Education Statistics, National Assessment
of Educational Progress, 1999 Long-Term Trend Assessment.
[End of Figure]
The nation also needs to be concerned about protecting its children and
ensuring that families have the financial means to provide for their
children's needs. Each year, over 800,000 children are found to be the
victims of abuse and neglect by their parents, relatives, or other
caregivers. Tragically, over 1,000 children die each year from abuse
and neglect. While responsibility for investigating reports of abuse
and neglect and providing services to families falls primarily to state
child protective service agencies, the federal government invests
approximately $6 billion annually to provide care for children who need
placement outside their homes, services to help keep families together
or to reunite them, and training and research activities to improve
child welfare services nationwide. Moreover, nearly 23 million children
live with only one of their parents. To help obtain the financial
support noncustodial parents owe their children and to help single-
parent families achieve or maintain economic self-sufficiency, the
Congress established a joint federal/state child support enforcement
program in 1975 to help locate noncustodial parents, establish
paternity and child support obligations, and enforce child support.
Beyond providing for basic educational needs, a competitive national
economy depends, in part, on effectively preparing workers to compete
in the labor force. To this end, the federal government currently
supports over $50 billion annually to enhance students' access to
postsecondary, vocational, and adult education. In particular, the
government's investment in supporting college students with direct
loans and loan guarantees results in over $30 billion of new loans
annually. This is in addition to over $8 billion yearly for Pell grants
to college students from low-income families. The federal government
also provides higher education subsidies for students or their families
through such benefits as the Hope and lifetime learning tax credits and
the deferral of tax on the earnings of contributions to qualified state
tuition programs. These tax expenditures are just over $12 billion
annually. A major concern with the nation's investment in postsecondary
education is its exposure to significant losses. While student loan
default rates have decreased in recent years, student loan defaults
still cost the federal government billions of dollars each year. For
example, in fiscal year 2000, default costs for the Federal Family
Education Loan Program were about $1.4 billion, while defaults under
the Federal Direct Loan Program exceeded $600 million. The cumulative
principal amount outstanding from defaulted student loans stood at
about $22 billion in fiscal year 2001 (see fig. 1.5).
Figure 1.5: A Growing Balance of Defaulted Loans Is Subject to
Collection, 1993 through 2001.
Line graph with 1 line and 9 points showing billions of dollars.
Point 1, Fiscal year 1993 is 17.067.
Point 2, Fiscal year 1994 is 17.489.
Point 3, Fiscal year 1995 is 17.976.
Point 4, Fiscal year 1996 is 16.737.
Point 5, Fiscal year 1997 is 18.847.
Point 6, Fiscal year 1998 is 20.699.
Point 7, Fiscal year 1999 is 22.636.
Point 8, Fiscal year 2000 is 21.553.
Point 9, Fiscal year 2001 is 21.773.
Note: Balances include defaulted loans under both the Federal Family
Education Loan and Federal Direct Loan Programs. Fiscal year 2000 and
2001 data are from draft financial statements.
Source: Department of Education, Budget Service.
[End of Figure]
Performance Goals: To support efforts by the Congress and the
federal government to address these issues, GAO will:
* analyze the effectiveness and efficiency of early childhood education
and care programs in serving their target populations;
* assess options for federal programs to effectively address the
educational and nutritional needs of elementary and secondary students and their
schools;
* determine the effectiveness and efficiency of child support enforcement
and child welfare programs in serving their target populations; and
* identify opportunities to better manage postsecondary, vocational, and
adult education programs and deliver more effective services.
Education and Protection of Children:
Analyze the Effectiveness and Efficiency of Early Childhood Education
and Care Programs in Serving Their Target Populations.
Key Efforts:
* Evaluate the design, operation, and management of major federal early
education and child care programs,
* Analyze the cost, quality, and availability of child care for low-
income families.
Significance:
According to the most recently available data, the federal government
spent more than $9 billion in fiscal year 1999 on 29 programs geared
toward children from infancy to age 5; a developmental period where
early investment may lead to a child's long-term intellectual and
language growth; with most of this spending focused on children from
low-income or at-risk families. New federal initiatives are emphasizing
the importance of helping all children develop school readiness skills,
including early reading skills. However, the effect of early childhood
programs on helping children prepare to enter school is still being
debated. GAO's work led to a mandated study of Head Start, which,
funded at over $5 billion in fiscal year 2002, is the largest federal
early childhood education program. Early childhood education services
are provided through other programs, such as Title I, whose primary
focus traditionally has not been early childhood. This type of program
has not been evaluated for its effect on a child's readiness for
school. Child care is viewed as both a vital support to working
families for achieving and maintaining self-sufficiency and a vehicle
for helping prepare young children for school. With welfare reform
placing greater emphasis on returning former welfare recipients to
work, the cost and availability of child care has become an even more
important issue than in the past. Because states and localities play
the primary role of ensuring that a basic level of quality of child
care exists and because individual states approach this task
differently, concerns have also arisen about the quality of services
being bought with federal money.
Potential Outcomes that Could Result when GAO's Work Is Used:
More effective use of federal funds aimed at improving the education,
care, and nutrition of low-income young children,
Greater assurance that the federal investment in state and local early
education and child care programs is achieving positive results,
Informed congressional and agency decisions about ways to improve the
management of key early education, child care, and nutrition programs.
Education and Protection of Children:
Assess Options for Federal Programs to Effectively Address the
Educational and Nutritional Needs of Elementary and Secondary Students and Their
Schools.
Key Efforts:
* Analyze the effectiveness and efficiency of federal reform efforts to
improve performance and close achievement gaps for different types of
students, including special education students,
* Analyze the contribution of federal programs to improving school
performance through enhancing the quality and quantity of teachers,
upgrading the school environment (including safety and nutrition), and
assessing options for parents in the education of their children,
* Analyze the contribution of federal education programs to improving the
self-sufficiency and success of teenagers as they make the transition
to adulthood,
* Evaluate the adequacy of management structures, processes, and controls
for federal elementary and secondary education programs for ensuring
program integrity.
Significance:
Americans have placed a high priority on educating their children and
preparing them to become self-sufficient adults and productive workers.
For these reasons, the federal government is investing nearly $30
billion in federal funds in elementary and secondary education in
fiscal year 2002. This investment is coupled with new federal
requirements aimed at improving student and school performance. Meeting
these requirements will be challenging for schools, in part, because of
the growing number of disadvantaged students. These students, such as
those from poor families, with disabilities, or with limited English
proficiency, generally have not performed as well as other groups of
children on tests. With the signing of the Elementary and Secondary
Education Act in 2002, the Congress has instituted requirements to
facilitate the elimination of this achievement gap, and policymakers
are exploring ways to improve teaching and enhance educational options.
In addition, recent threats to the United States underscore the
continuing concern of parents and policymakers with students' school
environment, including school safety and building quality. Because
obesity is a major health issue for children, there are questions about
the nutritional aspects of federally supported school meal programs.
Potential Outcomes that Could Result when GAO's Work Is Used:
More effective services provided to different types of at-risk students
so that they are more likely to improve school performance,
Better congressional understanding of the resources needed for a world-
class education system,
Better congressional understanding of transition issues for teenagers
and the role the federal government can play in their transition to
adulthood,
Administrative and potential legislative actions to improve elementary
and secondary education programs and a reduction in fraud, waste, and
abuse in elementary and secondary education programs.
Education and Protection of Children:
Determine the Effectiveness and Efficiency of Child Support Enforcement
and Child Welfare Programs in Serving Their Target Populations.
Key Efforts:
* Determine whether the federal, state, and local child support
enforcement programs are achieving program goals in an efficient
manner,
* Determine whether the federal, state, and local child welfare programs
are providing appropriate services and achieving program goals,
* Assess federal and state efforts to utilize information management
technology and to safeguard sensitive child welfare and child support
enforcement information.
Significance:
The United States has nearly 3 million children at risk of abuse and
neglect each year. An increasing number of these children will be
removed from their homes and many will not be able to return safely.
Concerns about children's safety and long stays in foster care without
being placed in permanent homes culminated in the passage of the
Adoption and Safe Families Act of 1997. Policymakers are now concerned
about the states' implementation of the act and whether outcomes for
children have improved. Moreover, many families need child support to
help them achieve or maintain economic self-sufficiency. Only 40
percent of custodial parents receive all the child support owed to
them. About 17 million child support cases exist. Provisions in the
1996 welfare reform legislation strengthened and improved state child
support collection activities. Nonetheless, policymakers continue to
have questions about the program's ability to increase collections, the
effectiveness of new enforcement tools, and how new databases are used,
particularly in light of privacy concerns.
Potential Outcomes that Could Result when GAO's Work Is Used:
More effective use of federal funds directed toward increasing child
support collections and improving other child support services,
Enhanced support and coordination among federal, state, and local
entities responsible for child support enforcement,
Greater success in ensuring positive outcomes for abused and neglected
children,
Improved support and coordination among federal, state, and local
entities responsible for child welfare,
Informed congressional and agency decisions regarding 1. sharing/
giving access to sensitive and personal information and 2.
establishing adequate safeguards that minimize the risk of improper
disclosure of sensitive and personal information,
Greater assurance that the federal investment in information systems is
achieving positive results and providing useful information for
congressional decision making.
Education and Protection of Children:
Identify Opportunities to Better Manage Postsecondary, Vocational, and
Adult Education Programs and Deliver More Effective Services.
Key Efforts:
* Assess the efficiency and effectiveness of programs designed to promote
access to and affordability of postsecondary education for students,
* Evaluate the federal role in ensuring quality in the management of
postsecondary (especially student financial aid), vocational, and adult
education programs,
* Assess the extent to which federal postsecondary, vocational, and adult
education programs address the skills needed in the 21st century's
knowledge-based economy,
* Assess implications of heightened homeland security for student visa
programs, educational institutions, and students.
Significance:
The federal government uses several tools to ensure access to
postsecondary education and lifelong learning. The Department of
Education administers federal grant and loan programs that provide over
$50 billion annually to help finance the higher education of millions
of students. While these programs have been successful in providing
students with access to money for postsecondary education, they have
been less successful in protecting the financial interests of U.S.
taxpayers. To improve services and program management while reducing
the costs of delivering aid, thereby improving the protection of
taxpayers' financial interests, Education now delivers its student
financial assistance programs through a performance-based
organization. The federal government also assists those who do not
attend college through a number of programs, including ones aiding the
transition from high school to the workplace, vocational education
after high school, and adult basic education. In addition, the federal
government subsidizes students through tax benefits such as the Hope
scholarship credit and lifetime learning tax credit. The federal
government needs to ensure that these programs and tax expenditures are
efficient and effective tools for providing the skills needed in
today's workplace.
Potential Outcomes that Could Result when GAO's Work Is Used:
Increased participation of disadvantaged students in postsecondary
education via better use of federal resources,
Informed congressional and agency decisions on ways to improve the
management of student financial assistance and other postsecondary,
vocational, and adult education programs,
Increased efficiency and effectiveness of federal postsecondary,
vocational, and adult education programs in addressing current and
future skills needs,
Informed decision making in balancing the need to monitor foreign
students with the benefits of their enrollment in the nation's
institutions of higher education.
|
en
|
converted_docs
|
119636
|
*Substance Abuse Treatment*
ADVISORY
*News for the Treatment Field*
April 2006
Volume 5
Issue 1
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
Substance Abuse and Mental Health Services Administration
Center for Substance Abuse Treatment
www.samhsa.gov
OxyContin^®^:
Prescription Drug Abuse---2006 Revision
From the CSAT Director
by H. Westley Clark, M.D., J.D., M.P.H., CAS, FASAM
The media have issued numerous reports about the apparent increase in
OxyContin® abuse and addiction. Some of these reports include the
following:
- In Madison, Wisconsin, a task force reported a dramatic increase in
OxyContin cases since 2003. Most OxyContin making its way onto the
streets of Madison and nearby communities was believed to have been
stolen from local pharmacies.^1^
- The police chief in Billerica, Massachusetts, reported a "dramatic
increase in OxyContin abuse."^2^
- The distribution of OxyContin in Virginia was reported to be well
above the national average. In the counties of far southwest
Virginia, where the hard physical labor of coal mining and farming
leads to a higher incidence of injuries, OxyContin prescriptions
were generally 500 percent above the national average.^3^
- Sixty-nine percent of police chiefs and sheriffs said they have
witnessed an increase in the abuse of painkillers such as OxyContin.
The areas most affected are eastern Kentucky, New Orleans, southern
Maine, Philadelphia, southwestern Pennsylvania, southwestern
Virginia, Cincinnati, and Phoenix.^4^
These reports may reflect some of your experiences: We know many of you
are treating clients addicted to OxyContin.
OxyContin has been heralded as a miracle drug that allows patients with
chronic pain to resume a normal life. It has also been called
pharmaceutical heroin and is thought to have been responsible for a
number of deaths and robberies in areas where its abuse has been
reported. Patients who legitimately use OxyContin fear that the
continuing controversy will mean tighter restrictions on the medication.
Those who abuse OxyContin reportedly go to great lengths---legal or
illegal---to obtain the powerful drug.
At the Center for Substance Abuse Treatment (CSAT), we are not
interested in fueling the controversy about the use or abuse of
OxyContin. As the Federal Government's focal point for addiction
treatment information, CSAT is instead interested in helping
professionals on the front line of substance abuse treatment by
providing you with the facts about OxyContin, its use and abuse, and how
to treat individuals who present at your treatment facility with
OxyContin concerns. Perhaps these individuals are taking medically
prescribed OxyContin to manage pain and are concerned about their
physical dependence on the medication. Perhaps you are faced with a
young adult who thought that OxyContin was a "safe" recreational drug
because, after all, doctors prescribe it. Possibly changes in the
availability or quality of illicit opioid drugs in your community have
led to abuse of and addiction to OxyContin.
Whatever the reason, OxyContin is being abused, and people are becoming
addicted. And in many instances, these people are young adults unaware
of the dangers of OxyContin. Many of these individuals mix OxyContin
with alcohol and drugs, and the result is all too often tragic.
Abuse of prescription drugs is not a new phenomenon. You have
undoubtedly heard about abuse of Percocet^®^, hydrocodone, and a host of
other medications. What sets OxyContin abuse apart is the potency of the
drug. Treatment providers in affected areas say that they were
unprepared for the speed with which an OxyContin "epidemic" developed in
their communities.
We at CSAT want to make sure that you are prepared if OxyContin abuse
becomes a problem in your community. This revised issue of the original
*Substance Abuse Treatment Advisory* on OxyContin will help prepare you
by
- Answering frequently asked questions about OxyContin
- Providing you with general information about semisynthetic opioids
and their addiction potential
- Summarizing evidence-based protocols for treatment
- Providing you with resources for further information
For more information about OxyContin abuse and treatment, see our
resource boxes and end of this document. Feel free to copy the
information in the *Substance Abuse Treatment Advisory* and share it
with colleagues so that they, too, can have the most current information
about this critically important topic.
OxyContin^®^ Frequently Asked Questions
Q: What is OxyContin?
A: OxyContin is a semisynthetic opioid analgesic prescribed for chronic
or long-lasting pain. The medication's active ingredient is oxycodone,
which is also found in drugs like Percodan^®^ and Tylox^®^. However,
OxyContin contains between 10 and 80 milligrams (mg) of oxycodone in a
timed-release tablet. Painkillers such as Tylox contain 5 mg of
oxycodone and often require repeated doses to bring about pain relief
because they lack the timed-release formulation.
Q: How is OxyContin used?
A: OxyContin, also referred to as "Oxy," "O.C.," and "Oxycotton" on the
street, is legitimately prescribed as a timed-release tablet, providing
as many as 12 hours of relief from chronic pain. It is often prescribed
for cancer patients or those with chronic, long-lasting back pain. The
benefit of the medication to people who suffer from chronic pain is that
they generally need to take the pill only twice a day, whereas a dosage
of another medication would require more frequent use to control the
pain. The goal of chronic pain treatment is to decrease pain and improve
function.
Q: How is OxyContin abused?
A: People who abuse OxyContin either crush the tablet and ingest or
snort it or dilute it in water and inject it. Crushing or diluting the
tablet disarms the timed-release action of the medication and causes a
quick, powerful high. Those who abuse OxyContin have compared this
feeling to the euphoria they experience when taking heroin. In fact, in
some areas, the use of heroin is overshadowed by the abuse of OxyContin.
Purdue Pharma, OxyContin's manufacturer, has taken steps to reduce the
potential for abuse of OxyContin and other pain medications. Its Web
site lists the following initiatives: funding educational programs to
teach healthcare professionals how to assess and treat patients
suffering from pain, providing prescribers with tamper-proof
prescription pads, developing and distributing more than 1 million
brochures to pharmacists and healthcare professionals to help educate
them about medication diversion, working with healthcare and law
enforcement officials to address prescription drug abuse, and endorsing
the development of State and national prescription drug monitoring
programs to detect diversion. In addition, the company is attempting to
research and develop other pain management products that will be more
resistant to abuse and diversion. The company estimates that it will
take significant time for such products to be brought to market. For
more information, visit Purdue Pharma's Web site at www.purduepharma.com
or call the company at 203--588--8069.
Q: How does OxyContin abuse differ from abuse of other pain
prescriptions?
A: Abuse of prescription pain medications is not new. Two primary
factors, however, set OxyContin abuse apart from other prescription drug
abuse. First, OxyContin is a powerful drug that contains a much larger
amount of the active ingredient, oxycodone, than other prescription pain
relievers. By crushing the tablet and either ingesting or snorting it,
or by injecting diluted OxyContin, people who abuse the opioid feel its
powerful effects in a short time, rather than over a 12-hour span.
Second, great profits can be made in the illegal sale of OxyContin. A
40-mg pill costs approximately \$4 by prescription, yet it may sell for
\$20 to \$40 on the street, depending on the area of the country in
which the drug is sold.^5^
OxyContin can be comparatively inexpensive if it is legitimately
prescribed and if its cost is covered by insurance. However, the
National Drug Intelligence Center reports that people who abuse
OxyContin may use heroin if their insurance will no longer pay for their
OxyContin prescription because heroin is less expensive than OxyContin
that is purchased illegally.^6^
Q: Why are so many crimes reportedly associated with OxyContin abuse?
A: Many reports of OxyContin abuse have occurred in rural areas that
have housed labor-intensive industries, such as logging or coal mining.
These industries are often located in economically depressed areas, as
well. Therefore, people for whom the drug may have been legitimately
prescribed may be tempted to sell their prescriptions for profit.
Substance abuse treatment providers say that the addiction is so strong
that people will go to great lengths to get the drug, including robbing
pharmacies and writing false prescriptions.
Q: What is the likelihood that a person for whom OxyContin is prescribed
will become addicted?
A: Most people who take OxyContin as prescribed do not become addicted.
The National Institute on Drug Abuse reports: "Long-term use \[of
opioids\] can lead to physical dependence---the body adapts to the
presence of the substance and withdrawal symptoms occur if use is
reduced abruptly. This can also include tolerance, which means that
higher doses of a medication must be taken to obtain the same initial
effects. . . . Studies have shown that properly managed medical use of
opioid analgesic compounds is safe and rarely causes addiction. Taken
exactly as prescribed, opioids can be used to manage pain
effectively."^7^
One review found, "A multitude of studies indicate that the rate of
opioid addiction in populations of chronic pain sufferers is similar to
the rate of opioid addiction within the general population, falling in
the range of 1 to 2 percent or less."^8^
In short, most individuals who are prescribed OxyContin, or any other
opioid, will not become addicted, although they may become dependent on
the drug and will need to be withdrawn by a qualified physician.
Individuals who are taking the drug as prescribed should continue to do
so, as long as they and their physician agree that taking the drug is a
medically appropriate way for them to manage pain.
Q: How can I determine whether a person who uses OxyContin is dependent
on rather than addicted to OxyContin?
A: When pain patients take an opioid analgesic as directed, or to the
point where their pain is adequately controlled, it is not abuse or
addiction. Abuse occurs when patients take more than is needed for pain
control, especially if they take it to get high. Patients who take their
medication in a manner that grossly differs from a physician's
directions are probably abusing that drug.
If a patient continues to seek excessive pain medication after pain
management is achieved, the patient may be addicted. Addiction is
characterized by the repeated, compulsive use of a substance despite
adverse social, psychological, and/or physical consequences. Addiction
is often (but not always) accompanied by physical dependence, withdrawal
syndrome, and tolerance. Physical dependence is defined as a physiologic
state of adaptation to a substance. The absence of this substance
produces symptoms and signs of withdrawal. Withdrawal syndrome is often
characterized by overactivity of the physiological functions that were
suppressed by the drug and/or depression of the functions that were
stimulated by the drug. Opioids often cause sleepiness, calmness, and
constipation, so opioid withdrawal often includes insomnia, anxiety, and
diarrhea.
Pain patients, however, may sometimes develop a physical dependence
during treatment with opioids. This is not an addiction. A gradual
decrease of the medication dose over time, as the pain is resolving,
brings the former pain patient to a drug-free state without any craving
for repeated doses of the drug. This is the difference between the
patient treated for pain who was formerly dependent and has now been
withdrawn from medication and the patient who is opioid addicted: The
patient addicted to diverted pharmaceutical opioids continues to have a
severe and uncontrollable craving that almost always leads to eventual
relapse in the absence of adequate treatment. This uncontrollable
craving for another "rush" of the drug differentiates the patient who is
"detoxified" but opioid addicted from the former pain patient.
Theoretically, a person who abuses opioids might develop a physical
dependence but obtain treatment in the first few months of abuse, before
becoming addicted. In this case, supervised withdrawal (detoxification)
followed by a few months of abstinence-oriented treatment might be
sufficient for the patient who is not addicted who abuses opioids. If,
however, this patient subsequently relapses to opioid abuse, then that
behavior would support a diagnosis of opioid addiction. If the patient
has several relapses to opioid abuse, he or she will require long-term
treatment for the opioid addiction. (See the section titled Treatment
and Detoxification Protocols to learn more about treatment options.)
Q: I work at a facility that does not use medication-assisted treatment.
What treatment should I provide to individuals addicted to or dependent
on OxyContin?
A: The majority of U.S. treatment facilities do not offer
medication-assisted treatment. However, because of the strength of
OxyContin and its powerful addiction potential, medical complications
may be increased by quickly withdrawing individuals from the drug.
Premature withdrawal may cause individuals to seek heroin, and the
quality of that heroin will not be known. In addition, these
individuals, if injecting heroin, may also expose themselves to HIV and
hepatitis. Most people addicted to OxyContin need medication-assisted
treatment. Even if individuals have been taking OxyContin legitimately
to manage pain, they should not stop taking the drug all at once.
Instead, their dosages should be tapered down until medication is no
longer needed. If you work in a drug-free or abstinence-based treatment
facility, it is important to refer patients to facilities where they can
receive appropriate treatment. (See SAMHSA Resources.)
Treatment and Detoxification Protocols
OxyContin^®^ is a powerful drug that contains a much larger amount of
the active ingredient, oxycodone, than other prescription opioid pain
relievers. Whereas most people who take OxyContin as prescribed do not
become addicted, those who abuse their pain medication or obtain it
illegally may find themselves becoming rapidly dependent on, if not
addicted to, the drug.
Two types of treatment have been documented as most effective for opioid
addiction. One is a long-term, residential, therapeutic community type
of treatment, and the other is long-term, medication-assisted outpatient
treatment. Clinical trials using medications to treat opioid addiction
have generally included subjects addicted to diverted pharmaceutical
opioids as well as to illicit heroin. Therefore, there is no medical
reason to suppose that the patient addicted to diverted pharmaceutical
opioids is any less likely to benefit from medication-assisted treatment
than the patient addicted to heroin.
Some patients who are opioid addicted who have very good social supports
may occasionally be able to benefit from antagonist treatment with
naltrexone. This treatment works best if the patient is highly motivated
to participate in treatment and has undergone adequate detoxification
from the opioid of abuse. Most patients who are opioid addicted in
outpatient therapy, however, do best with medication that is either an
agonist or a partial agonist. Methadone is the agonist medication most
commonly prescribed for opioid addiction treatment in this country.
Buprenorphine is the only partial agonist approved by the Food and Drug
Administration for opioid addiction treatment.
The guidelines for treating OxyContin addiction or dependence are
basically no different than the guidelines the Center for Substance
Abuse Treatment (CSAT) uses for treating addiction to or dependence on
*any* opioid. However, because OxyContin contains higher dose levels of
opioid than are typically found in other oxycodone-containing pain
medications, higher dosages of methadone or buprenorphine may be needed
to appropriately treat patients who abuse OxyContin.
Methadone or buprenorphine may be used for OxyContin addiction treatment
or, for that matter, treatment for addiction to any other opioid,
including the semisynthetic opioids. Medication-assisted treatment for
prescription opioid abuse is not a new treatment approach. For instance,
in 2002, Alaska estimated that 15,000 people abused prescription opioids
in the State and that most patients receiving methadone were not
addicted to heroin. In addition, a significant percentage of patients in
publicly supported methadone programs were not being treated for heroin
addiction but for abuse of semisynthetic opioids (e.g., hydrocodone).
The Substance Abuse and Mental Health Services Administration (SAMHSA)
Drug Abuse Warning Network emergency room data show that both oxycodone
and hydrocodone mentions increased dramatically in the United States
between 1995 and 2002.^9^ And when Arkansas opened its first methadone
maintenance clinic in December 1993, the vast majority of its clients
were not admitted for heroin addiction but for semisynthetic opioid
abuse. These individuals had been traveling to other States for
treatment because methadone treatment was not available near their
homes.
Using the criteria above describing the difference between addiction to
and dependence on OxyContin, you may be able to determine whether a
patient requires treatment for opioid addiction. If this is the case,
methadone or buprenorphine may be used for withdrawal. For certain
patient populations, including those with many treatment failures,
methadone or buprenorphine is the treatment of choice.^10^
"As substance abuse treatment professionals, we have the responsibility
for learning as much as we can about OxyContin and then providing
appropriate treatment for people addicted to it. Appropriate treatment
will nearly always involve prescribing methadone, buprenorphine, or, in
some cases, naltrexone," says H. Westley Clark, M.D., J.D., Director of
CSAT. "Programs that do not offer medication-assisted treatment will
need to refer patients who are addicted to OxyContin to programs that
do," he adds.
It is important to assess an individual's eligibility for
medication-assisted treatment with methadone or buprenorphine to
determine whether he or she is eligible for this type of treatment and
whether it would be appropriate. The assessment may take place in a
hospital emergency department, central intake unit, or similar place.
Final assessment of an individual's eligibility for medication-assisted
treatment must be completed by treatment program staff. The preliminary
assessment should include the following areas:^11^
- Determining the need for emergency care
- Diagnosing the presence and severity of opioid dependence
- Determining the extent of alcohol and drug abuse
- Screening for co-occurring medical and psychiatric conditions
- Evaluating an individual's living situation, family and social
problems, and legal problems
". . . we have the responsibility for learning as much as we can about
OxyContin, and then providing appropriate treatment for people who are
addicted to it."
H. Westley Clark, M.D., J.D., M.P.H., CAS, FASAM
Director, CSAT
Treatment Improvement Protocols (TIPs) and Collateral Products
Addressing Opioid Addiction Treatment
TIP 40 *Clinical Guidelines for the Use of Buprenorphine in the
Treatment of Opioid Addiction* **BKD500**
*Quick Guide for Physicians Based on TIP 40: Clinical Guidelines for the
Use of Buprenorphine in the Treatment of Opioid Addiction* **QGPT40**
*KAP Keys for Physicians Based on TIP 40: Clinical Guidelines for the
Use of Buprenorphine in the Treatment of Opioid Addiction* **KAPT40**
TIP 43 *Medication-Assisted Treatment for Opioid Addiction in Opioid
Treatment Programs* **BKD524**
*Quick Guide for Clinicians Based on TIP 43: Medication-Assisted
Treatment for Opioid Addiction in Opioid Treatment Programs* **QGCT43**
*KAP Keys for Clinicians Based on TIP 43: Medication-Assisted Treatment
for Opioid Addiction in Opioid Treatment Programs* **KAPT43**
SAMHSA Resources
To find a substance abuse treatment facility near you, visit the
Substance Abuse Treatment Facility Locator at
www.findtreatment.samhsa.gov. Call the Substance Abuse and Mental Health
Services Administration Substance Abuse Treatment Hotline at
800--662--HELP for substance abuse treatment referral information.
For More Information About Treatment for Opioid Addiction
Sign up for SAMHSA's Information Mailing System (SIMS) to receive
information about the following topics:
- Grant announcements
- Funding opportunities such as competitive contract announcements
- Prevention materials and publications
- Treatment- and provider-oriented materials and publications
- Research findings and reports
- Announcements of available research data sets
- Policy announcements and materials
To sign up for this free service, use one of the following methods to
contact SIMS:
**Web:** http://sims.health.org
**Mail:** SAMHSA's National Clearinghouse for Alcohol and Drug
Information (NCADI)
Attn: Mailing List Manager
P.O. Box 2345
Rockville, MD 20847--2345
**Phone:** 800--729--6686
**Fax:** 301--468--6433
Attn: Mailing List Manager
Three Ways To Obtain Free Copies of All CSAT Products:
1\. Call SAMHSA's NCADI at 800--729--6686; TDD (hearing impaired)
800--487--4889
2\. Visit NCADI's Web site, www.ncadi.samhsa.gov
3\. Access TIPs on line at www.kap.samhsa.gov
*Substance Abuse Treatment Advisory*
*Substance Abuse Treatment Advisory*---published on an as-needed basis
for treatment providers---was written and produced under contract number
270-04-7049 by the Knowledge Application Program (KAP), a Joint Venture
of JBS International, Inc., and The CDM Group, Inc., for the Center for
Substance Abuse Treatment, Substance Abuse and Mental Health Services
Administration (SAMHSA), U.S. Department of Health and Human Services
(HHS). The content of this publication does not necessarily reflect the
views or policies of SAMHSA or HHS.
**Public Domain Notice:** All material in this report is in the public
domain and may be reproduced or copied without permission; citation of
the source is appreciated. However, this publication may not be
reproduced or distributed for a fee without the specific, written
authorization of the Office of Communications, SAMHSA, HHS.
**Electronic Access and Copies of Publication:** This publication can be
accessed electronically through the Internet at www.kap.samhsa.gov.
Additional free print copies can be ordered from SAMHSA's National
Clearinghouse for Alcohol and Drug Information at 800--729--6686.
**Recommended Citation:** Center for Substance Abuse Treatment.
"OxyContin®: Prescription Drug Abuse---2006 Revision." *Substance Abuse
Treatment Advisory*, Volume 5, Issue 1. Rockville, MD: Substance Abuse
and Mental Health Services Administration, April 2006.
DHHS Publication No. (SMA) 06-4138
Substance Abuse and Mental Health Services Administration
Printed 2006
Notes
1\. WISC-TV. *OxyContin:* *The Good, The Bad, The Deadly*. Broadcast
transcript. Madison, WI: WISC-TV, February 14, 2006.
www.channel3000.com/health/7013912/detail.html \[accessed March 2,
2006\].
2\. Crane, J.P. Drug use by young raises flag. *The Boston Globe*,
February 5, 2006.
www.boston.com/news/local/articles/2006/02/05/drug_use_by_young_raises_flag
\[accessed March 2, 2006\].
3\. Hammack, L. Painkiller prescriptions up significantly in region.
*The Roanoke Times*, March 28, 2004.
www.roanoke.com/roatimes/news/story164817.html \[accessed March 2,
2006\].
4\. Reuters. Powerful painkillers fueling U.S. crime rate. Redmond, WA:
MSNBC.com., March 10, 2005. www.msnbc.msn.com/id/7141313 \[accessed
March 2, 2006\].
5\. National Drug Intelligence Center. *Intelligence Bulletin: OxyContin
Diversion, Availability, and Abuse*. Johnstown, PA: National Drug
Intelligence Center, U.S. Department of Justice, August 2004.
www.usdoj.gov/ndic/pubs10/10550/10550p.pdf \[accessed March 3, 2006\].
6\. National Drug Intelligence Center. Pharmaceuticals. In: *National
Drug Threat Assessment 2004*. Johnstown, PA: National Drug Intelligence
Center, U.S. Department of Justice, April 2004.
www.usdoj.gov/ndic/pubs8/8731/8731p.pdf \[accessed March 3, 2006\].
7\. National Institute on Drug Abuse (NIDA). *NIDA Infofacts:
Prescription Pain and Other Medications*. Washington, DC: NIDA, National
Institutes of Health, 2005. www.drugabuse.gov/infofacts/PainMed.html
\[accessed March 3, 2006\].
8\. Fisher, F.B. Interpretation of "aberrant" drug-related behaviors.
*Journal of American Physicians and Surgeons* 9(1):25--28, 2004.
9\. Substance Abuse and Mental Health Services Administration (SAMHSA).
*Emergency Department Trends From the Drug Abuse Warning Network: Final
Estimates 1995--2002.* DAWN Series D-24. DHHS Publication No. (SMA)
03-3780. Rockville, MD: SAMHSA, 2003.
dawninfo.samhsa.gov/old_dawn/pubs_94_02/edpubs/2002final \[accessed
March 2, 2006\].
10\. Center for Substance Abuse Treatment. *Detoxification and Substance
Abuse Treatment*. Treatment Improvement Protocol (TIP) Series 45. DHHS
Publication No. (SMA) 06-4131. Rockville, MD: Substance Abuse and Mental
Health Services Administration, 2006.
11\. Center for Substance Abuse Treatment. Initial screening, admission
procedures, and assessment techniques. In: *Medication-Assisted
Treatment for Opioid Addiction in Opioid Treatment Programs*. Treatment
Improvement Protocol (TIP) Series 43. DHHS Publication No. (SMA)
05-4048. Rockville, MD: Substance Abuse and Mental Health Services
Administration, 2005, pp. 43--61.
|
en
|
markdown
|
831360
|
# Presentation: 831360
## A COTS system will be used: Fenwal Engineered Fire Suppression System designed for use with 3MTM NovecTM 1230 Fire Protection Fluid.
- FAATC will initiate testing program to evaluate NovecTM 1230 as a possible candidate to replace Halon 1301 in the cargo compartment area.
- Testing will start 2nd Quarter 2006.
- A COTS system will be used: Fenwal Engineered Fire Suppression System designed for use with 3MTM NovecTM 1230 Fire Protection Fluid.
- The latest version (2nd Update, June 2005) of the Minimum Performance Standard for Aircraft Cargo Compartment Fire Suppression Systems will be used during this program.
- Partners: FAA & 3MTM
- FAA POC: John Reinhardt 609-485-5034
## Slide 2
|
en
|
all-txt-docs
|
534722
|
"
'
326
LA POTHERIE
[Vol.
whole length with the heads of birds, flame-colored, and had in the middle a bunch of feathers colored a bright red, which resembled a great fan. As soon as he espied the leader of the Frenchmen, he presented to him the calumet, on the side next to the sun; and uttered words which were apparently addressed to all the spirits whom those peoples adore. The old man held it sometimes toward the east, and sometimes toward the west; then toward the sun; now he would stick the end in the ground, and then he would turn the calumet around him, looking at it as if he were trying to point out the whole earth, with expressions which gave the Frenchman to understand that he had compassion on all men. Then he rubbed with his hands Perot's head, back, legs, and feet, and sometimes his own body. This welcome lasted a long time, during which the old man made a harangue, after the fashion of a prayer, all to assure the Frenchman of the joy which all in the village felt at his arrival.
One of the men spread upon the grass a large painted ox-skin, the hair on which was as soft as silk, on which he and his comrade were made to sit. The old man struck two pieces of wood together, to obtain fire from it; but as it was wet he could not light it. The Frenchman drew forth his own fire-steel, and immediately made fire with tinder. The old man uttered loud exclamations about the iron, which seemed to him a spirit; the calumet was lighted, and each man smoked; then they must eat porridge and dried meat, and suck the juice of the green corn. Again the calumet was filled, and those who smoked blew the tobacco-smoke into the Frenchman's face, as the greatest honor that they could render him; he saw himself smoked [boucaner] like meat, but said not a word. This ceremony ended, a skin was spread for the Frenchman's comrade. The
|
en
|
log-files
|
938057
|
! Started logfile: J0256-2137_S_1997_08_27_yyk_uvs.log on Sun Jan 7 15:57:57 2007
obs J0256-2137_S_1997_08_27_yyk_uva.fits
! Reading UV FITS file: J0256-2137_S_1997_08_27_yyk_uva.fits
! AN table 1: 151 integrations on 45 of 45 possible baselines.
! Apparent sampling: 0.97557 visibilities/baseline/integration-bin.
! Found source: J0256-2137
!
! There are 4 IFs, and a total of 4 channels:
!
! IF Channel Frequency Freq offset Number of Overall IF
! origin at origin per channel channels bandwidth
! ------------------------------------------------------------- (Hz)
! 01 1 2.22447e+09 8e+06 1 8e+06
! 02 2 2.23447e+09 8e+06 1 8e+06
! 03 3 2.29447e+09 8e+06 1 8e+06
! 04 4 2.32447e+09 8e+06 1 8e+06
!
! Polarization(s): RR
!
! Read 702 lines of history.
!
! Reading 26516 visibilities.
select I
! Polarization I is unavailable.
! Selecting polarization: RR, channels: 1..4
! Reading IF 1 channels: 1..1
! Reading IF 2 channels: 2..2
! Reading IF 3 channels: 3..3
! Reading IF 4 channels: 4..4
![@muppet J0256-2137_S_1997_08_27_yyk]
integer clean_niter
clean_niter = 100
float clean_gain
clean_gain = 0.04
float dynam
dynam = 6.0
float amp_soltime1
amp_soltime1 = 10
float amp_soltime2
amp_soltime2 = 1
float phase_soltime1
phase_soltime1=10
float phase_soltime2
phase_soltime2=0.5
float phase_soltime
phase_soltime=phase_soltime1
float ampcor_selflim
ampcor_selflim=1.20
float thresh
thresh = 0.10
float win_mult
win_mult = 1.8
float time_av
time_av = 30
float old_peak
float new_peak
float flux_cutoff
mapsize field_size, field_cell
! Map grid = 512x512 pixels with 0.500x0.500 milli-arcsec cellsize.
phase_soltime=phase_soltime1
print "uvstat(rms)=",uvstat(rms),"Jy"
! uvstat(rms)= 0.417591 Jy
uvw 2,-1
! Uniform weighting binwidth: 2 (pixels).
! Gridding weights will be scaled by errors raised to the power -1.
! Radial weighting is not currently selected.
flux_cutoff = imstat(rms) * dynam
! Inverting map and beam
! Estimated beam: bmin=2.688 mas, bmaj=6.916 mas, bpa=-5.035 degrees
! Estimated noise=2669.21 mJy/beam.
repeat
if (peak(flux) > flux_cutoff) peakwin win_mult
clean clean_niter,clean_gain
flux_cutoff = imstat(rms) * dynam
selfcal false,false,phase_soltime
new_peak = peak(flux)
until(new_peak<=flux_cutoff)
! Added new window around map position (0, 0).
! clean: niter=100 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = 0.172544 Jy
! Component: 100 - total flux cleaned = 0.211003 Jy
! Total flux subtracted in 100 components = 0.211002 Jy
! Clean residual min=-0.011971 max=0.015998 Jy/beam
! Clean residual mean=0.000116 rms=0.003853 Jy/beam
! Combined flux in latest and established models = 0.211002 Jy
! Performing phase self-cal over 10 minute time intervals
! Adding 17 model components to the UV plane model.
! The established model now contains 17 components and 0.211002 Jy
!
! Correcting IF 1.
! A total of 171 telescope corrections were flagged in sub-array 1.
!
! Correcting IF 2.
! A total of 22 telescope corrections were flagged in sub-array 1.
!
! Correcting IF 3.
! A total of 22 telescope corrections were flagged in sub-array 1.
!
! Correcting IF 4.
! A total of 22 telescope corrections were flagged in sub-array 1.
!
! Fit before self-cal, rms=0.360206Jy sigma=0.001230
! Fit after self-cal, rms=0.360042Jy sigma=0.001230
! Inverting map and beam
! Estimated beam: bmin=2.688 mas, bmaj=6.916 mas, bpa=-5.035 degrees
! Estimated noise=2669.21 mJy/beam.
print "************** FINISHED UNIFORM WEIGHTING CLEAN **************"
! ************** FINISHED UNIFORM WEIGHTING CLEAN **************
!
uvw 0,-2
! Uniform weighting is not currently selected.
! Gridding weights will be scaled by errors raised to the power -2.
! Radial weighting is not currently selected.
win_mult = win_mult * 1.6
clean_niter = clean_niter * 2
dynam = dynam - 0.5
flux_cutoff = imstat(rms) * dynam
! Inverting map and beam
! Estimated beam: bmin=3.495 mas, bmaj=8.796 mas, bpa=-5.747 degrees
! Estimated noise=1172.9 mJy/beam.
repeat
if (peak(flux) > flux_cutoff) peakwin win_mult
clean clean_niter,clean_gain
flux_cutoff = imstat(rms) * dynam
selfcal false,false,phase_soltime
new_peak = peak(flux)
until(new_peak<=flux_cutoff)
! clean: niter=200 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = 0.0161749 Jy
! Component: 100 - total flux cleaned = 0.0210512 Jy
! Component: 150 - total flux cleaned = 0.021641 Jy
! Component: 200 - total flux cleaned = 0.0217999 Jy
! Total flux subtracted in 200 components = 0.0217999 Jy
! Clean residual min=-0.006811 max=0.007759 Jy/beam
! Clean residual mean=0.000157 rms=0.002007 Jy/beam
! Combined flux in latest and established models = 0.232802 Jy
! Performing phase self-cal over 10 minute time intervals
! Adding 18 model components to the UV plane model.
! The established model now contains 29 components and 0.232802 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.359395Jy sigma=0.001228
! Fit after self-cal, rms=0.359364Jy sigma=0.001228
! Inverting map
print "************** FINISHED NATURAL WEIGHTING CLEAN **************"
! ************** FINISHED NATURAL WEIGHTING CLEAN **************
!
restore
! restore: Substituting estimate of restoring beam from last 'invert'.
! Restoring with beam: 3.495 x 8.796 at -5.747 degrees (North through East)
! Clean map min=-0.006556 max=0.20244 Jy/beam
if(peak(flux) < thresh*2)
selflims ampcor_selflim
end if
gscale
! Performing overall amplitude self-cal
!
! Correcting IF 1.
! A total of 3 telescope corrections were flagged in sub-array 1.
! Amplitude normalization factor in sub-array 1: 1.00817
! Telescope amplitude corrections in sub-array 1:
! BR 0.98 FD 1.06 HN 0.92 KP 0.91
! LA 0.98 MK 1.14 NL 1.00* OV 1.12
! PT 0.98 SC 0.84
!
!
! Correcting IF 2.
! A total of 3 telescope corrections were flagged in sub-array 1.
! Amplitude normalization factor in sub-array 1: 0.988523
! Telescope amplitude corrections in sub-array 1:
! BR 1.02 FD 1.16 HN 1.04 KP 0.98
! LA 1.06 MK 1.03 NL 0.92 OV 1.04
! PT 0.95 SC 0.91
!
!
! Correcting IF 3.
! A total of 3 telescope corrections were flagged in sub-array 1.
! Amplitude normalization factor in sub-array 1: 1.05962
! Telescope amplitude corrections in sub-array 1:
! BR 1.00 FD 1.06 HN 0.92 KP 0.90
! LA 0.79 MK 0.85 NL 0.88 OV 0.93
! PT 1.11 SC 1.00
!
!
! Correcting IF 4.
! A total of 3 telescope corrections were flagged in sub-array 1.
! Amplitude normalization factor in sub-array 1: 0.987683
! Telescope amplitude corrections in sub-array 1:
! BR 1.01 FD 1.11 HN 1.10 KP 0.93
! LA 0.88 MK 1.01 NL 1.11 OV 1.00
! PT 0.94 SC 1.03
!
!
! Fit before self-cal, rms=0.359364Jy sigma=0.001228
! Fit after self-cal, rms=0.354682Jy sigma=0.001225
selfcal false, false, phase_soltime
! Performing phase self-cal over 10 minute time intervals
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.354682Jy sigma=0.001225
! Fit after self-cal, rms=0.354678Jy sigma=0.001225
dynam = dynam - 0.5
flux_cutoff = imstat(rms) * dynam
! Inverting map and beam
! Estimated beam: bmin=3.463 mas, bmaj=8.65 mas, bpa=-4.88 degrees
! Estimated noise=1179.36 mJy/beam.
repeat
if (peak(flux) > flux_cutoff) peakwin win_mult
clean clean_niter,clean_gain
flux_cutoff = imstat(rms) * dynam
selfcal false,false,phase_soltime
new_peak = peak(flux)
until(new_peak<=flux_cutoff)
! clean: niter=200 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = 0.00440117 Jy
! Component: 100 - total flux cleaned = 0.00463829 Jy
! Component: 150 - total flux cleaned = 0.00457353 Jy
! Component: 200 - total flux cleaned = 0.00457167 Jy
! Total flux subtracted in 200 components = 0.00457167 Jy
! Clean residual min=-0.005132 max=0.006527 Jy/beam
! Clean residual mean=0.000071 rms=0.001401 Jy/beam
! Combined flux in latest and established models = 0.237374 Jy
! Performing phase self-cal over 10 minute time intervals
! Adding 10 model components to the UV plane model.
! The established model now contains 34 components and 0.237374 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.354632Jy sigma=0.001224
! Fit after self-cal, rms=0.354621Jy sigma=0.001224
! Inverting map
print "************** FINISHED AMPLITUDE GSCALE SELF-CAL **************"
! ************** FINISHED AMPLITUDE GSCALE SELF-CAL **************
!
phase_soltime=phase_soltime2
selfcal false, false, phase_soltime
! Performing phase self-cal over 0.5 minute time intervals
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.354621Jy sigma=0.001224
! Fit after self-cal, rms=0.353329Jy sigma=0.001221
dynam = dynam - 0.5
flux_cutoff = imstat(rms) * dynam
! Inverting map
repeat
if (peak(flux) > flux_cutoff) peakwin win_mult
clean clean_niter,clean_gain
flux_cutoff = imstat(rms) * dynam
selfcal false,false,phase_soltime
new_peak = peak(flux)
until(new_peak<=flux_cutoff)
! clean: niter=200 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = 0.000745341 Jy
! Component: 100 - total flux cleaned = 0.000996477 Jy
! Component: 150 - total flux cleaned = 0.000929116 Jy
! Component: 200 - total flux cleaned = 0.000930472 Jy
! Total flux subtracted in 200 components = 0.000930472 Jy
! Clean residual min=-0.004473 max=0.005604 Jy/beam
! Clean residual mean=0.000077 rms=0.001367 Jy/beam
! Combined flux in latest and established models = 0.238305 Jy
! Performing phase self-cal over 0.5 minute time intervals
! Adding 13 model components to the UV plane model.
! The established model now contains 42 components and 0.238305 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.353289Jy sigma=0.001220
! Fit after self-cal, rms=0.353165Jy sigma=0.001220
! Inverting map
print "*** FINISHED NATURAL WEIGHTING CLEAN with shorter phase_soltime ***"
! *** FINISHED NATURAL WEIGHTING CLEAN with shorter phase_soltime ***
!
dynam = dynam - 0.25
restore
! restore: Substituting estimate of restoring beam from last 'invert'.
! Restoring with beam: 3.463 x 8.65 at -4.88 degrees (North through East)
! Clean map min=-0.0042972 max=0.20607 Jy/beam
if(peak(flux) > thresh)
selfcal true, true, amp_soltime1
selfcal false, false, phase_soltime
flux_cutoff = imstat(rms) * dynam
repeat
if (peak(flux) > flux_cutoff) peakwin win_mult
clean clean_niter,clean_gain
flux_cutoff = imstat(rms) * dynam
selfcal false,false,phase_soltime
new_peak = peak(flux)
until(new_peak<=flux_cutoff)
selfcal true, true, amp_soltime2
selfcal false, false, phase_soltime
flux_cutoff = imstat(rms) * dynam
repeat
if (peak(flux) > flux_cutoff) peakwin win_mult
clean clean_niter,clean_gain
flux_cutoff = imstat(rms) * dynam
selfcal false,false,phase_soltime
new_peak = peak(flux)
until(new_peak<=flux_cutoff)
print "************** FINISHED AMPLITUDE SELF-CAL **************"
end if
! Performing amp+phase self-cal over 10 minute time intervals
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.353165Jy sigma=0.001220
! Fit after self-cal, rms=0.361393Jy sigma=0.001218
! Performing phase self-cal over 0.5 minute time intervals
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.361393Jy sigma=0.001218
! Fit after self-cal, rms=0.361388Jy sigma=0.001218
! Inverting map and beam
! Estimated beam: bmin=3.421 mas, bmaj=8.521 mas, bpa=-5.268 degrees
! Estimated noise=1172.51 mJy/beam.
! Added new window around map position (51, 57.5).
! clean: niter=200 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = 0.00619334 Jy
! Component: 100 - total flux cleaned = 0.00734887 Jy
! Component: 150 - total flux cleaned = 0.00763889 Jy
! Component: 200 - total flux cleaned = 0.00771908 Jy
! Total flux subtracted in 200 components = 0.00771908 Jy
! Clean residual min=-0.003951 max=0.004524 Jy/beam
! Clean residual mean=0.000063 rms=0.001124 Jy/beam
! Combined flux in latest and established models = 0.246024 Jy
! Performing phase self-cal over 0.5 minute time intervals
! Adding 24 model components to the UV plane model.
! The established model now contains 64 components and 0.246024 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.361287Jy sigma=0.001218
! Fit after self-cal, rms=0.361288Jy sigma=0.001218
! Inverting map
! Performing amp+phase self-cal over 1 minute time intervals
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.361288Jy sigma=0.001218
! Fit after self-cal, rms=0.363339Jy sigma=0.001217
! Performing phase self-cal over 0.5 minute time intervals
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.363339Jy sigma=0.001217
! Fit after self-cal, rms=0.363352Jy sigma=0.001217
! Inverting map and beam
! Estimated beam: bmin=3.405 mas, bmaj=8.486 mas, bpa=-5.401 degrees
! Estimated noise=1173.83 mJy/beam.
! clean: niter=200 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = 0.00298708 Jy
! Component: 100 - total flux cleaned = 0.00339172 Jy
! Component: 150 - total flux cleaned = 0.00345838 Jy
! Component: 200 - total flux cleaned = 0.00352177 Jy
! Total flux subtracted in 200 components = 0.00352177 Jy
! Clean residual min=-0.003815 max=0.004184 Jy/beam
! Clean residual mean=0.000078 rms=0.001086 Jy/beam
! Combined flux in latest and established models = 0.249545 Jy
! Performing phase self-cal over 0.5 minute time intervals
! Adding 19 model components to the UV plane model.
! The established model now contains 70 components and 0.249545 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.363322Jy sigma=0.001217
! Fit after self-cal, rms=0.363326Jy sigma=0.001217
! Inverting map
! ************** FINISHED AMPLITUDE SELF-CAL **************
uvtaper 0.3,taper_size
! Gaussian taper: value 0.3 at UV radius = 20 mega-wavelengths.
win_mult = win_mult * 1.4
flux_cutoff = imstat(rms) * dynam
! Inverting map and beam
! Estimated beam: bmin=8.121 mas, bmaj=17.08 mas, bpa=0.118 degrees
! Estimated noise=1475.12 mJy/beam.
repeat
if (peak(flux) > flux_cutoff) peakwin win_mult
clean clean_niter,clean_gain
flux_cutoff = imstat(rms) * dynam
selfcal false,false,phase_soltime
new_peak = peak(flux)
until(new_peak<=flux_cutoff)
! clean: niter=200 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = 0.000903608 Jy
! Component: 100 - total flux cleaned = 0.000904224 Jy
! Component: 150 - total flux cleaned = 0.000901587 Jy
! Component: 200 - total flux cleaned = 0.00098205 Jy
! Total flux subtracted in 200 components = 0.00098205 Jy
! Clean residual min=-0.003210 max=0.003181 Jy/beam
! Clean residual mean=0.000149 rms=0.001144 Jy/beam
! Combined flux in latest and established models = 0.250527 Jy
! Performing phase self-cal over 0.5 minute time intervals
! Adding 24 model components to the UV plane model.
! The established model now contains 92 components and 0.250527 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.363338Jy sigma=0.001217
! Fit after self-cal, rms=0.363334Jy sigma=0.001217
! Inverting map
uvtaper 0
! No UV-taper is currently set.
win_mult = win_mult / 1.4
print "************** FINISHED TAPERING SELF-CAL CLEAN **************"
! ************** FINISHED TAPERING SELF-CAL CLEAN **************
!
print "************** CLEARING MODEL AND STARTING OVER **********"
! ************** CLEARING MODEL AND STARTING OVER **********
clrmod true,true,true
! clrmod: Cleared the established, tentative and continuum models.
uvw 2,-1
! Uniform weighting binwidth: 2 (pixels).
! Gridding weights will be scaled by errors raised to the power -1.
! Radial weighting is not currently selected.
clean clean_niter, clean_gain
! Inverting map and beam
! Estimated beam: bmin=2.656 mas, bmaj=6.823 mas, bpa=-4.849 degrees
! Estimated noise=2637.35 mJy/beam.
! clean: niter=200 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = 0.175173 Jy
! Component: 100 - total flux cleaned = 0.214041 Jy
! Component: 150 - total flux cleaned = 0.229956 Jy
! Component: 200 - total flux cleaned = 0.239234 Jy
! Total flux subtracted in 200 components = 0.239234 Jy
! Clean residual min=-0.009678 max=0.008839 Jy/beam
! Clean residual mean=0.000045 rms=0.002220 Jy/beam
! Combined flux in latest and established models = 0.239234 Jy
uvw 0,-2
! Uniform weighting is not currently selected.
! Gridding weights will be scaled by errors raised to the power -2.
! Radial weighting is not currently selected.
flux_cutoff = imstat(rms) * dynam
! Adding 28 model components to the UV plane model.
! The established model now contains 28 components and 0.239234 Jy
! Inverting map and beam
! Estimated beam: bmin=3.405 mas, bmaj=8.486 mas, bpa=-5.401 degrees
! Estimated noise=1173.83 mJy/beam.
repeat
if (peak(flux) > flux_cutoff) peakwin win_mult
clean clean_niter,clean_gain
flux_cutoff = imstat(rms) * dynam
keep
new_peak = peak(flux)
until(new_peak<=flux_cutoff)
! Added new window around map position (1.5, -13.5).
! clean: niter=200 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = 0.0082998 Jy
! Component: 100 - total flux cleaned = 0.0122569 Jy
! Component: 150 - total flux cleaned = 0.0131322 Jy
! Component: 200 - total flux cleaned = 0.0135008 Jy
! Total flux subtracted in 200 components = 0.0135008 Jy
! Clean residual min=-0.003699 max=0.003634 Jy/beam
! Clean residual mean=0.000070 rms=0.001013 Jy/beam
! Combined flux in latest and established models = 0.252734 Jy
! Adding 37 model components to the UV plane model.
! The established model now contains 62 components and 0.252734 Jy
! Inverting map
uvtaper 0.3,taper_size
! Gaussian taper: value 0.3 at UV radius = 20 mega-wavelengths.
flux_cutoff = imstat(rms) * dynam
! Inverting map and beam
! Estimated beam: bmin=8.121 mas, bmaj=17.08 mas, bpa=0.118 degrees
! Estimated noise=1475.12 mJy/beam.
repeat
if (peak(flux) > flux_cutoff) peakwin win_mult
clean clean_niter,clean_gain
flux_cutoff = imstat(rms) * dynam
keep
new_peak = peak(flux)
until(new_peak<=flux_cutoff)
! clean: niter=200 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = 0.000457736 Jy
! Component: 100 - total flux cleaned = 0.000514878 Jy
! Component: 150 - total flux cleaned = 0.000615515 Jy
! Component: 200 - total flux cleaned = 0.000697436 Jy
! Total flux subtracted in 200 components = 0.000697436 Jy
! Clean residual min=-0.003311 max=0.003392 Jy/beam
! Clean residual mean=0.000136 rms=0.001041 Jy/beam
! Combined flux in latest and established models = 0.253432 Jy
! Adding 31 model components to the UV plane model.
! The established model now contains 91 components and 0.253432 Jy
! Inverting map
uvtaper 0
! No UV-taper is currently set.
clean
! Inverting map and beam
! Estimated beam: bmin=3.405 mas, bmaj=8.486 mas, bpa=-5.401 degrees
! Estimated noise=1173.83 mJy/beam.
! clean: niter=200 gain=0.04 cutoff=0
! Component: 050 - total flux cleaned = -0.000105029 Jy
! Component: 100 - total flux cleaned = -0.000186375 Jy
! Component: 150 - total flux cleaned = -0.000184738 Jy
! Component: 200 - total flux cleaned = -0.000261171 Jy
! Total flux subtracted in 200 components = -0.000261171 Jy
! Clean residual min=-0.003535 max=0.003535 Jy/beam
! Clean residual mean=0.000072 rms=0.000974 Jy/beam
! Combined flux in latest and established models = 0.253171 Jy
selfcal false, false, phase_soltime
! Performing phase self-cal over 0.5 minute time intervals
! Adding 25 model components to the UV plane model.
! The established model now contains 110 components and 0.253171 Jy
!
! Correcting IF 1.
!
! Correcting IF 2.
!
! Correcting IF 3.
!
! Correcting IF 4.
!
! Fit before self-cal, rms=0.363299Jy sigma=0.001217
! Fit after self-cal, rms=0.363292Jy sigma=0.001217
wmodel J0256-2137_S_1997_08_27_yyk\_map.mod
! Writing 110 model components to file: J0256-2137_S_1997_08_27_yyk_map.mod
wobs J0256-2137_S_1997_08_27_yyk\_uvs.fits
! Writing UV FITS file: J0256-2137_S_1997_08_27_yyk_uvs.fits
wwins J0256-2137_S_1997_08_27_yyk\_map.win
! wwins: Wrote 3 windows to J0256-2137_S_1997_08_27_yyk_map.win
x = (field_size-8) * field_cell / 4
addwin -x,x,-x,x
clean (field_size*4),0.01
! Inverting map
! clean: niter=2048 gain=0.01 cutoff=0
! Component: 050 - total flux cleaned = 0.000576527 Jy
! Component: 100 - total flux cleaned = 0.000813798 Jy
! Component: 150 - total flux cleaned = 0.000926509 Jy
! Component: 200 - total flux cleaned = 0.000982313 Jy
! Component: 250 - total flux cleaned = 0.00108886 Jy
! Component: 300 - total flux cleaned = 0.00114092 Jy
! Component: 350 - total flux cleaned = 0.00123861 Jy
! Component: 400 - total flux cleaned = 0.00119059 Jy
! Component: 450 - total flux cleaned = 0.00123752 Jy
! Component: 500 - total flux cleaned = 0.00128317 Jy
! Component: 550 - total flux cleaned = 0.00137337 Jy
! Component: 600 - total flux cleaned = 0.00146034 Jy
! Component: 650 - total flux cleaned = 0.00141752 Jy
! Component: 700 - total flux cleaned = 0.00150151 Jy
! Component: 750 - total flux cleaned = 0.00154298 Jy
! Component: 800 - total flux cleaned = 0.00178753 Jy
! Component: 850 - total flux cleaned = 0.00194663 Jy
! Component: 900 - total flux cleaned = 0.00190639 Jy
! Component: 950 - total flux cleaned = 0.00198397 Jy
! Component: 1000 - total flux cleaned = 0.00198473 Jy
! Component: 1050 - total flux cleaned = 0.0021738 Jy
! Component: 1100 - total flux cleaned = 0.00228502 Jy
! Component: 1150 - total flux cleaned = 0.00239486 Jy
! Component: 1200 - total flux cleaned = 0.00239525 Jy
! Component: 1250 - total flux cleaned = 0.00257425 Jy
! Component: 1300 - total flux cleaned = 0.00257392 Jy
! Component: 1350 - total flux cleaned = 0.00264372 Jy
! Component: 1400 - total flux cleaned = 0.00278151 Jy
! Component: 1450 - total flux cleaned = 0.00284883 Jy
! Component: 1500 - total flux cleaned = 0.00301665 Jy
! Component: 1550 - total flux cleaned = 0.00298401 Jy
! Component: 1600 - total flux cleaned = 0.0031814 Jy
! Component: 1650 - total flux cleaned = 0.00334368 Jy
! Component: 1700 - total flux cleaned = 0.0033117 Jy
! Component: 1750 - total flux cleaned = 0.00347037 Jy
! Component: 1800 - total flux cleaned = 0.00350174 Jy
! Component: 1850 - total flux cleaned = 0.00362624 Jy
! Component: 1900 - total flux cleaned = 0.00368779 Jy
! Component: 1950 - total flux cleaned = 0.00380921 Jy
! Component: 2000 - total flux cleaned = 0.00383928 Jy
! Total flux subtracted in 2048 components = 0.00395811 Jy
! Clean residual min=-0.001950 max=0.001854 Jy/beam
! Clean residual mean=0.000061 rms=0.000598 Jy/beam
! Combined flux in latest and established models = 0.257129 Jy
keep
! Adding 122 model components to the UV plane model.
! The established model now contains 232 components and 0.257129 Jy
![Exited script file: muppet]
wmap "J0256-2137_S_1997_08_27_yyk\_map.fits"
! Inverting map
! restore: Substituting estimate of restoring beam from last 'invert'.
! Restoring with beam: 3.405 x 8.486 at -5.401 degrees (North through East)
! Clean map min=-0.0030374 max=0.20443 Jy/beam
! Writing clean map to FITS file: J0256-2137_S_1997_08_27_yyk_map.fits
float peak_flux
peak_flux = peak(flux,max)
print "The peak flux is",peak_flux
! The peak flux is 0.204429
invert
! Inverting map
float image_rms
image_rms = imstat(rms)
print "The final image rms is",image_rms
! The final image rms is 0.000596691
device "J0256-2137_S_1997_08_27_yyk\_map.eps/VPS"
! Attempting to open device: 'J0256-2137_S_1997_08_27_yyk_map.eps/VPS'
loglevs 100*3*image_rms/peak_flux
! The new contour levels are:
! -0.875644 0.875644 1.75129 3.50258 7.00516 14.0103 28.0206 56.0412
print "clev=",int(3*image_rms*10000)/10000
! clev= 0.0017
print "peak=",int(peak_flux*1000)/1000
! peak= 0.204
mapcolor none
! Mapplot colormap: none, contrast: 1 brightness: 0.5.
mapplot cln
! restore: Substituting estimate of restoring beam from last 'invert'.
! Restoring with beam: 3.405 x 8.486 at -5.401 degrees (North through East)
! Clean map min=-0.0030374 max=0.20443 Jy/beam
mapcolor color, 0.9
! Mapplot colormap: rainbow, contrast: 0.9 brightness: 0.5.
device "J0256-2137_S_1997_08_27_yyk\_map.gif/gif"
! Attempting to open device: 'J0256-2137_S_1997_08_27_yyk_map.gif/gif'
mapplot cln
quit
! Quitting program
! Log file J0256-2137_S_1997_08_27_yyk_uvs.log closed on Sun Jan 7 15:58:05 2007
|
en
|
converted_docs
|
413577
|
Required Report - public distribution
**Date:** 10/14/2005
**GAIN Report Number:** HU5013
HU5013
**Hungary**
**Exporter Guide**
**Annual**
**2005**
**Approved by:**
Sarah Hanson
U.S. Embassy
**Prepared by:**
Dr. Ferenc Nemes
**Report Highlights:**
Hungary is a middle-income country with a developed and export-oriented
food-processing sector. Hungary's GDP growth rose from about 3 percent
in 2003 to roughly 4 percent in 2004. Hungary's accession to the EU in
May 2004 began a new chapter for the country's food trade. Import
tariffs for major U.S. products exported to Hungary decreased, and the
administrative process for distributing products became simpler. The
Hungarian food distribution system has changed drastically in the past
six years with hypermarkets and shopping centers developing quickly.
Hungarian consumers are becoming more quality conscious, and market
segmentation is creating new opportunities for high quality U.S. foods
and beverages. Tourism is a leading industry, and hotels and restaurants
are demanding higher quality foods.
Includes PSD Changes: No
Includes Trade Matrix: No
Unscheduled Report
Vienna \[AU1\]
\[HU\]
**I. MARKET OVERVIEW**
Hungary is a middle-income country with a developed and export-oriented
food-processing sector. Hungary's GDP growth rose from about 3 percent
in 2003 to roughly 4 percent in 2004, spurred by increased investments
in areas such as machinery and construction. While Hungary can still be
regarded as a preferred destination for foreign investments and is a
competitive location for regional service operations, it has fallen
behind Poland and Czech Republic in attractiveness, according to the
OECD. After a marked rise in costs (real wages jumped approximately 12%
in 2002), wage increase slowed down in 2003, coupled with an increase in
productivity. At the same time, Hungary's currency, the forint, has
appreciated significantly since 2001 (approximately 10% against the euro
and 30% against the US dollar, even after the devaluation in June 2003),
which has led to sagging export performance due to manufacturing
relocating to lower cost countries. The state budget deficit grew to 6.4
percent of the GDP in the last two years. The poor budget performance
resulted in limited capability to finance Government of Hungary (GOH)
and EU programs, including agricultural programs. The rate of inflation
was 6.8 percent in 2004.
Since 1990, wave upon wave of foreign companies have come into Hungary
and invested more than \$25 billion in production and service facilities
throughout the country. In the case of U.S. investors, "Fortune 500"
companies like General Electric, Alcoa, IBM, Ford, Dow, Citibank, Ernst
& Young, AES, Coca-Cola, Pepsi-Cola, Proctor & Gamble, Sara Lee, first
arrived in the early 90's. In the late 90's and the new millennium, the
second wave of companies coming to Hungary included subcontractors to
the "Fortune 500." A third wave of suppliers to the subcontractors has
been making its way to Hungary selling products through agents and
distributors. Due to Hungary's geographic location in the center of
Europe, all three waves of companies are looking to do business not only
with Hungary, but also with the rest of the European Union and the
"frontier markets" of Eastern Europe (e.g. Romania, Ukraine and former
Yugoslavia).
The agri-food sector has a slowly declining but fundamental role in the
national economy and in the trade balance. Agricultural output amounted
to 3.0% of GDP and 6.50% percent of total exports in 2003. Agricultural
trade accounted for \$32 billion in exports and \$1.7 billion in imports
in 2003. More than 60 percent of Hungary's agri-food exports went to the
OECD countries; the share going to EU countries was 45 percent. Imports
of bulk agricultural products and intermediary goods (such as protein
meals, coffee, cocoa and spices, meat, livestock genetics, fruit and
nuts) make up to 80 percent of total agricultural imports. Processed
foods and beverages account for about 20 percent of the total, and these
are imported mainly from the countries of the EU.
The agricultural sector has many traditional ties to the United States,
especially in the area of genetics. Some consumer-oriented products also
come from the United States. Purchases of U.S. agricultural and food
items accounted for \$58 million in 2003. Hungarian sales to the United
States were \$33 million in the same period.
**Consumer Food Market**
Food consumption dropped considerably after the political and economic
changes of the late 1980s. The main reasons for the decline were a
decrease in real income and high inflation. However, consumption began
to rebound in 1997/1998 as macroeconomic conditions improved and
inflation cooled.
The gap between the rich and poor in Hungary is widening, and the less
fortunate tend not to shop at large commercial retailers. Also, in
response to high taxes, the black market has taken on an increasing role
in supplying food to lower income families, and subsistence farming and
unregistered farm food sales are on the rise. At the same time,
disposable income for the top strata of society has expanded rapidly and
these consumers are adopting consumption patterns similar those found in
wealthy western European countries.
The last few years have seen interesting changes in consumer
preferences. For example, pork consumption has decreased from 39 kg in
1990 to 28.5 kg at present, but consumption of cheaper meat cuts and low
priced frankfurters has increased. Similarly, demand for poultry has
increased in recent years and currently exceeds pork. Turkey and frozen
oven- ready poultry products have seen the most growth.
Demand for fish and seafood is low in (landlocked) Hungary and stands at
3 kilogram per capita annually. Demand for frozen fish, particularly
breaded products and more expensive restaurant cuts, is on the rise.
Although total consumption of milk products declined in recent years,
sales of yogurt and innovative convenience products have reversed this
trend and consumption now stands at 163.7 kg per capita annually.
Cereal consumption has dropped in recent years except for rice, where a
widening array of brands and products has stimulated consumer interest.
There has been an increase in the consumption of fresh and preserved
vegetables, although sales of these items appear to be highly price
sensitive. Given current consumption trends, canned products will
probably gradually lose market share to frozen foods in the coming year.
At present, there is a small but growing market for health foods. The
emerging Hungarian middle-class is adopting Western attitudes towards
health and well-being, including those towards food. This trend is
particularly evident in the sale and marketing of breakfast cereals and
snacks. Natural products such as granola bars, dried fruits and fruit
mixtures, soybean and wheat-based meat substitutes are also increasingly
popular. Demand for vitamin enhanced products, as well as those for
diabetics (sugar free chocolate bars, light soft drinks, etc.) are
growing.
Currently, food and beverages account for about 29 percent of household
expenditures. The percentage of income spent on food has been decreasing
and is trending toward Western levels. Hungary's population (currently
about 10 million) is gradually decreasing, and the population is aging.
Because of this, there is growing demand for high value specialty
products, convenience foods, and pet food. According to a 2004 survey,
food consumption outside the home accounts for 13 percent of total food
expenditures. This is 8 percent increase over the 2003 year level.
Ninety percent of Hungarian households have a refrigerator with a
freezer compartment. However, because freezing capacity in an average
household is still limited, the unit size of retail frozen food packages
is smaller than in the United States. According to trade estimates, 65
of every hundred households have a microwave oven. In cities this figure
is much higher and increasing rapidly.
----------------------------------- -----------------------------------
Advantages Challenges
After a period of decline there is Domestic food processing is very
room to increase consumption competitive
Western consumption patterns are Competition from European
emerging commodities is increasing with EU
membership
There is growth potential in the Slow increase in real incomes
development of retail sector,
especially in suburban and rural
areas
There are unexplored commodity Appreciation of the national
areas currency (Hungarian Forint)
Consumers still find imported Food safety issues (Hormone beef,
products novel and interesting and biotech)
associate imports with high quality
goods
Domestic industry needs certain Many traders are inexperienced in
ingredients doing business with overseas
companies
Purchases by tourists and transit High transport costs
shoppers are large and growing
EU membership facilitates the entry Multinational retail chains
of new and small volume imports of participate in the increasing trade
U.S. products through other of member countries' processed food
countries' distributors
High number of experienced, Relatively small delivery volumes
multinational retailers
Innovative products and packaging Hungarian consumers are unfamiliar
are appreciated with the value of many U.S.
products
Importers are open to new products Tourism and consumption of tourists
and technologies and have been was weak in the last two years
eager to participate in U.S.
sponsored events (e.g. the Cochran
Fellowship Program and visits to
trade U.S. food shows)
----------------------------------- -----------------------------------
**II. EXPORTER BUSINESS TIPS**
Local Business Customs
The food and beverage wholesale trade is more concentrated than the
retail sector. Eleven 'purchasing partnerships', run by retailers,
handle about 70 percent of total turnover. These purchasing companies
are able to influence the price of domestic and imported foods and
charge different fees to domestic and foreign suppliers. Fees include a
"listing fee" to introduce a new product into the retailer's inventory,
slotting fees to keep a product on the store shelf, and "marketing and
shop network development contributions." Care must be taken to guard
against excessive fees.
Retailers, including the multinational chains, mainly import through
domestic foreign trading companies and wholesalers. U.S. traders
interested in selling in Hungary should offer their products to the
'purchasing partnerships' that serve the big retailers, to the
nation-wide network importer/distributors, or to "independent"
importers. U.S. companies may even consider establishing their own
import company to handle the distribution of their product.
The Hungarian wholesale market is also very price sensitive, and
Hungarian importers will expect American traders to bring samples and
quote prices in the early stages of negotiation.
With EU membership, the entrance of U.S. products to Hungary through
European importers/distributors became easier. See a list of importers
of US products in Europe at the following website:
[www.american-foods.org](http://www.american-foods.org/).
General Consumer Tastes and Preferences
Consumption patterns appear to be dependent on income rather than price.
Major factors in upper income purchasing decisions are quality,
packaging, and brand recognition. To date, foreign suppliers seem to
have been better able to capture this market segment than domestic
suppliers. Because of income stratification, demand for cheap foodstuffs
and expensive luxury items have increased while sales of medium priced
products has declined.
New products are appearing in many categories and packaging designs are
revised frequently. One negative aspect of this trend is that some
popular and affordable products have disappeared and plastic containers
have replaced the environmentally friendlier reusable glass bottles.
In the Hungarian food market, brands have secondary importance.
Consumers do not make a distinction between brand name, company name,
and product name. Brand recognition and brand loyalty have a different
meaning for the average Hungarian customer than they do in more mature
western markets. Sellers cannot rely on brand power for sales and price
premiums to the same extent as in other European countries. Many
consumers mistrust new products, names and packages, especially if their
appearance comes with a price increase. There is also a small movement
against branded, well‑advertised, \"foreign\" products. Conversely,
Hungarian customers buy some branded products primarily for prestige
(e.g., high-end U.S. bourbon or whisky).
Food Standards and Regulations
Until the middle of 2002, all food products, excluding fresh products,
had to be registered and approved by the Hungarian food-testing
institute - OETI. The process was slow and costly, but the testing had
to be completed before the product was allowed on the market.
In July 2002, the GOH terminated the import products registration
system. This created an opportunity for Hungarian traders to respond
faster to good prices or seasonal purchase offers. The required export
administration, quality responsibilities of the Hungarian importer and
the foreign vendor are outlined in the 43/2002 Order of the Minister of
Agriculture, Minister of Health and the Minister of Economy.
The only group of commodities where the mandated registration has been
prolonged is the nutrition supplements for sports, slimming diets, and
other "functional foods".
See the regulations for the entire EU at
<http://www.useu.be/agri/fairs.html> (Food and Agricultural Import
Regulations and Standards).
Labeling
Labeling must be in Hungarian. In instances where retail packages are
imported with labels written in English, the government requires that
Hungarian-language label stickers be added. Labels should include the
following information:
Name of product
Ingredients
Shelf life
Name and address of importer or distributor
OETI number
Tariffs and Tariff Rate Quotas (TRQs)
Hungary used its own tariff system until May 1, 2004. After EU
accession, the EU's common external tariffs are applied. In general,
tariffs for many US agricultural products exported to Hungary decreased.
(See Gain Report HU3002 for a detailed analysis of the effects of tariff
changes for US exports and Gain Report EU4040). You may look for the
actual EU import tariff of individual commodities at the following
website:
<http://europa.eu.int/comm/taxation_customs/dds/cgi-bin/tarchap?Lang=EN>
Taxes
Value added taxes (VAT - also called the 'general turnover tax' in
Hungary) are also charged. The VAT is essentially a tax on consumption
and the normal rate is 25 percent, with a reduced rate of 12 percent
applying to most food and agricultural products. In addition to the VAT,
a consumption tax is levied on certain goods (coffee, some kinds of
wine, jewelry etc.). Excise taxes are also levied on alcohol and tobacco
products. Imports are subject to VAT, with the taxable base calculated
as the sum of the customs value, plus customs duties, fees, and
consumption tax.
III\. MARKET SECTOR STRUCTURE AND TRENDS
Market opportunities in:
a\. Food retail sector
Food retail sales were \$10.1 billion in 2003 and grew to \$12.1 billion
in 2004 (2.8 percent increase at comparable prices).
Concentration in the grocery trade has increased over the last few
years. By 2004, more than 55 percent of the turnover was attributable to
the five biggest companies. Some of the famous retailer chains were
forced to sell their shops and move out of Hungary such as Julius Meinl
and Billa. The total number of food dominated shops decreased (from
35,963 in 2003 to 34,802 in 2004). The number of new hypermarkets is
still growing, although at a smaller rate than in the previous years.
Shops in the small-medium segment (200-400 sq. meter) managed to
stabilize their share in the total turnover. The number of small (under
200 sq. meter) shops dropped the most.
Share of the different types of shops based on turnover of
daily-consumed items (food, beverages, and household chemicals)
----------------------- ----------------------- -----------------------
Type of Shop 2003 2004
\% \%
Hypermarket 21 26
Supermarket 14 15
Large Discount 15 14
C+C 4 4
Convenience Shops 35 33
Market and Street 5 4
Kiosks
Other 6 6
----------------------- ----------------------- -----------------------
Hypermarkets bigger than 10,000 square meters include Cora, Tesco,
Interspar and Auchan, while cash and carry shops (5,000-10,000 square
meters) include Metro, Interfruct C+C and Alfa. Supermarket chains such
as Spar, Match, and CBA are well known in the capital area and in bigger
cities. Their size is typically 1,000-3,500 square meters. Discount food
stores (401-1,000 square meters) are the backbone of the everyday food
shopping (Profi, Penny-Market, Plus, Real)
A traditional consumer cooperative chain, COOP, still has the most shops
in the 200-400 and the 400-1,000 square meters size categories. However,
the 40-400 square meters size shops have been the biggest losers as the
sector consolidates - their share of total turnover has decreased from
22 percent to 13.4 percent during the last four years.
While the number of small convenience shops is relatively stable,
turnover is high. About one third of them close annually and are
replaced by newly opened shops. The position of small shops that are a
member of a purchasing alliance or a franchise system is growing
stronger. In 2002, the share of sales by independent shops out of total
turnover decreased from 25 to 21 percent, while the sales by chain
members increased their share from 10 to 14 percent, according to Gfk
Market Research firm.
Hungary's joining to the EU gave an impetus to the food imports.
Estimates of GfK Hungaria, a reputed market research firm, indicate an
increase of the share of imported goods in the total grocery retail
trade from 10 to 20 percent. The growth of foreign products in shops was
particularly high at dairy products, fresh fruit and vegetable, beer,
juices and sweets. The biggest volume import items are the same:
tropical and out season fruit, roasted coffee, canned fruits and
vegetable, fruit juice, beer and tobacco products.
The competition intensified not only at the shelves of shops but between
producers as well. Hungarian food processors increased the use of raw
materials from imports. Multinational companies revised the allocation
of their processing capacities in the expanded EU. Some of the strong
Hungarian brands are now produced in other EU countries and the product
is "re-exported" to Hungary.
Specialty shops, many of them at recently opened shopping malls, may
provide good business opportunities for imported foodstuffs. Nearly
thirty large shopping centers have been built in Budapest and other
cities in Hungary in the last three years. Supermarkets (typically
2,000-3,500 square meters in size) are an important part of each new
shopping mall.
Gift shops and sweets shops also sell a variety of foreign wine and
spirits, fancy dry fruits and nuts, and sweets. Gift baskets of food are
also commonly for sale in bigger food stores, particularly around
Christmas and Easter. Fancy food and spice shops, specialty beverage
shops, pet shops, etc. are also important distribution channels of
imported commodities.
Most of the more than 900 gas stations in Hungary are also convenience
stores. The size of these convenience shops varies from 200 to 1,300
square feet. According to a recent survey, 35-45 percent of shop sales
are food and beverage items. Most of Hungary's ten major gas station
companies run the shops themselves. Shell Hungary, however, has run its
"Select" stores under a franchise partnership with CBA, a major domestic
grocery chain, for many years.
There are about 150 companies in Hungary that sell their products over
the Internet and a few market leaders take 80% of the sales value.
According to a 2004 GKI - Westel - Sun Microsystems Hungary survey,
Internet sales revenues were forecasted about \$44.6 million in 2004.
This is a 247 percent increase over 2000. Reasons of the increase of the
last two years may be attributed to the technical development at the
Internet access of households, and a GOH supported home computer sales
program ("School-Net" Express program). The most common goods sold
online are books, music, electronics and gifts. There are several
grocery companies in bigger cities running e-commerce web sites for home
delivery of food and grocery items. The majority of non-food B2C
companies use the Hungarian Postal Service to deliver their goods; food
retailers use their contractors or have their own car fleet. In most
cases, payment is collected upon delivery.
b\. Hotel-Restaurant-Food Service
Catering sales were \$2.79 billion in 2004, representing an increase of
3.4% at comparable prices over the previous year. The Hungarian consumer
foodservice market is very fragmented and independent players were
dominant in most sectors. The biggest growth rate within the HRI sector
is in fast food. The significance of chained operators is also highest
in the fast food sector, where about 28 percent of the outlets are part
of a chain. Several well known companies have franchise networks in
Hungary, including McDonalds, Pizza Hut, Kentucky Fried Chicken, and
Subway.
Foreign and "theme" restaurants offering ethnic food and beverages also
appear to be growing faster than the restaurant sector in general. These
restaurants use and sell imported ingredients and niche products, making
them a good place to advertise new products and to educate consumers
about new foods.
Upper-tier hotels can also be good partners for U.S. exporters. Not only
as hosts for promotional events but also as buyers of premium
ingredients and beverages. Most hotel shops sell American products and
hotel and catering trade opportunities are under-utilized. Hotels and
restaurants mainly buy imported products from local distributors, but
their managers and chefs are good sources of information about customer
preferences and quality and price expectations.
c\. The Food Processing sector
Hungary\'s food processing sector is the most modern in Eastern Europe,
and its export revenues are vital to the country\'s trade balance.
Western companies have invested in privatized companies active in
distilling, sugar production, soft drinks, vegetable oil processing,
confectionary products, pet food, snacks, and tobacco. These processors
have received a good deal of foreign investment, have integrated
themselves into a Western-style market system, and are becoming more
concentrated in their ownership structure. In other industries,
privatization took place more slowly and investors have typically
established small‑ to mid‑sized joint ventures with domestic majority
ownership. Examples of this model include investment in the milling,
baking, pasta, and poultry industries.
Within most parts of the food-processing sector, the increase in the
number of companies and new production facilities, in tandem with the
decline of domestic consumption, initially led to excess production
capacity (sometimes over 30 percent above demand). Over capacity in turn
increased the pressure to export. In 2004, 22.1 percent of food industry
output was exported, but the export orientation is much higher for
individual sub-sectors such as canning, meat, poultry, and dairy
industry. Products at least partially produced by foreign‑owned
companies' account for almost two thirds of Hungary\'s exports.
The total food /beverages sector production is 120 % of domestic demand,
indicating a strong [export orientation]{.underline}. The following
table reflects that the share of imports in the supply of processed food
([import penetration]{.underline}) is relative low. Imports are
significant for sweets, confectionary and dairy products (need for a
wide variety products in these sectors), and fruits/vegetable (need for
out season products).
----------------------- ----------------------- -----------------------
Food Processing Export Orientation Import Penetration
Industry Sub-Sector
Meat Industry 33.3 % 5.4 %
Dairy 15.3 % 6.2 %
Poultry Processing 42.9 % 0.9 %
Fruit and Vegetable 52.0 % 12.4 %
Processing
Brewing 0.7 % 3.0 %
Soft Drinks 8.2 % 2.5 %
Tobacco Industry Negligible 2.0 %
Sweets and 17.2 % 22.8 %
Confectionary
Wine 62.0 % 2.7 %
Feed Milling 23 % 52.0 %
Flour Milling 13.5 % 1.5 %
----------------------- ----------------------- -----------------------
For many sub-sectors, the consumer oriented product imports are not
high, but raw material imports may be considerable. Soybean and fishmeal
import (Feed milling), almonds and raisins import (Sweets and
Confectionary), pork and tobacco all fall into this category.
The number of food processing firms, employing more than 20 people, was
902 in 2003 (declining). Bigger companies, employing more than 200,
account for 83 percent of total sector output.
The food processing industry purchases most of its raw materials from
domestic sources, but imports of out season or unavailable agricultural
ingredients, non‑food additives, and packaging materials and
technologies, are vital.
Export sales opportunities for U.S. suppliers have occasionally occurred
in recent years because of temporary shortages on the domestic market
(meat) or the limited availability of a given commodity or quality grade
in Hungary (fruit juice concentrate, rice, tobacco, peanuts, fish,
raisins, tree nuts, dried fruit, etc.)
IV\. BEST HIGH-VALUE PRODUCT PROSPECTS
+-----------+-------+-------+------+--------+-----------+-----------+
| Product | 2003 | 2003 | 5 | Import | Key | Market |
| Category | M | Im | -Yr. | Tariff | C | Attra |
| | arket | ports | Avg. | Rate | onstrains | ctiveness |
| | Size | | An | | Over | for USA |
| | | | nual | | Market | |
| | | | Im | | De | |
| | | | port | | velopment | |
| | | | Gr | | | |
| | | | owth | | | |
+-----------+-------+-------+------+--------+-----------+-----------+
| # Raisins | 2.54 | 2.54 | 2.4% | 2.4% | Co | Developed |
| | (,000 | (,000 | | | mpetition | sweets, |
| | MT) | MT) | | | from | conf |
| | | | | | cheaper | ectionary |
| | | | | | suppliers | and |
| | | | | | from Iran | bakery |
| | | | | | and | in |
| | | | | | Turkey | dustries. |
+-----------+-------+-------+------+--------+-----------+-----------+
| Dried | 2.76 | 1.00 | 17% | 9.6% | Co | Co |
| Fruits | (,000 | (,000 | | | mpetition | nsumption |
| | MT) | MT) | | | from | is |
| | | | | | cheaper | growing. |
| | | | | | suppliers | Good |
| | | | | | from Asia | quality |
| | | | | | | of |
| | | | | | | C |
| | | | | | | alifornia |
| | | | | | | prunes is |
| | | | | | | r |
| | | | | | | ecognized |
| | | | | | | by |
| | | | | | | consumers |
+-----------+-------+-------+------+--------+-----------+-----------+
| Rice | 58.24 | 41.70 | Sta | 63% | Protected | |
| | | (,000 | bile | | EU | |
| | (,000 | MT) | at | | co | |
| | | | this | | mpetitors | |
| | MT) | | l | | and cheap | |
| | | | evel | | Asian | |
| | | | | | suppliers | |
+-----------+-------+-------+------+--------+-----------+-----------+
| Seafood | 8.71 | 8.71 | 2.9% | 2% | Per | |
| | (,000 | (,000 | | | capita | |
| | MT) | MT) | | | co | |
| | | | | | nsumption | |
| | | | | | is still | |
| | | | | | low. | |
| | | | | | Consumers | |
| | | | | | do not | |
| | | | | | know | |
| | | | | | quality | |
| | | | | | di | |
| | | | | | fferences | |
+-----------+-------+-------+------+--------+-----------+-----------+
| Distilled | 14.80 | 1.92 | 5% | Free | | Import |
| Liquors | mi | mi | | | | tariffs |
| | llion | llion | | | | decreased |
| | liter | liter | | | | with EU |
| | (abs | (abs | | | | a |
| | .alc) | .alc) | | | | ccession. |
| | | | | | | Bourbon |
| | | | | | | whiskey |
| | | | | | | is a |
| | | | | | | trendy |
| | | | | | | brand |
+-----------+-------+-------+------+--------+-----------+-----------+
| Wine | 202 | 6.32 | 8% | 11% | High | Wine |
| | mi | mi | | | tariff | co |
| | llion | llion | | (62.9% | until May | nsumption |
| | liter | liter | | before | 2004 | is |
| | | | | EU | hampered | tr |
| | | | | acce | the | aditional |
| | | | | ssion) | int | and HRI |
| | | | | | roduction | needs |
| | | | | | of US | high |
| | | | | | wines | quality |
| | | | | | | wine |
+-----------+-------+-------+------+--------+-----------+-----------+
| Spices & | 37.23 | 4.85 | 22% | 9% | | Hyp |
| C | | | | | | ermarkets |
| ondiments | (,000 | (,000 | | | | and |
| | MT) | MT) | | | | American |
| | | | | | | re |
| | | | | | | staurants |
| | | | | | | introduce |
| | | | | | | new |
| | | | | | | cuisine |
| | | | | | | and |
| | | | | | | spices |
+-----------+-------+-------+------+--------+-----------+-----------+
| Fruit | 1 | 32.39 | 5% | 12% | Hungary | |
| Juice | 37.46 | (,000 | | | is a | |
| Con | (,000 | MT) | | | major | |
| centrates | MT) | | | | producer | |
| | | | | | of | |
| | | | | | temperate | |
| | | | | | fruit | |
| | | | | | juices | |
+-----------+-------+-------+------+--------+-----------+-----------+
| Almonds | 1.66 | 1.00 | 7% | 3.5% | | C |
| | (,000 | (,000 | | | | alifornia |
| | MT) | MT) | | | | almonds |
| | | | | | | is a |
| | | | | | | market |
| | | | | | | leader in |
| | | | | | | the |
| | | | | | | quality |
| | | | | | | segment |
+-----------+-------+-------+------+--------+-----------+-----------+
| Pet Food | 80.14 | 29.03 | Sta | 3.8% | EU | H |
| | (,000 | (,000 | bile | | V | ungarians |
| | MT) | MT) | at | | eterinary | keep a |
| | | | this | | re | lot of |
| | | | l | | gulations | pets, and |
| | | | evel | | may limit | petfood |
| | | | | | imports | sales |
| | | | | | | increase |
| | | | | | | rapidly |
+-----------+-------+-------+------+--------+-----------+-----------+
V. KEY CONTACTS AND FURTHER INFORMATION
[Ministry of Agriculture and Regional Development]{.underline}
H-1055 Budapest
Kossuth Lajos ter 11.
Web Address:
International Affairs
Ms. Mariann Kovacs, Head of Department
Tel: 361 301-4661
Fax: 361 301-4662
Veterinary and Food Hygiene
Dr. Miklos Suth, Head of Department
Tel: 361 332-7986
Fax: 361 301-4669
[National Institute for Food and Nutrition (OETI)]{.underline}
H-1476 Budapest
Gyali ut 3/A. POB 52
Tel: 361 215-4130
Fax: 361 215-1545
[American Chamber of Commerce in Hungary]{.underline}
H-1052 Budapest
Deak Ferenc u. 10.
Mr. Peter Fath, Executive Director
Tel: 361 266-9880
Fax: 361 266-9888
E-mail:
Web Address:
[National Association of Food Processors]{.underline}
H-1012 Budapest
Kuny Domokos u. 13-15.
Mr. Laszlo Piros, General Secretary
Tel: 361 375-4721
Fax: 361 355-5057
E-mail: <[email protected]>
Web Address: [www.efosz.hu](http://www.efosz.hu/)
[Hungarian Franchise Association]{.underline}
H-1024 Budapest
Margit krt. 15-17. IV./3.
Dr. Istvan Kiss, General Secretary
Tel: 361 212-4124
Fax: 361 212-5712
E-mail: <[email protected]>
Web Address: [www.franchise.hu](http://www.franchise.hu/)
[U.S. Embassy, Office of Agricultural Affairs]{.underline}
Dr. Ferenc Nemes
Agricultural Specialist, Foreign Agricultural Service
Bank Center Building
Szabadsag Ter 7
H-1054-Budapest Hungary
Tel: 36-1-475-4162
Fax: 36-1-475-4676
E-Mail: <[email protected]>
Web Address: [www.fas.usda.gov](http://www.fas.usda.gov/)
and <http://www.usembassy.at/en/usda/index.html>
Hungary
---------------------------------------------------- ------ -----------
TABLE A: KEY TRADE & DEMOGRAPHIC INFORMATION YEAR VALUE
Agricultural Imports From All Countries (\$Mil)/U.S. 2004 2,068 / 4%
Market Share (%)
Consumer Food Imports From All Countries 2004 1,129/ 2%
(\$Mil)/U.S. Market Share (%)
Edible Fishery Imports From All Countries 2004 35 / 1%
(\$Mil)/U.S. Market Share (%)
Total Population (Millions)/Annual Growth Rate (%) 2004 10 / -3.5%
Urban Population (Millions)/Annual Growth Rate (%) 2004 5.7 /-1.1%
Number of Major Metropolitan Areas 2004 1
Size of the Middle Class (Millions)/Growth Rate (%) N/a N/a
Per Capita Gross Domestic Product (U.S. Dollars) 2004 \$9,854
Unemployment Rate (%) 2004 7.6%
Per Capita Food Expenditures (incl. 2003 \$917
beverages/tobacco)(U.S. Dollars)
Percent of Female Population Employed 2003 46.9%
Exchange Rate (US\$1 = HUF) 2004 203
---------------------------------------------------- ------ -----------
|
en
|
all-txt-docs
|
237900
|
Benson's memoir. IIJ
the carpet to her piano. We are improved in manners true, and so far to our credit; but is there more of order among us, each one knowing his place ? more of deference to superiors; and superiors more regardful of station ? more of love of country, and less of profession of it 1 more of courage, and less vaunt of it ? more of the spirit of freemen, and so more of disdain of unworthy submission to the will of another f more solicitous for estimation, and so more so* lieitous to merit it ? more of truth, its modes, candor, sincerity, fidelity? Inquire of the Nestors who have lived both ages.
To the largest of the Elizabeth Islands, Block gave the name of the Texel, to Nantucket the name of Vlielandt. Extract from the voyage of Hudson as found in De Laet. " They made the land again in 41 deg. 43 minutes of north latitude, and supposed it to be an island, and gave it the name of Nieuwe Hollandt, New Holland, but afterwards found it was Cape Cod." The Dutch notwithstanding afterwards distinguished it as Staaten Hoeck, State's Point; and also by its French name, Cape Blanc, translated Witte Hoeck, White Point. ,
The Dutch name for our city was Nieuwe Amsterdam; to the tract, the plantations on the North rivef for about four miles, they gave the name of Bloemen'd Dal, syllable for syllable, Blooming Dale. There were two other seats on the island, probably not far distant from the town, and distinguished as Dats DalesVreden-dal, Peace-dale, the property of. Dr. De La Montagne, and Zegen-dal, Blessing-dale, the proprietor not mentioned; hence the conjecture not remote, that Bloemen'd Dal, however at first the name of an individual seat, soon served to denote the whole neighborhood of farms there, collectively.
The creek, the water between the north end of the island and the West-Chester shore, they called Spyt den Duyvel Kill, literally, in spite of the Devil Creek} a ford there before Kingsbridge built, and the spot distinguished as the Fonteyn, the Springs.
The northern chop of the entrance, from the Bay into the Kills, retains its Dutch name Konstabel's Hoeck, Con-stable's Hook; its Indian, Nipnichsen. Communipa, is InT dian; Paulus Hoeck, a person by the name of Paulus Schrick, and of note in the colony, described in a very early grant for lands in this city, as of the " Town of Bergen, in New Jersey;" Pavonia, a name given by the Dutch to the ground, the front or shore of it on the river still passing
|
en
|
all-txt-docs
|
374882
|
*Pages 1--3 from Microsoft Word - 20483.doc*
Federal Communications Commission DA 02- 1953
Before the Federal Communications Commission
Washington, D. C. 20554
) In the Matter of )
) Applications for Consent to the Transfer of ) MB Docket No. 02- 70
Control of Licenses from Comcast Corporation ) and AT& T Corp., Transferors, to )
AT& T Comcast Corporation, Transferee )
ORDER RULING ON JOINT OBJECTIONS
Adopted: August 7, 2002 Released: August 8, 2002
By the Chief, Media Bureau:
1. On March 28, 2002, the Commission adopted a protective order that applies to any confidential information provided by Comcast Corporation and AT& T Corp. ( the Applicants) in
connection with the above- captioned applications. 1 In the Protective Order, the Commission limited disclosure of confidential information to Outside Counsel of Record and In- House Counsel who are
actively engaged in the conduct of this proceeding, provided that, such counsel are not involved in competitive decision- making, i. e., In- House Counsels activities, association, and relationship with a
client are not such as to involve such counsels advice and participation in any or all of the clients business decisions made in light of similar or corresponding information about a competitor. 2
2. On July 18, 2002, the Applicants filed a joint objection to the disclosure of confidential information to John P. Frantz, in- house counsel of Verizon Telephone Companies and Verizon Internet
Solutions d/ b/ a Verizon. net ( Verizon). 3 Mr. Frantz holds the position of Vice President and Counselor to the General Counsel of Verizon, and on July 12, 2002, executed an Acknowledgment of
Confidentiality, seeking to review the confidential documents submitted herein by the Applicants. In their Joint Objection, the Applicants argue that Mr. Frantz is a senior level in- house counsel at Verizon
and therefore appears to be involved in competitive decision- making for Verizon. 4 In support of this assertion, the Applicants argue that [ b] ecause business and legal advice are often inextricably
1 In the Matter of Applications for Consent to the Transfer of Control of Licenses from Comcast Corporation and
AT& T Corp., Transferors, to AT& T Comcast Corporation, Transferee, Order Adopting Protective Order, MB Docket No. 02- 70, DA 02- 734 (rel. Med. Bur. March 29, 2002) ( Protective Order).
2 Protective Order at para. 2 (emphasis in original).
3 Joint Objection of Comcast Corporation and AT& T Corp. to Disclosure of Confidential Information ( Joint
Objection).
4 Joint Objection at 2.
1
Federal Communications Commission DA 02- 1953
interwoven, it is a virtual certainty that Mr. Frantz advises or participates in competitive decision- making in his role as Vice President and Counselor to Mr. Barr. 5
3. On July 22, 2002, Verizon filed an opposition to the Joint Objection of the Applicants. 6 In its Opposition, Verizon asserts that Mr. Frantzs duties involve the conduct of litigation and regulatory
proceedings and the provision of legal advice regarding such proceedings, and that he is not involved in any aspect of competitive decision- making at Verizon. 7 Verizon also asserts that Mr. Frantz is one of
thirty- four Verizon attorneys with the title of Vice President, and that he reports directly to one of seven Senior Vice Presidents and Deputy General Counsels, who, in turn, report to Mr. Barr.
4. In support of Verizons assertions, and attached to its Opposition, is a declaration of Mr. Frantz, 8 who states that he is not involved in any business decisions made at Verizon, and that his
responsibilities involve solely litigation and regulatory matters. 9 Mr. Frantz also states that in other cases, he has signed protective orders excluding in- house counsel engaged in competitive decision- making and,
without objection from the other side, reviewed confidential materials. 10 Also attached to Verizons Opposition is a declaration of William P. Barr, 11 Verizons Executive Vice President and General
Counsel, who states that Mr. Frantz is not involved in competitive decision- making at Verizon, nor does he advise me or any other Verizon officer on competitive decisions. 12
5. On July 25, 2002, the Applicants filed a joint response to Verizons Opposition. 13 In their Joint Response, the Applicants argue that the job responsibilities described by Mr. Frantz in his
declaration are remarkably similar to the job duties of other in- house counsel that the Commission previously has barred from reviewing sensitive information. 14 The cases to which Applicants attempt to
5 Id. at 3 (citation omitted). William P. Barr is Verizons General Counsel.
6 Opposition of Verizon Telephone Companies and Verizon Internet Solutions d/ b/ a Verizon. net to Joint Objection
of Comcast Corporation and AT& T Corp. to Disclosure of Confidential Information ( Opposition).
7 Id. at 2.
8 Declaration of John P. Frantz in Response to Joint Objection of Comcast Corporation and AT& T Corp. to
Disclosure of Confidential Information ( Frantz Declaration).
9 Mr. Frantzs declaration also lists his duties, none of which involve competitive decision- making.
10 Frantz Declaration at 2.
11 Declaration of William P. Barr in Response to Joint Objection of Comcast Corporation and AT& T Corp. to
Disclosure of Confidential Information ( Barr Declaration).
12 Barr Declaration at 1.
13 Joint Response of Comcast Corporation and AT& T Corp. to Opposition of Verizon to Joint Objection of Comcast
and AT& T to Disclosure of Confidential Information ( Joint Response).
14 Id. at 4 citing In the Matter of Application of WorldCom, Inc. and MCI Communications Corporation for Transfer
of Control of MCI Communications Corporation to WorldCom, Inc., Order Ruling on Joint Objections, 13 FCC Rcd 13478 (1998) ( WorldCom- MCI); and In the Matter of GTE Corporation, Transferor and Bell Atlantic
2
2
Federal Communications Commission DA 02- 1953
3
analogize are, however, distinguishable. In WorldCom- MCI, we found that two Bell Atlantic attorneys who were excluded from reviewing confidential documents had submitted cursory affidavits which did
not adequately explain their roles as Senior Vice President for the company. 15 Moreover, one of the senior vice presidents was described on the Bell Atlantic web site as being actively involved in
significant and strategic decisions at Bell Atlantic and as playing an important role in the technical development and management of the company. 16 In Bell Atlantic- GTE, Sprint admitted that it relied
upon the advice of two in- house counsels who subsequently were excluded from reviewing confidential documents to inform business strategies or decisions. 17 Neither in- house counsel submitted a
declaration prior to the Commissions Order to support their request for access.
6. In this case, the Applicants Joint Response provides no evidence that Mr. Frantz is involved in competitive decision- making at Verizon, i. e., that his responsibilities are such as to involve
such counsels advice and participation in any or all of the clients business decisions. 18 In fact, the record contains no evidence to rebut the declarations of Messrs. Frantz and Barr that Mr. Frantz is not
involved in competitive decision- making at Verizon. Therefore, in the absence of any countervailing information, we find that Mr. Frantz is eligible, pursuant to the Protective Order, to review confidential
information submitted by Comcast Corporation and AT& T Corp. in this matter.
7. Accordingly, IT IS ORDERED that, pursuant to sections 4( i), 4( j), 309, and 310 of the Communications Act, as amended, 47 U. S. C. 154( i), 154( j), 309, and 310, the Joint Objection of
Comcast Corporation and AT& T Corp. to Disclosure of Confidential Information, filed herein on July 18, 2002, IS DENIED.
FEDERAL COMMUNICATIONS COMMISSION
W. Kenneth Ferree Chief
Media Bureau
Corporation, Transferee for Consent to Transfer of Control, Order Ruling on Joint Objections, 14 FCC Rcd 3364 (1999) ( Bell Atlantic- GTE).
15 WorldCom- MCI, 13 FCC Rcd at 13479 2.
16 WorldCom- MCI, 13 FCC Rcd at 13479 n. 5. This language was removed from the Bell Atlantic website after it
was cited to the Commission by WorldCom and MCI.
17 Bell Atlantic- GTE, 14 FCC Rcd at 3365 2.
18 Protective Order at para. 2 (emphasis added). See also Matsushita Elec. Indus. Co. v. United States, 929 F. 2d
1577, 1579 (Fed. Cir. 1991).
3
|
en
|
converted_docs
|
280690
|
STATEMENT
Of
D. David Dershaw, M. D.
On Behalf of the Society for Breast Imaging
To the
Senate Committee on Health, Education, Labor and Pensions
RE: Mammography Quality Standards Act Reauthorization
April 8, 2003
Good Morning . My name is David Dershaw. I am Professor of Radiology at
Cornell University Medical College and the director of breast imaging at
Memorial Sloan-Kettering Cancer Center in New York City. I am also the
incoming president of the Society of Breast Imaging, the subspecialty
professional organization of radiologists who do mammography, and I am
testifying on the Society's behalf.
Thank you, Mr. Chairman, for inviting me to testify regarding the
reauthorization of the Mammography Quality Standards Act of 1992. It is
my belief that MQSA has played a significant role in improving the
quality of mammography. This program needs to be reauthorized so that
women can continue to benefit from high quality mammography.
Since enactment of the Mammography Quality Assurance Standards Act
(MQSA) in 1992, women in the U.S. have gained confidence in the
providers of their mammograms through the knowledge that mammography
facilities were being certified in accordance with federal standards. A
continuing decline in breast cancer death rates (almost 1/3 reduction
for invasive cancers in the 1990\'s) and increasing utilization of
mammography screening services (increased from 27% of eligible women in
the two years before 1987 to 66% in the two years before 1997) are
testaments to the success of the collaboration of radiologists,
mammography facility operators, and government regulators. This
consortium was carefully designed into the law. The improved quality of
mammography services has undoubtedly saved many lives and diminished the
anxiety of women in the United States about the quality of their
screening studies. The continued force of MQSA in maintaining this high
level of service is essential. On behalf of the Society of Breast
Imaging I again urge the reenactment of this legislation.
MAMMOGRAPHY INTERPRETIVE SKILLS ASSESMENT
Currently, MQSA requires that physicians interpreting mammograms
participate in 15 hours of Continuing Medical Education (CME) every
three years. CME is offered in a variety of ways such as attending
meetings and lectures. Although valuable in their content, these
meetings are rarely designed for radiologists to assess their skills.
The American College of Radiology has designed and tested over the past
decade the Mammography Interpretive Skills Assessment (MISA) test.
In 1999, this was made available as an interactive computer-based
CD-ROM. This offers radiologists an opportunity to participate in a
mammography self-assessment examination.
The purpose of the MISA is to provide the radiologist with an assessment
of his or her skills and to identify areas in which additional study or
skills improvement is warranted. This is not a pass/fail test or one
that is intended to certify or judge participants. The emphasis is on
self-help.
By providing the physician with seven or eight hours of CME, depending
on which CD the physician uses, physicians would be encouraged to use
the MISA for both continuing education and self-assessment. This might
be useful as a method of determining skills in addition to the data are
presently derived from the end results assessment required under MQSA
regulation.
While self-assessment testing may be of value, it should also be
recognized that there are no data to indicate that such tests provide
feedback that accurately determines competence. There is also no science
to indicate that such tests result in improvement in the quality of
medical care.
I am certain that the Committee recognizes that in order to achieve the
benefits obtained under MQSA those involved in mammography practice have
added time, effort and expense to the delivery of screening and
diagnostic mammography services because of the need to comply with
MQSA=s regulations. Although the mammography community is appreciative
of the higher standard set for its care than that generally required in
radiology or other areas of medical care, these have also imposed a
burden that has discourage some from offering these services. The
possible advantage of mandated self-evaluation, an additional regulation
that would need to be fulfilled and documented by mammography
facilities, should be weighed against the detrimental impact of
increased regulation of mammography facilities and radiologists
interpreting mammograms. Steps that might further discourage
radiologists to incorporate mammography into their careers may
accelerate the developing crisis in availability of mammography services
Radiologists interpreting mammograms are already in short supply due to
poor reimbursement rates and high litigation. It is my belief that
providing plaintiff lawyers with another potential avenue for litigation
will lead many more radiologists to turn away from mammography, thus
exacerbating the already critical access problem many women face in
receiving timely mammography services. If results of self-assessment
activities were to be subjected to discoverability in litigation cases
against physicians, the Society of Breast Imaging would strongly oppose
the incorporation of such testing into MQSA regulation.
The Committee should also recognize that the greatest threat to the
delivery of quality mammography services in the United States is the
impending shortage of radiologists, technologists and imaging facilities
to provide this service. Inadequate reimbursement persists with payments
for service often less than the cost of performing and interpreting
mammography. The most tenuous financial reimbursement is for
hospital-based services. As this is the site where most women on
Medicare and Medicaid receive their health care, the availability of
mammography to these women is the most threatened by inadequate
reimbursement.
Hospitals are also the sites where most of the training of physicians
and technologists occurs. Poor reimbursement, particularly when compared
to reimbursement levels for other radiology services, has left those
deciding what area of radiology to specialize in with an impression of
mammography as a big money loser. Along with high malpractice exposure
and considerable time and effort required to meet federal (and often
local) regulation, this negative impression works to discourage those in
training from selecting mammography as an area of specialization.
As the Committee considers reenactment of MQSA, I would like to make a
few comments about modifications that might be recommended in current
regulations.
As authorized under the original legislation and recommended by the
National Mammography Assurance Advisory Committee, regulation of
mammography services should be expanded to include stereotactic breast
biopsy and equipment used in needle localization procedures.
Furthermore, the current requirement for CME in digital mammography
beyond the initial training required before using digital mammography on
patients does not improve the quality of practice or contribute need
training to improve patient safety. This requirement is often difficult
to meet and the Committee should recommend that it be discontinued.
Thank you for the opportunity to testify. I would be happy to answer any
questions.
|
en
|
converted_docs
|
160153
|
**STATEMENT OF KATHERINE H. STEVENSON, ACTING ASSISTANT DIRECTOR,
BUSINESS SERVICES, NATIONAL PARK SERVICE, U.S. DEPARTMENT OF THE
INTERIOR, BEFORE THE SENATE SUBCOMMITTEE ON NATIONAL PARKS OF THE
COMMITTEE ON ENERGY AND NATURAL RESOURCES, CONCERNING H.R. 1191, TO
AUTHORIZE THE NATIONAL PARK SERVICE TO PAY FOR SERVICES RENDERED BY
SUBCONTRACTORS UNDER A GENERAL SERVICES ADMINISTRATION INDEFINITE
DELIVER/INDEFINITE QUANTITY CONTRACT ISSUED FOR WORK TO BE COMPLETED AT
THE GRAND CANYON NATIONAL PARK.**
**NOVEMBER 8, 2007**
Mr. Chairman, thank you for the opportunity to present the views of the
Department of the Interior on H.R. 1191, a bill that would authorize the
National Park Service to pay for services rendered by subcontractors
under a General Services Administration Indefinite Deliver Indefinite
Quantity Contract issued for work to be completed at the Grand Canyon
National Park.
The Department appreciates the subcommittee's efforts to address this
situation but opposes H.R. 1191. The Department also testified in
opposition to H.R. 3961, a similar bill, in testimony before the House
Subcommittee on National Parks on March 30, 2006.
H.R. 1191 would authorize payment, through the appropriation of such
funds as are necessary, to subcontractors who completed work under task
orders to Pacific General, Incorporated (PGI) for which PGI was paid,
but subcontractors were not. The work was completed under National Park
Service (NPS) task orders issued against PGI's Indefinite Deliver
Indefinite Quantity (IDIQ) contract with the General Services
Administration.
PGI's default has created a financial burden on the affected firms. The
NPS had a contractual relationship with the prime contractor, PGI. The
NPS does not have a contractual relationship with the subcontractors and
NPS does not have the legal authority to pay subcontractors who
completed work under PGI's IDIQ contract for which PGI failed to render
payment.
H.R. 1191 would authorize the Secretary to pay these subcontractors
under certain conditions. The bill would authorize payment if: 1) the
task orders issued to PGI by NPS have been terminated, 2) the amount
owed to the subcontractors is verified, 3) all reasonable legal avenues
or recourse have been exhausted by the subcontractors to recoup amounts
owed directly from PGI, and 4) the subcontractors provide a written
statement that payment of the amount verified represents payment in full
by the United States for all work performed at the park under PGI task
orders issued by NPS between Fiscal Years 2002 and 2003.
Between Fiscal Years 2002 and 2003, the Grand Canyon National Park
(park) issued approximately 40 task orders to PGI under this IDIQ
contract. Those task orders totaled an estimated \$17 million for
various construction projects throughout the park. Invoices sent to the
park indicated that PGI certified payments were being sent to
subcontractors and suppliers. The NPS paid more than \$10 million to
PGI, of which approximately \$1.4 million, based on our most recent
estimates, was owed, but never paid, to subcontractors. PGI has been
indicted by the U.S. District Attorney's Office in Arizona on 26 counts
of fraud involved with these task orders.
In January 2004, the park began receiving complaints from subcontractors
citing lack of payment by PGI. In February 2004, the NPS suspended
further payment to PGI and issued a suspension notice ordering PGI to
cease activity, followed by termination for default of 17 remaining task
orders. PGI has had every reasonable opportunity to resolve the
situation, but has since ceased doing business.
Following PGI's default, the NPS withheld payment to PGI and began
paying subcontractors directly for work completed on PGI task orders,
valued at \$906,335. Contract law generally prohibits payments directly
to subcontractors because of the lack of a direct, contractual
relationship between the parties. However, in this case, NPS consulted
with the Government Accountability Office (GAO) and with their approval,
began paying subcontractors directly for these claims. NPS has used
approximately 92% of the withheld funds to pay 41 claims of an estimated
total of 76 claims submitted.
The impact of PGI's default was compounded by lapses in the contracting
operations at Grand Canyon National Park. An acquisition management
review conducted by the NPS Washington Contracting and Procurement
Office, determined that the park had failed to obtain payment and
performance bonds from PGI required by the IDIQ contract and the Miller
Act (40 U.S.C. § 3131). To prevent future lapses, we have strengthened
internal controls both at the park and regional level. For example, the
park superintendent is now annually evaluated for management of the
park's contracting program. In addition, the NPS Intermountain Region
will be conducting periodic acquisition management reviews of the Grand
Canyon contracting program.
The Department understands the hardships PGI's default and NPS' actions
have placed upon the involved subcontractors. The payment bonds required
of the contractor under the Miller Act are designed to protect
subcontractors who do not have the recourse of placing a lien on the
property at issue, since liens cannot be placed on government property.
The courts have held that, while the contractor has an obligation to
provide such bonds, the Miller Act places no affirmative obligation on
the federal government to ensure the bonds have been obtained. The
Department recognizes that H.R. 1191 is intended to be an equitable
resolution to a difficult situation. However, it singles out one
situation for relief not available to others under the Miller Act and
would effectively have NPS pay for the same services twice.
Although we are sympathetic about the position of the subcontractors,
the Administration is concerned about the precedent that would be set by
requiring the federal government to assume the liability for the
contractor's default, particularly in a situation where no contractual
relationship exists.
Mr. Chairman, this concludes my prepared remarks. I will be happy to
answer any questions you or other members of the subcommittee might
have.
**STATEMENT OF KATHERINE H. STEVENSON, ACTING ASSISTANT DIRECTOR,
BUSINESS SERVICES, NATIONAL PARK SERVICE, DEPARTMENT OF THE INTERIOR,
BEFORE THE SUBCOMMITTEE ON NATIONAL PARKS OF THE SENATE COMMITTEE ON
ENERGY AND NATURAL RESOURCES, CONCERNING S. 1365 TO AMEND THE OMNIBUS
PARKS AND PUBLIC LANDS MANAGEMENT ACT OF 1996 TO AUTHORIZE THE SECRETARY
OF THE INTERIOR TO ENTER INTO COOPERATIVE AGREEMENTS WITH ANY OF THE
MANAGEMENT PARTNERS OF THE BOSTON HARBOR ISLANDS NATIONAL RECREATION
AREA, AND FOR OTHER PURPOSES.**
**NOVEMBER 8, 2007**
Mr. Chairman, thank you for the opportunity to appear before your
committee to present the views of the Department of the Interior on S.
1365, a bill to amend the Omnibus Parks and Public Lands Management Act
of 1996 to authorize the Secretary of the Interior to enter into
cooperative agreements with any of the management partners of the Boston
Harbor Islands National Recreation Area.
The Department has concerns with the bill as written. The Department is
particularly concerned about the use of cooperative agreements for
construction of park facilities by non-Federal partners using
appropriated funds. We would like to follow up with written comments on
how this bill could be modified to address the needs of the park and its
partners while ensuring the appropriate use of Federal funds.
This bill would change the authorizing legislation for the Boston Harbor
Islands National Recreation Area. Section 1029 of Public Law 104-333
authorized the Secretary to enter into cooperative agreements with the
Commonwealth of Massachusetts or its political subdivisions to implement
the management plan for the national recreation area. The law did not
authorize cooperative agreements with the non-profit organizations,
named within the Act, that administer the Boston Harbor Islands in
partnership with the Secretary through the Boston Harbor Islands
Partnership (Partnership) established in section (e) of the Act. S. 1365
would explicitly permit the Secretary to enter into cooperative
management agreements with the three non-profit organizations named in
section (e)(2) of the Act: the Island Alliance, The Trustees of
Reservations, and the Thompson Island Outward Bound Education Center.
This authority would allow the Secretary to contract with these
non-profit organizations for any goods or services needed in the
administration of the recreation area
Authorized in 1996, the Boston Harbor Islands National Recreation Area
includes 30 islands within Boston Harbor, all located within 10 miles or
less of downtown Boston. Unlike most park units, the National Park
Service does not own any of the islands within the boundary of the
recreation area.
The recreation area has proven itself a model of collaborative park
management. The 13 entities named in the original legislation have
endorsed an ambitious management plan and have realized many of its
goals. Together they have spent \$78.5 million to provide visitor
services, rebuild island infrastructure and protect park resources, and
\$76.6 million to develop new parkland and facilities. Their combined
park operating expenditures total \$7.5 million annually. Federal
dollars total less than one-quarter of park expenditures, with the rest
coming from State and local government and private donations as required
in the enabling legislation. We believe that we can find a solution that
will allow us to work constructively with our partners and we intend to
follow up with further suggestions for amending this legislation.
Mr. Chairman, thank you for the opportunity to comment. This concludes
my prepared remarks and I will be happy to answer any questions you or
other committee members might have.
STATEMENT OF KATHERINE H. STEVENSON, ACTING ASSISTANT DIRECTOR, BUSINESS
SERVICES, NATIONAL PARK SERVICE, U.S. DEPARTMENT OF THE INTERIOR, BEFORE
THE SUBCOMMITTEE ON NATIONAL PARKS OF THE SENATE COMMITTEE ON ENERGY AND
NATURAL RESOURCES, CONCERNING S. 1449, TO ESTABLISH THE ROCKY MOUNTAIN
SCIENCE COLLECTIONS CENTER TO ASSIST IN PRESERVING THE ARCHEOLOGICAL,
ANTHROPOLOGICAL, PALEONTOLOGICAL, ZOOLOGICAL, AND GEOLOGICAL ARTIFACTS
AND ARCHIVAL DOCUMENTATION FROM THE ROCKY MOUNTAIN REGION THROUGH THE
CONSTRUCTION OF AN ON-SITE, SECURE COLLECTIONS FACILITY FOR THE DENVER
MUSEUM OF NATURE AND SCIENCE IN DENVER, COLORADO.
# NOVEMBER 8, 2007
Mr. Chairman, thank you for the opportunity to present the views of the
Department of the Interior on S. 1449, a bill to establish the Rocky
Mountain Science Collections Center to assist in preserving the
archeological, anthropological, paleontological, zoological, and
geological artifacts and archival documentation from the Rocky Mountain
region through the construction of an on-site, secure collections
facility for the Denver Museum of Nature and Science in Denver,
Colorado.
The Department opposes S. 1449. Our opposition does not detract from the
significance and importance of the artifacts and documents currently
being housed at the Denver Museum of Nature and Science (museum). The
museum is a place of learning and a keeper of important collections that
showcase many of the unique features of the Rocky Mountain region. We
encourage the museum to continue to seek other funding and solutions for
the preservation and protection of the collections in their care
including working with existing programs managed by all of the federal
agencies with collections stored at the museum.
S. 1449 would authorize the Secretary of the Interior, subject to the
availability of appropriations, to award as much as \$15 million in
grant monies, identified as the federal share, to the museum to pay for
the cost of constructing and furnishing one or more new facilities. The
bill states the museum would, as a condition of receiving this
assistance, match with cash, in-kind donations, or services, any amount
provided to the museum under this Act.
We appreciate the interest the museum has in providing the highest level
of care to the objects in its collection. However, we believe the use of
limited National Park Service (NPS) appropriations to fund the design,
construction, and operation of non-NPS projects of this type is
inappropriate.
Since the mid-1990's, legislation has been passed and signed into law
that authorized several hundreds of millions of dollars in grants to be
passed through the NPS budget for non-Park System projects. Many of
these projects involved support for museums and libraries, similar to
what is proposed in S. 1449. Each time this is done, it reduces the
availability of NPS's limited amount of discretionary funds to address
the needs of our national parks and other important national priorities.
We believe funds are more appropriately directed at this time to
reducing the long list of projects and needs that have been identified
in our national parks.
The museum contains more than 1,000,000 artifacts and documents. Like
many western museums, a large proportion of the collection was recovered
from federal lands managed by the Bureau of Land Management, the Bureau
of Reclamation, the National Park Service, the United States Fish and
Wildlife Service, the U.S. Forest Service, and the U.S. Army Corps of
Engineers. This impressive collection assists researchers and anybody
interested in finding out more about the West, as do many other similar
museums.
However, the financial implications of the bill on national parks and
park programs at a time when all federal agencies must work harder to be
responsible stewards of the resources of American taxpayers causes us to
oppose S. 1449. The Department is willing to work with all of the
involved agencies and the museum to thoroughly assess all possible
alternatives for providing the highest level of care to the objects
currently housed at the museum, including, if necessary, the
transferring of collections to federal repositories.
This completes my formal remarks. I would be happy to answer any
questions you or other members of the Subcommittee may have.
**STATEMENT OF KATHERINE H. STEVENSON, ACTING ASSISTANT DIRECTOR,
BUSINESS SERVICES, NATIONAL PARK SERVICE, DEPARTMENT OF THE INTERIOR,
BEFORE THE SENATE ENERGY AND NATURAL RESOURCES COMMITTEE, CONCERNING S.
1921, TO AMEND THE AMERICAN BATTLEFIELD PROTECTION ACT OF 1996 TO EXTEND
THE AUTHORIZATION FOR THAT ACT, AND FOR OTHER PURPOSES.**
**NOVEMBER 8, 2007**
**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
Mr. Chairman and members of the committee, thank you for the opportunity
to appear before you today to present the views of the Department of the
Interior on S. 1921, a bill to amend the American Battlefield Protection
Act of 1996 and extend the authorization for that act, and other
purposes.
The Department supports enactment of this bill.
S. 1921 would extend the authorization from fiscal years September 30,
2009 through September 30, 2013 for battlefield preservation grants
under the Civil War Battlefield Preservation Act of 2002. The purpose of
this act is to: (1) to protect battlefields and sites associated with
armed conflicts that influenced the course of our history, (2) to
encourage and assist all Americans in planning for the preservation,
management, and interpretation of these sites, and (3) to raise the
importance of preserving battlefields and related sites for future
generations, through the upcoming sesquicentennial commemoration of the
Civil War, 2011-2015.
[American Battlefield Protection Program]{.underline}
The National Park Service's American Battlefield Protection Program
(ABPP) is a small, cost-effective program that promotes the preservation
of battlefields and related sites of all wars on American soil through
"planning and partnerships." The ABPP promotes battlefield preservation
strategies for protecting sites of armed conflict that cannot or should
not be preserved by federal ownership, but must nonetheless be saved in
order for future generations of Americans to understand the importance
of these irreplaceable sites.
In order to achieve these goals, the ABPP provides a range of financial
and technical assistance to Federal, State, and local partners on issues
of battlefield landscape identification, documentation, planning,
interpretation, and economic development. The program encourages states,
communities, non-profit organizations, and individual citizens to become
the stewards of battlefields. By empowering local communities and
private landowners to make the best decisions possible, the ABPP enables
these communities and owners to develop local solutions for balanced
preservation approaches.
The ABPP provides yearly battlefield preservation project grants to
assist communities and organizations striving to save our battlefields.
The project grants have helped States, Tribes, and local communities
identify and document historic battlefield resources, nominate historic
battlefields to the National Register of Historic Places, plan for
resource stewardship and conservation, interpret the battlefields for
the visiting public, and develop heritage tourism programs that
encourage battlefield preservation.
Over the life of the program, ABPP has awarded 329 project grants
totaling over \$7.7 million to organizations in 37 States, the District
of Columbia, and the Republic of Palau.
[Acquisition Grants]{.underline}
In 2002, P.L. 107-359, the Civil War Battlefield Protection Act, amended
the original ABPP authorization to establish the battlefield acquisition
grant program. It directed the Secretary to submit to Congress a report
on updates of the battlefield preservation activities, and authorized
appropriations to the Secretary from the Land and Water Conservation
Fund for each fiscal year 2004-2008. These grants help State and local
governments acquire Civil War battlefield lands outside of the
legislative boundaries of units of the National Park System. In order to
be eligible to receive these grants, Congress established the following
three requirements: (1) the battlefield must be among the 384 identified
by the Civil War Sites Advisory Commission; (2) the land to be acquired
must not be within the exterior boundaries of any unit of the National
Park System; and (3) any land acquired with the assistance of the grant
program may not be subsequently converted to a non-conservation use
without the prior written permission of the Secretary of the Interior.
In addition, the ABPP set two additional requirements: (1) any grant
awarded must be supported by an appraisal of the property's value in
accordance with federal standards for property appraisals; and (2) any
land acquired with the assistance of the grant program must be protected
by a perpetual easement sufficient to protect the significant
above-ground features of the battlefield landscape as well as the
battlefield's archeological resources.
The grant fund has been tremendously successful in allowing local
preservation efforts to permanently preserve Civil War battlefield land
with a minimum of federal assistance. Grants of \$26.3 million from ABPP
have leveraged a total of \$52 million in nonfederal funding. To date,
the grant program has assisted in the permanent protection of 15,705
acres at 72 Civil War battlefields.
Mr. Chairman, this concludes my testimony. I would be happy to answer
any questions you or other committee members may have regarding this
bill.
**STATEMENT OF KATHERINE H. STEVENSON, ACTING ASSISTANT DIRECTOR,
BUSINESS SERVICES, NATIONAL PARK SERVICE, DEPARTMENT OF THE INTERIOR,
BEFORE THE SUBCOMMITTEE ON NATIONAL PARKS OF THE SENATE COMMITTEE ON
ENERGY AND NATURAL RESOURCES, CONCERNING S. 1941, A BILL TO DIRECT THE
SECRETARY OF THE INTERIOR TO STUDY THE SUITABILITY AND FEASIBILITY OF
DESIGNATING THE WOLF HOUSE, LOCATED IN NORFORK, ARKANSAS, AS A UNIT OF
THE NATIONAL PARK SYSTEM**
**November 8, 2007**
Mr. Chairman and members of the subcommittee, thank you for the
opportunity to appear before you today to present the Department of the
Interior's views on S. 1941, a bill to direct the Secretary of the
Interior to study the suitability and feasibility of designating the
Wolf House, located in Norfork, Arkansas, as a unit of the National Park
System.
The Department opposes S. 1941. While the Wolf House is an impressive
historical structure, it is not distinguished beyond that of many other
historical log structures in cities all over the United States. It is
currently operated by the Wolf House Memorial Foundation, Inc.,
(Foundation) with the backing of Baxter County, Arkansas. Even though
the Wolf House has significance for the political history of the state
of Arkansas, we believe it may be more suited for inclusion in the State
Park system, either separately or as part of Bull Shoals-White River
State Park. Finally, we believe that priority should be given to the 35
previously authorized studies for potential units of the National Park
System, potential new National Heritage Areas, and potential additions
to the National Trails System and National Wild and Scenic River System
that have not yet been transmitted to the Congress.
S. 1941 would authorize a study of the Wolf House, a two-story dogtrot
log structure dating back to 1829. It is a relic of the Arkansas
territorial period, the oldest territorial courthouse west of the
Mississippi River, and is located on Highway 5 in Norfork, Arkansas. It
also would study the Wolf House property, several outbuildings, and
portions of several city lots, all located within the city of Norfork.
The study would be conducted in accordance with the criteria contained
in Section 8(c) of Public Law 91-383 (16 U.S.C. 1a-5(c)). A report that
includes the findings, conclusions, and recommendations for future
management of the study area would be required to be transmitted by the
Secretary to Congress no later than one year after enactment of this
legislation. S. 1941 states that the Wolf House is located in the city
of Norfolk; the correct location is the city of Norfork.
The Wolf House became the property of the city of Norfork in the 1930s
and was maintained and opened to the public by interested citizens who
eventually formed the Foundation. The Wolf House was placed on the
National Register of Historic Places on April 13, 1973. In the 1990s,
controversies over management of the property led the Foundation to
approach the Arkansas State Parks to assume responsibility for the
property. They were told that the State Parks could not acquire new
properties at the time. In 1999, the Foundation and the city of Norfork
quit claimed their ownership of the property to Baxter County. At the
same time, the Arkansas Historic Preservation Program acquired a
historic preservation easement on the property.
Mr. Chairman, this concludes my prepared testimony. I would be pleased
to answer any questions you or the subcommittee may have.
STATEMENT OF KATHERINE H. STEVENSON, ACTING ASSISTANT DIRECTOR, BUSINESS
SERVICES, NATIONAL PARK SERVICE, U.S. DEPARTMENT OF THE INTERIOR, BEFORE
THE SUBCOMMITTEE ON NATIONAL PARKS OF THE SENATE COMMITTEE ON ENERGY AND
NATURAL RESOURCES, CONCERNING S. 1961, A BILL TO REVISE THE BOUNDARY OF
THE LITTLE RIVER CANYON NATIONAL PRESERVE IN THE STATE OF ALABAMA, AND
FOR OTHER PURPOSES.
# NOVEMBER 8, 2007
Mr. Chairman and members of the Subcommittee, thank you for the
opportunity to appear before you today to present the views of the
Department of the Interior on S. 1961, a bill to revise the boundary of
the Little River Canyon National Preserve in the State of Alabama, and
for other purposes.
The Department supports S. 1961. S. 1961 would expand the boundaries of
the Little River Canyon National Preserve (Preserve) to add
approximately 1,656 acres that would be acquired by purchase from
willing sellers or through donation. Appraisals have not been completed
on any of the involved properties so the costs associated with the
potential acquisitions are unknown. The Preserve currently includes
13,797 acres, and the NPS roughly estimates acquisition costs to be
between \$9 million and \$12 million. No funding has yet been identified
for any of the acquisitions proposed in this bill. Funding for any of
these acquisitions would be subject to the budget prioritization process
of the National Park Service.
Little River Canyon National Preserve was established as a unit of the
National Park System by Public Law 102-427, to protect and preserve the
natural, scenic, recreational and cultural resources of the area and to
provide for public enjoyment of those resources. The Little River Canyon
is located in northeast Alabama between Gadsden, Alabama and
Chattanooga, Tennessee. Birmingham, Alabama is approximately 100 miles
southwest of the Preserve and Atlanta, Georgia is about 110 miles to the
southeast.
The Preserve contains an outstanding example of an Appalachian Plateau
Province Canyon System and the canyon and the Little River together form
one of the extraordinary natural features of Alabama. The Preserve is
biologically diverse and home to a number of rare plants and animals.
Numerous recreational pursuits are also available within the Preserve
boundaries including a 23-mile canyon rim drive, which provides easy
access to superlative scenic views.
The Preserve also includes important scenic, natural, cultural,
recreational, and scientific resources. Little River Canyon's stream
resources are excellent and the Little River is classified by the State
of Alabama as an Outstanding National Resource Water providing an
opportunity for world-class whitewater boating. Little River is one of a
very few river systems with most of its length atop a mountain, in this
case, Lookout Mountain.
The Preserve lies at the southern limits of the Cumberland Plateau and
Little River Canyon is the deepest canyon in Alabama and one of the
deepest in the eastern United States. As such, the Preserve contains
some of the most rugged scenery in the southeast which contributes to
significant biological diversity including habitat for a unique
assemblage of plants and animals. In addition, the Preserve includes a
wide assortment of archeological resources and historic sites.
The acquisitions proposed in S. 1961 would help the National Park
Service (NPS) meet the requirements established in the Preserve's
enabling legislation, which direct the NPS to protect and preserve the
scenic resources of Little River Canyon. Additionally, in the northeast
portion of the Preserve the current boundary is narrow and many of the
Preserve's recreational trails cross private property in that area.
Expanding the boundary as proposed in S. 1961 would allow the NPS to
purchase lands from willing sellers and enhance recreational resources
for Preserve visitors by ensuring that these trails no longer cross
private property.
The current western boundary of the Preserve meanders back and forth
across state and county roads which make up the Preserve's scenic drive.
The boundary expansion proposed in S. 1961 would relocate the boundary
in this area to the western edge of the state and county rights-of-way.
In addition to including land between the roads and the canyon within
the Preserve boundary, this adjustment would allow the NPS to apply for
federal highway funds in order to improve the roads to help them meet
Federal Highway Administration safety standards. The present condition
of this portion of the scenic drive is characterized by steep hills and
locations where sight distance is limited. As a result, the NPS has had
to install signs warning drivers of motor homes and other large vehicles
to avoid the southern two-thirds of the drive for their own safety.
Including the roads and the lands between them and the current park
boundary within the Preserve would also make it feasible to add
additional scenic overlooks and bicycle lanes.
Mr. Chairman, this concludes my formal remarks. I would be happy to
answer any questions you or any members of the subcommittee might have.
**STATEMENT OF KATHERINE H. STEVENSON, ACTING ASSISTANT DIRECTOR,
BUSINESS SERVICES,** **NATIONAL PARK SERVICE, DEPARTMENT OF THE
INTERIOR, BEFORE THE SUBCOMMITTEE ON NATIONAL PARKS OF THE SENATE
COMMITTEE ON ENERGY AND NATURAL RESOURCES, CONCERNING S. 1991, TO
AUTHORIZE THE SECRETARY OF INTERIOR TO conduct a study to determine the
suitability and feasibility of extending the Lewis and Clark National
Historic Trail to include additional sites associated with the
preparation and return phases of the expedition**
**November 8, 2007**
Mr. Chairman and members of the subcommittee, thank you for the
opportunity to appear before you today to present the Department of the
Interior's views on S. 1991, a bill to authorize the Secretary of the
Interior to conduct a study to determine the suitability and feasibility
of extending the Lewis and Clark National Historic Trail to include
additional sites associated with the preparation and return phases of
the expedition.
While the Department has some concerns about the need for the study, we
do not object to the enactment of S. 1991. However, we believe that
priority should be given to the 35 previously authorized studies for
potential units of the National Park System, potential new National
Heritage Areas, and potential additions to the National Trails System
and National Wild and Scenic River System that have not yet been
transmitted to the Congress.
S. 1991 would authorize a study to determine whether the routes followed
by Meriwether Lewis and William Clark, whether independently or
together, in the preparation phase of the expedition starting at
Monticello, located near Charlottesville, Virginia, and traveling to
Wood River, Illinois, and in the return phase of the expedition from
Saint Louis, Missouri, to Washington, D.C., would meet the suitability
and feasibility criteria for extending the Lewis and Clark National
Historic Trail to include these routes and their associated sites. These
sites and routes are commonly referred to as the "Eastern Legacy." These
routes include designated Lewis and Clark sites in Virginia, the
District of Columbia, Maryland, Delaware, Pennsylvania, West Virginia,
Ohio, Kentucky, Tennessee, Indiana, Missouri, and Illinois. The study
also would analyze the potential impact that the inclusion of the
Eastern Legacy would have on those sites, as well as on the tourist
visitation to the western half of the trail. The bill would require the
Secretary of the Interior to complete the study and provide its
conclusions and recommendations within two years from the date funds are
first made available for that purpose. We estimate the cost to complete
the study would be approximately \$250,000 to \$300,000.
There have been many discussions in recent years between scholars and
interested individuals concerning whether the Eastern Legacy sites and
routes merit inclusion in the Lewis and Clark National Historic Trail.
However, the issue of whether this area is suitable and feasible as an
administrative unit of the National Trails System has not been
addressed. S. 1991 would provide that authority.
Discussions in the past against extending the trail to include the
Eastern Legacy are focused primarily on the common historical
understanding of where the expedition itself began. President
Jefferson's instructions to Captain Meriwether Lewis clearly imply that
the expedition began with the ascent of the Missouri River. The actual
transfer of title to and power over the Louisiana Territory from France
to the United States was not effective until March 10, 1804. Prior to
that date, the Spanish Lt. Governor of Upper Louisiana refused the
expedition's request to proceed up the Missouri; so it is clear that the
journey of exploration could not begin until after that date. The
journals of the expedition by Captains Lewis and Clark are the official
chronicles of the project. On May 14, 1804, the day the expedition left
Camp Wood and began its ascent of the Missouri River, Captain Clark
wrote in his journal "The mouth of the River Dubois is to be considered
as the point of departure." In his journal, Captain Lewis stated that he
had informed President Jefferson, by letter, of the departure; this,
too, would seem to imply that the expedition began that day.
Some believe that important locations in the Eastern Legacy are already
recognized by the trail as certified sites and that they do not need to
be connected to the Lewis and Clark National Historic Trail. There is
also some concern that extending the trail will somehow dilute the
attention to and importance of the existing official trail.
Others point out that the expedition did not simply spring forth from
Wood River, Illinois on May 14, 1804, but involved years of preparation
at other locations. These include the ruminations of westward expansion
and manifest destiny by Thomas Jefferson at Monticello in Virginia, the
acquisition of firearms at Harpers Ferry, West Virginia, Lewis' training
in medicine and scientific observation in Philadelphia, and taking
delivery of the keel boat in Pennsylvania and struggling through low
water to bring the boat down the Ohio River.
Although the field expedition ended in September 1806 with the Corps of
Discovery's return to Saint Louis, there were still important tasks to
undertake such as reporting to the White House to brief the President on
the findings of the expedition. Some say that Lewis' death was
attributable in large part to the expedition and that his grave on the
Natchez Trace should be a part of the trail. As intended by President
Jefferson, the expedition and manifest destiny had far reaching impacts
and ramifications beyond the West to American society as a whole, and he
certainly considered that his dream of a nation from "sea to shining
sea" had been fulfilled, despite the failure to find the mythical
"Northwest Passage."
A suitability and feasibility study would take into account the reasons
for adding the Eastern Legacy by various interested agencies,
organizations, and individuals and evaluate the merits of including the
additional routes and sites in the Lewis and Clark National Historic
Trail.
Mr. Chairman, this concludes my prepared testimony. I would be pleased
to answer any questions you or other members of the subcommittee may
have.
**STATEMENT OF KATHERINE H. STEVENSON, ACTING ASSISTANT DIRECTOR,
BUSINESS SERVICES,** **NATIONAL PARK SERVICE, DEPARTMENT OF THE
INTERIOR, BEFORE THE SUBCOMMITTEE ON NATIONAL PARKS OF THE SENATE
COMMITTEE ON ENERGY AND NATURAL RESOURCES, CONCERNING S. 2098, TO
ESTABLISH THE NORTHERN PLAINS NATIONAL HERITAGE AREA IN THE STATE OF
NORTH DAKOTA**
# November 8, 2007
Mr. Chairman and members of the subcommittee, thank you for the
opportunity to appear before you today to present the Department of the
Interior's views on S. 2098, a bill to establish the Northern Plains
National Heritage Area in the State of North Dakota.
While the Department appreciates the historic, cultural and natural
features of the area, the Department does not support S. 2098. The
feasibility study produced by the Northern Plains Heritage Foundation
did not meet all of the criteria for designation as a national heritage
area. It did not include the existence of significant levels of public
involvement and support and the local commitments necessary for
successful planning and implementation of a heritage area.
Without further dialog with residents in the region and the support of
current living descendents, we are concerned that the Heritage Area
would not be poised for success and a sustainable future. Success of
this grassroots movement depends upon whether or not there is strong
region-wide support, so we respectfully request the Heritage Area
proponents engage more residents and Mandan-Hidatsa descendents in a
dialog.
We remind the committee that our past support of an amendment to S. 1544
in the 109^th^ Congress authorizing a study did not necessarily mean
that the Department would support designation of this National Heritage
Area.
We generally have asked that the subcommittee defer action on new
designations of National Heritage Areas until program legislation is
enacted. Last year, the Administration sent to Congress a legislative
proposal to establish such guidelines and a process for designation.
Bills were introduced in the 109th Congress (S. 243, H.R. 760 and H.R.
6287) that incorporated the majority of the provisions of the
Administration's proposal, and S. 243 passed the Senate. During the
110th Congress, a similar heritage area program bill, S. 278, has been
introduced and reported by the Senate Energy and Natural Resources
Committee.
Requiring evidence of broad public support prior to designation is
consistent with the steps and criteria for the National Heritage Area
program that have been informally implemented for many years. The steps
and criteria have been developed with input from Congress, existing
National Heritage Areas, and other experts and are designed to ensure
that an area has the resources, local interest, and other qualities that
are critical in establishing a successful National Heritage Area.
The four critical steps that need to be completed before Congress
establishes a National Heritage Area are:
1\. completion of a feasibility study;
2\. public involvement in the feasibility study;
3\. demonstration of widespread public support among heritage area
residents for the proposed designation; and
> 4\. commitment to the proposal from the appropriate players which may
> include governments, industry, and private, non-profit organizations,
> in addition to the local citizenry.
S. 2098 would establish the Northern Plains National Heritage Area. The
core area is approximately 80 miles long, anchored at each end by
nationally designated landmarks. Huff Indian Village National Historic
Landmark, an ancient Mandan Indian Village is the southern anchor and
Big Hidatsa Village National Historic Landmark, an ancient Hidatsa
village located within the Knife River Indian Villages National Historic
site at Stanton, North Dakota, is the northern anchor. Huff and Menoken
National Historic Landmarks are also state historic sites preserved and
managed by the State Historical Society of North Dakota. This area
encompasses the ancient homeland of the Mandan and Hidatsa American
Indian nations as well as the Menoken Indian Village, an early Indian
village site just east of Bismarck, North Dakota, which also bears
national historic landmark status.
The bill designates the Northern Plains Heritage Foundation, a
non-profit corporation established under the laws of the State of North
Dakota, as the management entity for the Heritage Area and outlines its
duties. It also authorizes the development of a management plan and
technical assistance to carry out the plan. The bill also requires the
Secretary to conduct an evaluation three years prior to the cessation of
Federal funding under this act.
Long before the Europeans came to the area, Mandan and Hidatsa cultures
flourished along the river in North Dakota. These early people thrived
for centuries in heavily populated agricultural communities along the
fertile floodplains. They also depended on the abundance of fish, game,
and other wildlife throughout the prairies. They were later followed by
pioneers and homesteaders---generations of farmers and ranchers who
continue to cultivate the land and reap the harvest provided by the
abundance of the Northern Plains environment.
The villages of these early settlers served as a central hub in a trade
network that spanned the continent. The Heart River segment of the
Missouri River was the center of the universe for the first people, the
Mandans, who constructed their permanent earthlodge villages along the
Missouri River and its tributaries. The Lewis and Clark Expedition even
benefited from the hospitality and friendship of the Mandan and Hidatsa
when they spent the winter along the Garrison Reach near present-day
Washburn.
Today, the Mandan language is in danger of extinction with only two
conversational speakers able to participate in a preservation project.
Therefore, as part of their preservation initiatives within the Northern
Plains area, the Northern Plains Heritage Foundation's language
initiative is focusing on preserving and archiving language
vocabularies, beginning with the recording of Mandan language materials.
It also is supporting the development of instructional materials for
Mandan, Hidatsa, Arikara, Lakota, French and German language teachers.
Language has always been a key element that characterizes and underpins
the cultural integrity and unique identity of a people or an ethnic
group.
The Department believes that further evaluation and public engagement
would ensure widespread public involvement, and determine local interest
and commitment, thus strengthening the current feasibility study. We
also believe that further examination of the boundaries to include the
current Mandan-Hidatsa homeland and the unique geographical, cultural,
and historical resources of the Northern Plains area would provide other
valuable information as to whether the area qualifies for designation as
a National Heritage Area.
Mr. Chairman, that concludes my statement. I would be pleased to answer
any questions you or other members of the subcommittee may have.
|
en
|
converted_docs
|
530483
|
Demographics
+-------------------------------------+------------+-------------------+
| Client Name: ** ** | # D | |
| | ate: | |
+-------------------------------------+------------+-------------------+
| # Current Address: | # | |
| | Phone #: ( | |
| Street | ) | |
| | - | |
| City, State | | |
| | | |
| Zip Code | | |
+-------------------------------------+------------+-------------------+
| # Date of Birth: | # Mari | |
| | tal/Relati | |
| | onship Sta | |
| | tus: | |
+-------------------------------------+------------+-------------------+
| # Nation/Tribe/Ethnicity: | | |
+-------------------------------------+------------+-------------------+
| **Primary language of client:** | | **Secondary:** |
| | | |
+-------------------------------------+------------+-------------------+
| **Referral Source:** | | **Phone:** |
+-------------------------------------+------------+-------------------+
| **Emergency Contact: ** | | **Phone: ** |
+-------------------------------------+------------+-------------------+
Critical Population (choose all that apply)
+-------------------+---+-----------------------+-----+----------------+
| #### | # | | ### | |
| ## Funding Source | # | | ### | |
| | # | | Le | |
| | # | | gal | |
| | # | | In | |
| | # | | vol | |
| | | | vem | |
| | R | | ent | |
| | e | | | |
| | s | | | |
| | i | | | |
| | d | | | |
| | e | | | |
| | n | | | |
| | t | | | |
| | i | | | |
| | a | | | |
| | l | | | |
+-------------------+---+-----------------------+-----+----------------+
| Food Stamp | H | | P | |
| Recipient | o | | rot | |
| | m | | ect | |
| | e | | ive | |
| | l | | Se | |
| | e | | rvi | |
| | s | | ces | |
| | s | | (AP | |
| | | | S/C | |
| | | | PS) | |
+-------------------+---+-----------------------+-----+----------------+
| TANF Recipient | S | | Co | |
| | h | | urt | |
| | e | | O | |
| | l | | rde | |
| | t | | red | |
| | e | | Se | |
| | r | | rvi | |
| | R | | ces | |
| | e | | | |
| | s | | | |
| | i | | | |
| | d | | | |
| | e | | | |
| | n | | | |
| | t | | | |
+-------------------+---+-----------------------+-----+----------------+
| SSI Recipient | L | | On | |
| | o | | Pro | |
| | n | | bat | |
| | g | | ion | |
| | T | | | |
| | e | | | |
| | r | | | |
| | m | | | |
| | C | | | |
| | a | | | |
| | r | | | |
| | e | | | |
| | E | | | |
| | l | | | |
| | i | | | |
| | g | | | |
| | i | | | |
| | b | | | |
| | i | | | |
| | l | | | |
| | i | | | |
| | t | | | |
| | y | | | |
+-------------------+---+-----------------------+-----+----------------+
| SSDI Recipient | L | | On | |
| | o | | Par | |
| | n | | ole | |
| | g | | | |
| | T | | | |
| | e | | | |
| | r | | | |
| | m | | | |
| | C | | | |
| | a | | | |
| | r | | | |
| | e | | | |
| | R | | | |
| | e | | | |
| | s | | | |
| | i | | | |
| | d | | | |
| | e | | | |
| | n | | | |
| | t | | | |
+-------------------+---+-----------------------+-----+----------------+
| SSA (retirement) | | | On | |
| Recipient | | | Pr | |
| | | | e-R | |
| | | | ele | |
| | | | ase | |
+-------------------+---+-----------------------+-----+----------------+
| Other Retirement | # | | Man | |
| Income | # | | dat | |
| | # | | ory | |
| | # | | M | |
| | # | | oni | |
| | # | | tor | |
| | | | ing | |
| | D | | | |
| | i | | | |
| | s | | | |
| | a | | | |
| | b | | | |
| | i | | | |
| | l | | | |
| | i | | | |
| | t | | | |
| | y | | | |
+-------------------+---+-----------------------+-----+----------------+
| Medicaid | P | | | |
| Recipient | h | | | |
| | y | | | |
| | s | | | |
| | i | | | |
| | c | | | |
| | a | | | |
| | l | | | |
| | D | | | |
| | i | | | |
| | s | | | |
| | a | | | |
| | b | | | |
| | i | | | |
| | l | | | |
| | i | | | |
| | t | | | |
| | y | | | |
+-------------------+---+-----------------------+-----+----------------+
| Medicare | S | | ### | |
| Recipient | e | | ### | |
| | v | | Ot | |
| | e | | her | |
| | r | | | |
| | e | | | |
| | l | | | |
| | y | | | |
| | M | | | |
| | e | | | |
| | n | | | |
| | t | | | |
| | a | | | |
| | l | | | |
| | l | | | |
| | y | | | |
| | I | | | |
| | l | | | |
| | l | | | |
+-------------------+---+-----------------------+-----+----------------+
| General | S | | Cur | |
| Assistance | E | | ren | |
| | D | | tly | |
| | | | pr | |
| | | | egn | |
| | | | ant | |
+-------------------+---+-----------------------+-----+----------------+
| | D | | Wo | |
| | e | | man | |
| | v | | w/d | |
| | e | | epe | |
| | l | | nde | |
| | o | | nts | |
| | p | | | |
| | m | | | |
| | e | | | |
| | n | | | |
| | t | | | |
| | a | | | |
| | l | | | |
| | l | | | |
| | y | | | |
| | D | | | |
| | i | | | |
| | s | | | |
| | a | | | |
| | b | | | |
| | l | | | |
| | e | | | |
| | d | | | |
+-------------------+---+-----------------------+-----+----------------+
| | C | | | |
| | h | | | |
| | r | | | |
| | o | | | |
| | n | | | |
| | i | | | |
| | c | | | |
| | a | | | |
| | l | | | |
| | l | | | |
| | y | | | |
| | M | | | |
| | e | | | |
| | n | | | |
| | t | | | |
| | a | | | |
| | l | | | |
| | l | | | |
| | y | | | |
| | I | | | |
| | l | | | |
| | l | | | |
+-------------------+---+-----------------------+-----+----------------+
| | R | | | |
| | e | | | |
| | g | | | |
| | i | | | |
| | o | | | |
| | n | | | |
| | a | | | |
| | l | | | |
| | B | | | |
| | e | | | |
| | h | | | |
| | a | | | |
| | v | | | |
| | i | | | |
| | o | | | |
| | r | | | |
| | a | | | |
| | l | | | |
| | H | | | |
| | e | | | |
| | a | | | |
| | l | | | |
| | t | | | |
| | h | | | |
| | A | | | |
| | u | | | |
| | t | | | |
| | h | | | |
| | o | | | |
| | r | | | |
| | i | | | |
| | t | | | |
| | y | | | |
+-------------------+---+-----------------------+-----+----------------+
| ###### Co | | | | |
| ntact Information | | | | |
| | | | | |
| **(Secure | | | | |
| consents for | | | | |
| agency contacts, | | | | |
| when possible)** | | | | |
+-------------------+---+-----------------------+-----+----------------+
| # N | | **Agency** | | **Phone |
| ame of Caseworker | | | | number** |
+-------------------+---+-----------------------+-----+----------------+
| | | | | |
+-------------------+---+-----------------------+-----+----------------+
| | | | | |
+-------------------+---+-----------------------+-----+----------------+
| | | | | |
+-------------------+---+-----------------------+-----+----------------+
#
# Vocational/Employment Screening
+------+-----+---+---------+------+-----+------+---------------------+
| ## | | | | | | | |
| #### | | | | | | | |
| Emp | | | | | | | |
| loym | | | | | | | |
| ent: | | | | | | | |
| Cur | | | | | | | |
| rent | | | | | | | |
| ly E | | | | | | | |
| mplo | | | | | | | |
| yed? | | | | | | | |
+------+-----+---+---------+------+-----+------+---------------------+
| ## | ## | | | | | # | |
| #### | ### | | | | | #### | |
| Yes | # E | | | | | # Le | |
| | mpl | | | | | ngth | |
| | oye | | | | | of | |
| | r | | | | | Empl | |
| | | | | | | oyme | |
| | | | | | | nt | |
| | | | | | | | |
+------+-----+---+---------+------+-----+------+---------------------+
| #### | | # | | ## | | | ###### |
| ## S | | # | | #### | | | Co-worker Conflict |
| atis | | # | | Sup | | | |
| fied | | # | | ervi | | | |
| | | # | | sor | | | |
| | | # | | Conf | | | |
| | | | | lict | | | |
| | | D | | | | | |
| | | i | | | | | |
| | | s | | | | | |
| | | s | | | | | |
| | | a | | | | | |
| | | t | | | | | |
| | | i | | | | | |
| | | s | | | | | |
| | | f | | | | | |
| | | i | | | | | |
| | | e | | | | | |
| | | d | | | | | |
+------+-----+---+---------+------+-----+------+---------------------+
| # | ### | | | | | ## | |
| #### | ### | | | | | #### | |
| # No | La | | | | | Rea | |
| | st | | | | | son | |
| | Emp | | | | | for | |
| | loy | | | | | Leav | |
| | er: | | | | | ing: | |
| | | | | | | | |
| | | | | | | | |
| | | | | | | | |
+------+-----+---+---------+------+-----+------+---------------------+
| # | | | # | | ## | | ###### Un |
| #### | | | ##### D | | ### | | stable Work History |
| # Ne | | | isabled | | # S | | |
| ver | | | | | tud | | |
| Empl | | | | | ent | | |
| oyed | | | | | | | |
+------+-----+---+---------+------+-----+------+---------------------+
| #### | | | | | # | | |
| ## | | | | | ### | | |
| Shel | | | | | ## | | |
| tere | | | | | Re | | |
| d Em | | | | | cei | | |
| ploy | | | | | vin | | |
| ment | | | | | g V | | |
| | | | | | oca | | |
| | | | | | tio | | |
| | | | | | nal | | |
| | | | | | Se | | |
| | | | | | rvi | | |
| | | | | | ces | | |
+------+-----+---+---------+------+-----+------+---------------------+
| #### | | | | | | | |
| ## C | | | | | | | |
| omme | | | | | | | |
| nts: | | | | | | | |
| | | | | | | | |
| | | | | | | | |
| | | | | | | | |
+------+-----+---+---------+------+-----+------+---------------------+
Family Relationships
<table style="width:100%;">
<colgroup>
<col style="width: 30%" />
<col style="width: 1%" />
<col style="width: 7%" />
<col style="width: 0%" />
<col style="width: 8%" />
<col style="width: 1%" />
<col style="width: 5%" />
<col style="width: 11%" />
<col style="width: 1%" />
<col style="width: 1%" />
<col style="width: 9%" />
<col style="width: 19%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="12"><h1 id="section-1"></h1>
<h1 id="does-the-client-have-any-children">Does the client have any
children?</h1></td>
</tr>
<tr class="even">
<td colspan="2"><h1 id="name">Name</h1></td>
<td colspan="2"><h1 id="age">Age</h1></td>
<td><strong>Date of Birth</strong></td>
<td colspan="2"><h1 id="sex">Sex</h1></td>
<td><h1 id="custody">Custody?</h1>
<h1 id="yn">Y/N</h1></td>
<td colspan="3"><h1 id="lives-with">Lives With?</h1></td>
<td><h1 id="additional-information">Additional Information</h1></td>
</tr>
<tr class="odd">
<td colspan="2"> </td>
<td colspan="2"> </td>
<td> </td>
<td colspan="2"> </td>
<td> </td>
<td colspan="3"> </td>
<td> </td>
</tr>
<tr class="even">
<td colspan="2"> </td>
<td colspan="2"> </td>
<td> </td>
<td colspan="2"> </td>
<td> </td>
<td colspan="3"> </td>
<td> </td>
</tr>
<tr class="odd">
<td colspan="2"> </td>
<td colspan="2"> </td>
<td> </td>
<td colspan="2"> </td>
<td> </td>
<td colspan="3"> </td>
<td> </td>
</tr>
<tr class="even">
<td colspan="2"> </td>
<td colspan="2"> </td>
<td> </td>
<td colspan="2"> </td>
<td> </td>
<td colspan="3"> </td>
<td> </td>
</tr>
<tr class="odd">
<td colspan="12"><h1 id="section-2"></h1></td>
</tr>
<tr class="even">
<td colspan="12"><strong>Who else lives with the client? (Include
spouses, partners, siblings, parents, other relatives,
friends)</strong></td>
</tr>
<tr class="odd">
<td><strong>Name</strong></td>
<td colspan="2"><strong>Age</strong></td>
<td colspan="3"><h1 id="sex-1">Sex</h1></td>
<td colspan="4"><h1 id="relationship">Relationship</h1></td>
<td colspan="2"><h1 id="additional-information-1">Additional
Information</h1></td>
</tr>
<tr class="even">
<td> </td>
<td colspan="2"> </td>
<td colspan="3"> </td>
<td colspan="4"> </td>
<td colspan="2"> </td>
</tr>
<tr class="odd">
<td> </td>
<td colspan="2"> </td>
<td colspan="3"> </td>
<td colspan="4"> </td>
<td colspan="2"> </td>
</tr>
<tr class="even">
<td> </td>
<td colspan="2"> </td>
<td colspan="3"> </td>
<td colspan="4"> </td>
<td colspan="2"> </td>
</tr>
<tr class="odd">
<td> </td>
<td colspan="2"> </td>
<td colspan="3"> </td>
<td colspan="4"> </td>
<td colspan="2"> </td>
</tr>
<tr class="even">
<td> </td>
<td colspan="2"> </td>
<td colspan="3"> </td>
<td colspan="4"> </td>
<td colspan="2"> </td>
</tr>
<tr class="odd">
<td> </td>
<td colspan="2"> </td>
<td colspan="3"> </td>
<td colspan="4"> </td>
<td colspan="2"> </td>
</tr>
<tr class="even">
<td> </td>
<td colspan="2"> </td>
<td colspan="3"> </td>
<td colspan="4"> </td>
<td colspan="2"> </td>
</tr>
<tr class="odd">
<td> </td>
<td colspan="2"> </td>
<td colspan="3"> </td>
<td colspan="4"> </td>
<td colspan="2"> </td>
</tr>
<tr class="even">
<td colspan="9"><strong>Primary language of household/family:
</strong></td>
<td colspan="3"><strong>Secondary: </strong></td>
</tr>
</tbody>
</table>
-----------------------------------------------------------------------
**Client's/Family's Presentation of the Problem:**
**Client's/Family's Expected Outcome:**
-----------------------------------------------------------------------
+----------------------------------------------------+--------+-------+
| Physical | Yes | No |
+----------------------------------------------------+--------+-------+
| Client states that he/she has an exercise program. | | |
| *Optional - Physical Fitness* | | |
+----------------------------------------------------+--------+-------+
| Client reports appropriate interventions taken | | |
| when experiencing illness or injury. | | |
+----------------------------------------------------+--------+-------+
| Client engages in preventive medicine activities | | |
| such as breast or testes self-examination. | | |
+----------------------------------------------------+--------+-------+
| Client receives an adequate amount of sleep. *If | | |
| No, explain below in Comments section* | | |
+----------------------------------------------------+--------+-------+
| Client avoids the use of tobacco products or | | |
| exposure to second-hand smoke. *If NO, complete | | |
| Behavioral Assessment* | | |
+----------------------------------------------------+--------+-------+
| Client consumes no more than two alcoholic drinks | | |
| per day. *If NO, complete Behavioral Assessment* | | |
+----------------------------------------------------+--------+-------+
| Allergies (Medication and Other): | | |
+----------------------------------------------------+--------+-------+
| Additional Information: | | |
| | | |
| | | |
+----------------------------------------------------+--------+-------+
# Nutrition
+----------------------------------------+-----------------------------+
| ###### {#section-3} | |
| | |
| ## | |
| #### Nutritional Status: Current Weigh | |
| t Current Height BMI | |
+----------------------------------------+-----------------------------+
| ###### Appetite: | |
| Good Fair Poor, please explain below | |
+----------------------------------------+-----------------------------+
| ###### R | ###### |
| ecently gained/lost significant weight | Binges/overeats to excess |
+----------------------------------------+-----------------------------+
| ###### Restricts food/Vomi | ## |
| ts/over-exercises to avoid weight gain | #### Special dietary needs |
+----------------------------------------+-----------------------------+
| ###### Hiding/hording food | ###### Food allergies |
+----------------------------------------+-----------------------------+
| ###### Comments | |
| | |
| | |
+----------------------------------------+-----------------------------+
# Pain Questionnaire
+-----------------------------------------------------------------------+
| ###### {#section-4} |
| |
| ###### Pain Management: Is the client in pain now? Yes No |
| |
| If yes, ask client to rate the pain on a scale of 1-10 (with 10 being |
| the severest) and |
| |
| enter score here |
| |
| ###### Is the client receiving care for the pain? Yes No |
| |
| ###### I |
| f no, would the client like a referral for pain management? Yes No |
+-----------------------------------------------------------------------+
Family History
+------------------------+------+-----+------+-----+------+----------+
| ##### | | | | | | |
| # Family History of (s | | | | | | |
| elect all that apply): | | | | | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### {#section-5} | # | # | ### | ## | # | ### |
| | #### | ### | ### | ### | #### | ### Gran |
| | # Mo | ## | Sibl | # A | # Un | dparents |
| | ther | Fat | ings | unt | cle | |
| | | her | | | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### A | #### | ## | #### | ## | # | ##### |
| lcohol/Substance Abuse | ## | ### | ## | ### | #### | # {#sec |
| | {#se | # | {#se | # | # { | tion-11} |
| | ctio | {#s | ctio | {#s | #sec | |
| | n-6} | ect | n-8} | ect | tion | |
| | | ion | | ion | -10} | |
| | | -7} | | -9} | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### Histor | # | ### | # | ### | # | ##### |
| y of Completed Suicide | #### | ### | #### | ### | #### | # {#sec |
| | # { | { | # { | { | # { | tion-17} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -12} | on- | -14} | on- | -16} | |
| | | 13} | | 15} | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### | # | ### | # | ### | # | ##### |
| History of Mental Ill | #### | ### | #### | ### | #### | # {#sec |
| ness/Problems such as: | # { | { | # { | { | # { | tion-23} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -18} | on- | -20} | on- | -22} | |
| | | 19} | | 21} | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### Depression | # | ### | # | ### | # | ##### |
| | #### | ### | #### | ### | #### | # {#sec |
| | # { | { | # { | { | # { | tion-29} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -24} | on- | -26} | on- | -28} | |
| | | 25} | | 27} | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### Schizophrenia | # | ### | # | ### | # | ##### |
| | #### | ### | #### | ### | #### | # {#sec |
| | # { | { | # { | { | # { | tion-35} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -30} | on- | -32} | on- | -34} | |
| | | 31} | | 33} | | |
+------------------------+------+-----+------+-----+------+----------+
| ## | # | ### | # | ### | # | ##### |
| #### Bipolar Disorder | #### | ### | #### | ### | #### | # {#sec |
| | # { | { | # { | { | # { | tion-41} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -36} | on- | -38} | on- | -40} | |
| | | 37} | | 39} | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### Alzheimer's | # | ### | # | ### | # | ##### |
| | #### | ### | #### | ### | #### | # {#sec |
| | # { | { | # { | { | # { | tion-47} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -42} | on- | -44} | on- | -46} | |
| | | 43} | | 45} | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### Anxiety | # | ### | # | ### | # | ##### |
| | #### | ### | #### | ### | #### | # {#sec |
| | # { | { | # { | { | # { | tion-53} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -48} | on- | -50} | on- | -52} | |
| | | 49} | | 51} | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### Attention | # | ### | # | ### | # | ##### |
| Deficit/Hyperactivity | #### | ### | #### | ### | #### | # {#sec |
| | # { | { | # { | { | # { | tion-59} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -54} | on- | -56} | on- | -58} | |
| | | 55} | | 57} | | |
+------------------------+------+-----+------+-----+------+----------+
| #### | # | ### | # | ### | # | ##### |
| ## Learning Disorders | #### | ### | #### | ### | #### | # {#sec |
| | # { | { | # { | { | # { | tion-65} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -60} | on- | -62} | on- | -64} | |
| | | 61} | | 63} | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### Sc | # | ### | # | ### | # | ##### |
| hool Behavior Problems | #### | ### | #### | ### | #### | # {#sec |
| | # { | { | # { | { | # { | tion-71} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -66} | on- | -68} | on- | -70} | |
| | | 67} | | 69} | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### Incarceration | # | ### | # | ### | # | ##### |
| | #### | ### | #### | ### | #### | # {#sec |
| | # { | { | # { | { | # { | tion-77} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -72} | on- | -74} | on- | -76} | |
| | | 73} | | 75} | | |
+------------------------+------+-----+------+-----+------+----------+
| ##### | # | ### | # | ### | # | ##### |
| # Other\_\_\_\_\_\_\_ | #### | ### | #### | ### | #### | # {#sec |
| \_\_\_\_\_\_\_\_\_\_\_ | # { | { | # { | { | # { | tion-83} |
| | #sec | #se | #sec | #se | #sec | |
| | tion | cti | tion | cti | tion | |
| | -78} | on- | -80} | on- | -82} | |
| | | 79} | | 81} | | |
+------------------------+------+-----+------+-----+------+----------+
| ###### Comments: | | | | | | |
| | | | | | | |
| | | | | | | |
+------------------------+------+-----+------+-----+------+----------+
+-------------------------------------------------------+-------+------+
| # Social | # Yes | # No |
+-------------------------------------------------------+-------+------+
| # Client re | # | # { |
| ports satisfaction with his/her family relationships. | {#s | #sec |
| | ectio | tion |
| | n-84} | -85} |
+-------------------------------------------------------+-------+------+
| # Client reports satisfact | # | # { |
| ion with his/her social relationships and activities. | {#s | #sec |
| | ectio | tion |
| | n-86} | -87} |
+-------------------------------------------------------+-------+------+
| # Client reports satisfaction with the | # | # { |
| entertainment/recreational activities he/she selects. | {#s | #sec |
| | ectio | tion |
| | n-88} | -89} |
+-------------------------------------------------------+-------+------+
| # Client expresses an | # | # { |
| interest in his community and the world, in general. | {#s | #sec |
| | ectio | tion |
| | n-90} | -91} |
+-------------------------------------------------------+-------+------+
| # Client has a history of or current legal inv | # | # { |
| olvement. *If Yes), complete Legal Status Screening.* | {#s | #sec |
| | ectio | tion |
| | n-92} | -93} |
+-------------------------------------------------------+-------+------+
| # Comments: | | |
| | | |
| | | |
+-------------------------------------------------------+-------+------+
# Functional Assessment
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
| ###### Is c | | | | | | | | |
| lient able to c | | | | | | | | |
| are for him/her | | | | | | | | |
| self? Yes No | | | | | | | | |
| | | | | | | | | |
| If No, please | | | | | | | | |
| explain: | | | | | | | | |
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
| ###### Li | | | | | | | | |
| ving Situation: | | | | | | | | |
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
| ###### Ho | | # | | | ## | | | ###### |
| using Adequate | | # | | | #### H | | | Homeless |
| | | # | | | ousing | | | |
| | | # | | | Overc | | | |
| | | # | | | rowded | | | |
| | | # | | | | | | |
| | | | | | | | | |
| | | H | | | | | | |
| | | o | | | | | | |
| | | u | | | | | | |
| | | s | | | | | | |
| | | i | | | | | | |
| | | n | | | | | | |
| | | g | | | | | | |
| | | | | | | | | |
| | | D | | | | | | |
| | | a | | | | | | |
| | | n | | | | | | |
| | | g | | | | | | |
| | | e | | | | | | |
| | | r | | | | | | |
| | | o | | | | | | |
| | | u | | | | | | |
| | | s | | | | | | |
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
| ###### Depend | | # | | | ### | | | |
| ent Upon Others | | # | | | ### Wa | | | |
| | | # | | | rd of | | | |
| | | # | | | State/ | | | |
| | | # | | | Tribal | | | |
| | | # | | | Court | | | |
| | | | | | | | | |
| | | I | | | | | | |
| | | n | | | | | | |
| | | c | | | | | | |
| | | a | | | | | | |
| | | r | | | | | | |
| | | c | | | | | | |
| | | e | | | | | | |
| | | r | | | | | | |
| | | a | | | | | | |
| | | t | | | | | | |
| | | e | | | | | | |
| | | d | | | | | | |
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
| #### | | | | | | | | |
| ## Additional I | | | | | | | | |
| nformation: | | | | | | | | |
| {#additional | | | | | | | | |
| -information-2} | | | | | | | | |
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
| ###### | | | | | | | | |
| {#section-94} | | | | | | | | |
| | | | | | | | | |
| ###### Uses or | | | | | | | | |
| Needs assistive | | | | | | | | |
| or adaptive de | | | | | | | | |
| vices (select a | | | | | | | | |
| ll that apply): | | | | | | | | |
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
| ###### None | # | | | # | | | ## | |
| | # | | | # | | | ### | |
| | # | | | # | | | # B | |
| | # | | | # | | | rai | |
| | # | | | # | | | lle | |
| | # | | | # | | | | |
| | | | | | | | | |
| | G | | | W | | | | |
| | l | | | a | | | | |
| | a | | | l | | | | |
| | s | | | k | | | | |
| | s | | | e | | | | |
| | e | | | r | | | | |
| | s | | | | | | | |
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
| #### | # | | | # | | | ## | |
| ## Hearing Aids | # | | | # | | | ### | |
| | # | | | # | | | # W | |
| | # | | | # | | | hee | |
| | # | | | # | | | lch | |
| | # | | | # | | | air | |
| | | | | | | | | |
| | C | | | C | | | | |
| | a | | | r | | | | |
| | n | | | u | | | | |
| | e | | | t | | | | |
| | | | | c | | | | |
| | | | | h | | | | |
| | | | | e | | | | |
| | | | | s | | | | |
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
| ###### | | | ### | | | # | | |
| Translated Writ | | | ### Trans | | | ### | | |
| ten Information | | | lator for | | | ## | | |
| | | | Speaking | | | Oth | | |
| | | | | | | er: | | |
| | | | | | | | | |
| | | | | | | | | |
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
| ###### Does | | | | | | | | |
| the client hav | | | | | | | | |
| e a history of | | | | | | | | |
| falls? Yes No | | | | | | | | |
| Explain: | | | | | | | | |
+-----------------+---+---+-----------+---+--------+-----+-----+----------+
# Legal Status Screening
+-----------------------+-----------------------+-----------------------+
| # Past or curre | | |
| nt legal problems (se | | |
| lect all that apply)? | | |
+-----------------------+-----------------------+-----------------------+
| None | Gangs | DUI/DWI |
+-----------------------+-----------------------+-----------------------+
| Arrests | Conviction | Detention |
+-----------------------+-----------------------+-----------------------+
| Jail | Probation | Other: |
+-----------------------+-----------------------+-----------------------+
| **If yes to any of | | |
| the above, please | | |
| explain:** | | |
+-----------------------+-----------------------+-----------------------+
| **Any court-ordered | | |
| treatment?** Yes | | |
| (explain below) No | | |
+-----------------------+-----------------------+-----------------------+
| ###### Ordered by | **Offense** | **Length of Time** |
+-----------------------+-----------------------+-----------------------+
| | | |
+-----------------------+-----------------------+-----------------------+
| | | |
+-----------------------+-----------------------+-----------------------+
| | | |
+-----------------------+-----------------------+-----------------------+
# Educational Status Screening
+-----------------------+-----------------------+---+--------------------+
| ###### Educational L | | | ###### Some coll |
| evel (select one): l | | | ege or tech school |
| ess than 12 years -- | | | |
| enter grade completed | | | |
+-----------------------+-----------------------+---+--------------------+
| ###### Unknown | ###### | # | |
| | High School Grad/GED | # | |
| | | # | |
| | | # | |
| | | # | |
| | | # | |
| | | | |
| | | | |
| | | C | |
| | | o | |
| | | l | |
| | | l | |
| | | e | |
| | | g | |
| | | e | |
| | | | |
| | | G | |
| | | r | |
| | | a | |
| | | d | |
| | | u | |
| | | a | |
| | | t | |
| | | e | |
+-----------------------+-----------------------+---+--------------------+
| ###### If st | | | |
| ill attending, curren | | | |
| t School/Grade: | | | |
+-----------------------+-----------------------+---+--------------------+
| ###### Vocational Sch | | | |
| ool/Skill Area: | | | |
+-----------------------+-----------------------+---+--------------------+
| ###### College/Gradu | | | |
| ate School -- Years C | | | |
| ompleted/Major: | | | |
+-----------------------+-----------------------+---+--------------------+
**Leisure & Recreation**
+-----------------------------------+-----------------------------------+
| **Which of the following does the | |
| client do? (Select all that | |
| apply)** | |
+-----------------------------------+-----------------------------------+
| Spend Time with Friends | Sports/Exercise |
+-----------------------------------+-----------------------------------+
| Classes | Dancing |
+-----------------------------------+-----------------------------------+
| Time with Family | Hobbies |
+-----------------------------------+-----------------------------------+
| Work Part-Time | Watch Movies/TV |
+-----------------------------------+-----------------------------------+
| Go "Downtown" | Stay at Home |
+-----------------------------------+-----------------------------------+
| Listen to Music | Spend Time at Clubs/Bars |
+-----------------------------------+-----------------------------------+
| Go to Casinos | Other: |
+-----------------------------------+-----------------------------------+
| # What limits the client's | |
| leisure/recreational activities? | |
| | |
| | |
+-----------------------------------+-----------------------------------+
Family Social History
+-----------------------------------------------------------------------+
| **Describe family relationships & desire for involvement in the |
| treatment process:** |
| |
| |
| |
| **Perceived level of support for treatment? (scale 1-5 with 5 being |
| the most supportive) ** |
+-----------------------------------------------------------------------+
+-----------------------------------------------------+--------+------+
| ### Psychological | ## | ** |
| | ## Yes | No** |
+-----------------------------------------------------+--------+------+
| Client accepts responsibility for creating his/her | | |
| own feelings. | | |
+-----------------------------------------------------+--------+------+
| Client accepts responsibility for his/her own | | |
| actions. | | |
+-----------------------------------------------------+--------+------+
| Client makes decisions with a minimum of stress and | | |
| worry. | | |
+-----------------------------------------------------+--------+------+
| Client is able to express feelings of anger, | | |
| disappointment, frustration, etc. | | |
+-----------------------------------------------------+--------+------+
| Client reports a stable emotional life. | | |
+-----------------------------------------------------+--------+------+
| Client feels enthusiastic about his/her life. | | |
+-----------------------------------------------------+--------+------+
| Client reports adequate energy level. | | |
+-----------------------------------------------------+--------+------+
| Client reports sleep is restful & adequate. | | |
+-----------------------------------------------------+--------+------+
| Client reports he/she feels positive about self. | | |
+-----------------------------------------------------+--------+------+
| **Comments:** | | |
| | | |
| | | |
+-----------------------------------------------------+--------+------+
# {#section-95}
# Bereavement/Loss & Spiritual Awareness
+-----------------------------------------------------------------------+
| ###### Pleas |
| e list significant losses, deaths, abandonments, traumatic incidents: |
| |
| |
+-----------------------------------------------------------------------+
| # {#section-96} |
| |
| # Spiritual/Cultural Awareness & Practice |
+-----------------------------------------------------------------------+
| # |
| Knowledgeable about traditions, spirituality, or religion? Yes No |
| |
| # Comment: |
| |
| |
+-----------------------------------------------------------------------+
| # Practices traditions, spirituality, or religion? Yes No |
| |
| # Comment: |
| |
| |
+-----------------------------------------------------------------------+
| # How does client describe his/her spirituality? |
+-----------------------------------------------------------------------+
| # Does client see a traditional healer? Yes No |
| |
| # Comment: |
| |
| |
| |
| # {#section-97} |
+-----------------------------------------------------------------------+
Behavioral Assessment
<table>
<colgroup>
<col style="width: 23%" />
<col style="width: 1%" />
<col style="width: 8%" />
<col style="width: 0%" />
<col style="width: 3%" />
<col style="width: 12%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 11%" />
<col style="width: 8%" />
<col style="width: 9%" />
<col style="width: 15%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="12"><h6 id="section-98"></h6>
<h6 id="abuseaddiction-chemical-behavioral">Abuse/Addiction – Chemical
& Behavioral</h6></td>
</tr>
<tr class="even">
<td><h6 id="drug">Drug</h6></td>
<td colspan="4"><h6 id="age-first-used">Age First Used</h6></td>
<td colspan="3"><h6 id="age-heaviest-use">Age Heaviest Use</h6></td>
<td colspan="3"><h6
id="recent-pattern-of-use-frequency-amount-etc">Recent Pattern of Use
(frequency & Amount, etc)</h6></td>
<td><h6 id="date-last-used">Date Last Used</h6></td>
</tr>
<tr class="odd">
<td><h6 id="alcohol">Alcohol</h6></td>
<td colspan="4"><h6 id="section-99"> </h6></td>
<td colspan="3"><h6 id="section-100"> </h6></td>
<td colspan="3"><h6 id="section-101"> </h6></td>
<td><h6 id="section-102"> </h6></td>
</tr>
<tr class="even">
<td><h6 id="cannabis">Cannabis</h6></td>
<td colspan="4"><h6 id="section-103"> </h6></td>
<td colspan="3"><h6 id="section-104"> </h6></td>
<td colspan="3"><h6 id="section-105"> </h6></td>
<td><h6 id="section-106"> </h6></td>
</tr>
<tr class="odd">
<td><h6 id="cocaine">Cocaine</h6></td>
<td colspan="4"><h6 id="section-107"> </h6></td>
<td colspan="3"><h6 id="section-108"> </h6></td>
<td colspan="3"><h6 id="section-109"> </h6></td>
<td><h6 id="section-110"> </h6></td>
</tr>
<tr class="even">
<td><h6 id="stimulants-crystal-speed-amphetamines-etc">Stimulants
(crystal, speed, amphetamines, etc)</h6></td>
<td colspan="4"><h6 id="section-111"> </h6></td>
<td colspan="3"><h6 id="section-112"> </h6></td>
<td colspan="3"><h6 id="section-113"> </h6></td>
<td><h6 id="section-114"> </h6></td>
</tr>
<tr class="odd">
<td><h6 id="methamphetamine">Methamphetamine</h6></td>
<td colspan="4"><h6 id="section-115"> </h6></td>
<td colspan="3"><h6 id="section-116"> </h6></td>
<td colspan="3"><h6 id="section-117"> </h6></td>
<td><h6 id="section-118"> </h6></td>
</tr>
<tr class="even">
<td><h6 id="inhalants-gas-paint-glue-etc">Inhalants (gas, paint, glue,
etc)</h6></td>
<td colspan="4"><h6 id="section-119"> </h6></td>
<td colspan="3"><h6 id="section-120"> </h6></td>
<td colspan="3"><h6 id="section-121"> </h6></td>
<td><h6 id="section-122"> </h6></td>
</tr>
<tr class="odd">
<td><h6 id="hallucinogens-lsd-pcp-mushrooms-etc">Hallucinogens (LSD,
PCP, mushrooms, etc)</h6></td>
<td colspan="4"><h6 id="section-123"> </h6></td>
<td colspan="3"><h6 id="section-124"> </h6></td>
<td colspan="3"><h6 id="section-125"> </h6></td>
<td><h6 id="section-126"> </h6></td>
</tr>
<tr class="even">
<td><h6 id="opioids-heroin-narcotics-methadone-etc">Opioids (heroin,
narcotics, methadone, etc)</h6></td>
<td colspan="4"><h6 id="section-127"> </h6></td>
<td colspan="3"><h6 id="section-128"> </h6></td>
<td colspan="3"><h6 id="section-129"> </h6></td>
<td><h6 id="section-130"> </h6></td>
</tr>
<tr class="odd">
<td><h6 id="sedativehypnotics-valium-phenobarb-etc">Sedative/Hypnotics
(Valium, Phenobarb, etc)</h6></td>
<td colspan="4"><h6 id="section-131"> </h6></td>
<td colspan="3"><h6 id="section-132"> </h6></td>
<td colspan="3"><h6 id="section-133"> </h6></td>
<td><h6 id="section-134"> </h6></td>
</tr>
<tr class="even">
<td><h6
id="designer-drugsother-herbal-steroids-cough-syrup-etc">Designer
Drugs/Other (herbal, Steroids, cough syrup, etc)</h6></td>
<td colspan="4"><h6 id="section-135"> </h6></td>
<td colspan="3"><h6 id="section-136"> </h6></td>
<td colspan="3"><h6 id="section-137"> </h6></td>
<td><h6 id="section-138"> </h6></td>
</tr>
<tr class="odd">
<td><h6 id="tobacco-smoke-chew">Tobacco (smoke, chew)</h6></td>
<td colspan="4"><h6 id="section-139"> </h6></td>
<td colspan="3"><h6 id="section-140"> </h6></td>
<td colspan="3"><h6 id="section-141"> </h6></td>
<td><h6 id="section-142"> </h6></td>
</tr>
<tr class="even">
<td><h6 id="caffeine">Caffeine</h6></td>
<td colspan="4"><h6 id="section-143"> </h6></td>
<td colspan="3"><h6 id="section-144"> </h6></td>
<td colspan="3"><h6 id="section-145"> </h6></td>
<td><h6 id="section-146"> </h6></td>
</tr>
<tr class="odd">
<td colspan="8"><h6 id="ever-injected-drugs-yes-no">Ever injected Drugs?
Yes No</h6></td>
<td colspan="4"><h6 id="if-yes-which-ones">If Yes, Which ones?
</h6></td>
</tr>
<tr class="even">
<td colspan="12"><h6 id="drug-of-choice">Drug of Choice? </h6></td>
</tr>
<tr class="odd">
<td colspan="12"><h6 id="section-147"></h6>
<h6
id="consequences-as-a-result-of-drugalcohol-use-select-all-that-apply">Consequences
as a Result of Drug/Alcohol Use (select all that apply)</h6></td>
</tr>
<tr class="even">
<td colspan="2"><h6 id="hangovers"> Hangovers</h6></td>
<td colspan="4"><h6 id="dtsshakes"> DTs/Shakes</h6></td>
<td colspan="4"><h6 id="blackouts"> Blackouts</h6></td>
<td colspan="2"><h6 id="binges"> Binges</h6></td>
</tr>
<tr class="odd">
<td colspan="2"><h6 id="overdoses"> Overdoses</h6></td>
<td colspan="4"><h6 id="increased-tolerance-need-more-to-get-high">
Increased Tolerance (need more to get high)</h6></td>
<td colspan="4"><h6 id="gi-bleeding"> GI Bleeding</h6></td>
<td colspan="2"><h6 id="liver-disease"> Liver Disease</h6></td>
</tr>
<tr class="even">
<td colspan="2"><h6 id="sleep-problems"> Sleep Problems</h6></td>
<td colspan="4"><h6 id="seizures"> Seizures</h6></td>
<td colspan="4"><h6 id="relationship-problems"> Relationship
Problems</h6></td>
<td colspan="2"><h6 id="left-school"> Left School</h6></td>
</tr>
<tr class="odd">
<td colspan="2"><h6 id="lost-job"> Lost Job</h6></td>
<td colspan="4"><h6 id="duis"> DUIs</h6></td>
<td colspan="4"><h6 id="assaults"> Assaults</h6></td>
<td colspan="2"><h6 id="arrests"> Arrests</h6></td>
</tr>
<tr class="even">
<td colspan="2"><h6 id="incarcerations"> Incarcerations</h6></td>
<td colspan="4"><h6 id="homicide"> Homicide</h6></td>
<td colspan="6"><h6 id="other-2"> Other: </h6></td>
</tr>
<tr class="odd">
<td colspan="6"><h6 id="longest-period-of-sobriety">Longest Period of
Sobriety? </h6></td>
<td colspan="6"><h6 id="how-long-ago">How long ago? </h6></td>
</tr>
<tr class="even">
<td colspan="12"><h6 id="triggers-to-use-list-all-that-apply">Triggers
to use (list all that apply): </h6></td>
</tr>
<tr class="odd">
<td colspan="12"><strong>Has client traded sex for drugs?</strong> No
Yes, explain: </td>
</tr>
<tr class="even">
<td colspan="12"><strong>Has client been tested for HIV?</strong> Yes
No</td>
</tr>
<tr class="odd">
<td colspan="7"><strong>If yes, date of last test:</strong> </td>
<td colspan="5"><strong>Results:</strong> </td>
</tr>
<tr class="even">
<td colspan="12"><strong>Has client had any of the following problem
gambling behaviors?</strong> Select all that apply:</td>
</tr>
<tr class="odd">
<td colspan="4"> Gambled longer than planned</td>
<td colspan="8"> Gambled until last dollar was gone</td>
</tr>
<tr class="even">
<td colspan="4"> Lost sleep thinking of gambling</td>
<td colspan="8"> Used income or savings to gamble while letting bills go
unpaid</td>
</tr>
<tr class="odd">
<td colspan="4"> Borrowed money to gamble</td>
<td colspan="8"> Made repeated, unsuccessful attempts to stop
gambling</td>
</tr>
<tr class="even">
<td colspan="4"> Been remorseful after gambling</td>
<td colspan="8"> Broken the law or considered breaking the law to
finance gambling</td>
</tr>
<tr class="odd">
<td colspan="4"> Other: </td>
<td colspan="8"> Gambled to get money to meet financial obligations</td>
</tr>
<tr class="even">
<td colspan="12"><strong>Risk Taking/Impulsive Behavior (current/past) –
select all that apply:</strong></td>
</tr>
<tr class="odd">
<td colspan="3"><h6 id="unprotected-sex"> Unprotected sex</h6></td>
<td colspan="6"><h6 id="shoplifting"> Shoplifting</h6></td>
<td colspan="3"><h6 id="reckless-driving"> Reckless driving</h6></td>
</tr>
<tr class="even">
<td colspan="3"><h6 id="gang-involvement"> Gang Involvement</h6></td>
<td colspan="6"><h6 id="drug-dealing"> Drug Dealing</h6></td>
<td colspan="3"><h6 id="carryingusing-weapon"> Carrying/using
weapon</h6></td>
</tr>
<tr class="odd">
<td colspan="12"><h6 id="other-3"> Other: </h6></td>
</tr>
</tbody>
</table>
**Abuse/Neglect/Exploitation Assessment**
+-------------------------------+-----------------+--------+----------+
| ###### Hist | | | |
| ory of neglect (emotional, nu | | | |
| tritional, medical, education | | | |
| al) or exploitation? No Yes | | | |
| | | | |
| ###### | | | |
| If yes, please explain: | | | |
+-------------------------------+-----------------+--------+----------+
| ###### Has clie | | | |
| nt been abused at any time in | | | |
| the past or present by famil | | | |
| y, significant others, or any | | | |
| one else?) No Yes, explain: | | | |
+-------------------------------+-----------------+--------+----------+
| ###### Type of Abuse | ###### By Whom | #### | ###### |
| | | ## Cli | Currentl |
| | | ent's | y Occurr |
| | | Age(s) | ing? Y/N |
+-------------------------------+-----------------+--------+----------+
| ###### Verbal Putdowns | ###### | ### | ### |
| | {#section-148} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-150} |
| | | n-149} | |
+-------------------------------+-----------------+--------+----------+
| ###### Being threatened | ###### | ### | ### |
| | {#section-151} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-153} |
| | | n-152} | |
+-------------------------------+-----------------+--------+----------+
| ###### Made to feel afraid | ###### | ### | ### |
| | {#section-154} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-156} |
| | | n-155} | |
+-------------------------------+-----------------+--------+----------+
| ###### Pushed | ###### | ### | ### |
| | {#section-157} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-159} |
| | | n-158} | |
+-------------------------------+-----------------+--------+----------+
| ###### Shoved | ###### | ### | ### |
| | {#section-160} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-162} |
| | | n-161} | |
+-------------------------------+-----------------+--------+----------+
| ###### Slapped | ###### | ### | ### |
| | {#section-163} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-165} |
| | | n-164} | |
+-------------------------------+-----------------+--------+----------+
| ###### Kicked | ###### | ### | ### |
| | {#section-166} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-168} |
| | | n-167} | |
+-------------------------------+-----------------+--------+----------+
| ###### Strangled | ###### | ### | ### |
| | {#section-169} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-171} |
| | | n-170} | |
+-------------------------------+-----------------+--------+----------+
| ###### Hit | ###### | ### | ### |
| | {#section-172} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-174} |
| | | n-173} | |
+-------------------------------+-----------------+--------+----------+
| ###### Forced or | ###### | ### | ### |
| coerced into sexual activity | {#section-175} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-177} |
| | | n-176} | |
+-------------------------------+-----------------+--------+----------+
| ###### Other {#other-4} | ###### | ### | ### |
| | {#section-178} | ### | ### |
| | | {# | {#sect |
| | | sectio | ion-180} |
| | | n-179} | |
+-------------------------------+-----------------+--------+----------+
| ###### {#section-181} | ###### | | |
| | {#section-182} | | |
| ### | | | |
| ### Was it reported? Yes No | ###### | | |
| | To whom? | | |
+-------------------------------+-----------------+--------+----------+
| ###### Outcome | | | |
| | | | |
| | | | |
+-------------------------------+-----------------+--------+----------+
| ###### Has client e | | | |
| ver witnessed abuse or family | | | |
| violence? No Yes, explain: | | | |
| | | | |
| | | | |
+-------------------------------+-----------------+--------+----------+
+-----------------------------------------------------+--------+------+
| # Strengths/Weaknesses | * | ** |
| | *Yes** | No** |
+-----------------------------------------------------+--------+------+
| Client is able to seek out appropriate resources | | |
| for assistance with identified problems. | | |
+-----------------------------------------------------+--------+------+
| Client is able to identify both his/her strengths | | |
| and weaknesses. | | |
+-----------------------------------------------------+--------+------+
| **Comments:** | | |
+-----------------------------------------------------+--------+------+
| **Strengths/Resources (enter score if present)** 1 | | |
| = Adequate, 2 = Above Average, 3 = Exceptional | | |
| | | |
| ------------------- | | |
| ---------- -------------------- ------------------- | | |
| Family Suppo | | |
| rt Social Support Relationship | | |
| | | |
| Systems Stability | | |
| | | |
| Intellect | | |
| ual/Cognitive Coping Skills & Parenting | | |
| Skills | | |
| Resiliency Skills | | |
| | | |
| Socio-Eco | | |
| nomic Stability Communication Insight & | | |
| | | |
| Skills Sensitivity | | |
| | | |
| Maturity & J | | |
| udgment Motivation for Other: | | |
| | | |
| Skills Help | | |
| ------------------- | | |
| ---------- -------------------- ------------------- | | |
| | | |
| **Comments:** | | |
+-----------------------------------------------------+--------+------+
| **Describe appropriateness & level of need for the | | |
| family's participation:** | | |
+-----------------------------------------------------+--------+------+
Mental Status Exam
<table>
<colgroup>
<col style="width: 16%" />
<col style="width: 8%" />
<col style="width: 8%" />
<col style="width: 3%" />
<col style="width: 0%" />
<col style="width: 2%" />
<col style="width: 4%" />
<col style="width: 0%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 0%" />
<col style="width: 1%" />
<col style="width: 6%" />
<col style="width: 5%" />
<col style="width: 2%" />
<col style="width: 3%" />
<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 20%" />
</colgroup>
<tbody>
<tr class="odd">
<td><h2 id="category"><strong>Category</strong></h2></td>
<td colspan="18"><h3 id="selections">Selections</h3></td>
</tr>
<tr class="even">
<td colspan="19"><strong>GENERAL OBSERVATIONS</strong></td>
</tr>
<tr class="odd">
<td><h2 id="appearance"><strong>Appearance</strong></h2></td>
<td colspan="3"> Well groomed</td>
<td colspan="6"> Unkempt</td>
<td colspan="6"> Disheveled</td>
<td colspan="3"> Malodorous</td>
</tr>
<tr class="even">
<td><strong>Build</strong></td>
<td colspan="3"> Average</td>
<td colspan="6"> Thin</td>
<td colspan="6"> Overweight</td>
<td colspan="3"> Obese</td>
</tr>
<tr class="odd">
<td rowspan="2"><strong>Demeanor</strong></td>
<td colspan="3"> Cooperative</td>
<td colspan="6"> Hostile</td>
<td colspan="6"> Guarded</td>
<td colspan="3"> Withdrawn</td>
</tr>
<tr class="even">
<td colspan="7"> Preoccupied</td>
<td colspan="7"> Demanding</td>
<td colspan="4"> Seductive</td>
</tr>
<tr class="odd">
<td><strong>Eye Contact</strong></td>
<td colspan="7"> Average</td>
<td colspan="7"> Decreased</td>
<td colspan="4"> Increased</td>
</tr>
<tr class="even">
<td><strong>Activity</strong></td>
<td colspan="7"> Average</td>
<td colspan="7"> Decreased</td>
<td colspan="4"> Increased</td>
</tr>
<tr class="odd">
<td rowspan="3"><strong>Speech</strong></td>
<td colspan="3"> Clear</td>
<td colspan="6"> Slurred</td>
<td colspan="6"> Rapid</td>
<td colspan="3"> Slow</td>
</tr>
<tr class="even">
<td colspan="3"> Pressured</td>
<td colspan="6"> Soft</td>
<td colspan="6"> Loud</td>
<td colspan="3"> Monotone</td>
</tr>
<tr class="odd">
<td colspan="18">Describe: </td>
</tr>
<tr class="even">
<td colspan="19"><strong>THOUGHT CONTENT</strong></td>
</tr>
<tr class="odd">
<td><strong>Delusions</strong></td>
<td colspan="4"> None Reported</td>
<td colspan="6"> Grandiose</td>
<td colspan="6"> Persecutory</td>
<td colspan="2"> Somatic</td>
</tr>
<tr class="even">
<td rowspan="2"></td>
<td colspan="6"> Bizarre</td>
<td colspan="7"> Nihilist</td>
<td colspan="5"> Religious</td>
</tr>
<tr class="odd">
<td colspan="18">Describe: </td>
</tr>
<tr class="even">
<td rowspan="4"><strong>Other</strong></td>
<td colspan="4"> None Reported</td>
<td colspan="6"> Poverty of Content</td>
<td colspan="6"> Obsessions</td>
<td colspan="2"> Compulsions</td>
</tr>
<tr class="odd">
<td colspan="4"> Phobias</td>
<td colspan="6"> Guilt</td>
<td colspan="6"> Anhedonia</td>
<td colspan="2">Thought Insertion</td>
</tr>
<tr class="even">
<td colspan="10"> Ideas of Reference</td>
<td colspan="8"> Thought Broadcasting</td>
</tr>
<tr class="odd">
<td colspan="18">Describe: </td>
</tr>
<tr class="even">
<td rowspan="2"><strong>Self Abuse</strong></td>
<td colspan="11"> None Reported</td>
<td colspan="7"> Self Mutilization</td>
</tr>
<tr class="odd">
<td colspan="11"> Suicidal (assess lethality if present)</td>
<td colspan="6"> Intent</td>
<td> Plan</td>
</tr>
<tr class="even">
<td><strong>Aggressive</strong></td>
<td colspan="5"> None Reported</td>
<td colspan="13"> Aggressive (assess lethality of present)</td>
</tr>
<tr class="odd">
<td></td>
<td colspan="11"> Intent</td>
<td colspan="7"> Plan</td>
</tr>
<tr class="even">
<td colspan="19"><strong>PERCEPTION</strong></td>
</tr>
<tr class="odd">
<td rowspan="3"><strong>Hallucinations</strong></td>
<td colspan="6"> None Reported</td>
<td colspan="7"> Auditory</td>
<td colspan="5"> Visual</td>
</tr>
<tr class="even">
<td colspan="6"> Olfactory</td>
<td colspan="7"> Gustatory</td>
<td colspan="5"> Tactile</td>
</tr>
<tr class="odd">
<td colspan="18">Describe: </td>
</tr>
<tr class="even">
<td><strong>Other</strong></td>
<td colspan="4"> None Reported</td>
<td colspan="6"> Illusions</td>
<td colspan="6"> Depersonalization</td>
<td colspan="2"> Derealization</td>
</tr>
<tr class="odd">
<td colspan="19"><strong>THOUGHT PROCESS</strong></td>
</tr>
<tr class="even">
<td colspan="2"> Logical</td>
<td colspan="7"> Goal Oriented</td>
<td colspan="6"> Circumstantial</td>
<td colspan="4"> Tangential</td>
</tr>
<tr class="odd">
<td colspan="2"> Loose</td>
<td colspan="7"> Rapid Thoughts</td>
<td colspan="6"> Incoherent</td>
<td colspan="4"> Concrete</td>
</tr>
<tr class="even">
<td colspan="2"> Blocked</td>
<td colspan="7"> Flight of Ideas</td>
<td colspan="6"> Perserverative</td>
<td colspan="4"> Derailment</td>
</tr>
<tr class="odd">
<td colspan="19">Describe: </td>
</tr>
<tr class="even">
<td colspan="19"><strong>MOOD</strong></td>
</tr>
<tr class="odd">
<td colspan="3"> Euthymic</td>
<td colspan="10"> Depressed</td>
<td colspan="6"> Anxious</td>
</tr>
<tr class="even">
<td colspan="3"> Angry</td>
<td colspan="10"> Euphoric</td>
<td colspan="6"> Irritable</td>
</tr>
<tr class="odd">
<td colspan="19"><strong>AFFECT</strong></td>
</tr>
<tr class="even">
<td colspan="2"> Flat</td>
<td colspan="7"> Inappropriate</td>
<td colspan="6"> Labile</td>
<td colspan="4"> Blunted</td>
</tr>
<tr class="odd">
<td colspan="3"> Congruent with Mood</td>
<td colspan="10"> Full</td>
<td colspan="6"> Constricted</td>
</tr>
<tr class="even">
<td colspan="19"><strong>BEHAVIOR</strong></td>
</tr>
<tr class="odd">
<td colspan="3"> No behavior issues</td>
<td colspan="10"> Assaultive</td>
<td colspan="6"> Resistant</td>
</tr>
<tr class="even">
<td colspan="3"> Aggressive</td>
<td colspan="10"> Agitated</td>
<td colspan="6"> Hyperactive</td>
</tr>
<tr class="odd">
<td colspan="3"> Restless</td>
<td colspan="10"> Sleepy</td>
<td colspan="6"> Intrusive</td>
</tr>
<tr class="even">
<td colspan="19"><strong>MOVEMENT</strong></td>
</tr>
<tr class="odd">
<td colspan="2"> Akasthisia</td>
<td colspan="7"> Dystonia</td>
<td colspan="6"> Tardive Dyskinesia</td>
<td colspan="4"> Tics</td>
</tr>
<tr class="even">
<td colspan="19">Describe: </td>
</tr>
<tr class="odd">
<td colspan="19"><strong>COGNITION</strong></td>
</tr>
<tr class="even">
<td rowspan="3"><strong>Impairment of:</strong></td>
<td colspan="8"> None Reported</td>
<td colspan="6"> Orientation</td>
<td colspan="4"> Memory</td>
</tr>
<tr class="odd">
<td colspan="8"> Attention/Concentration</td>
<td colspan="10"> Ability to Abstract</td>
</tr>
<tr class="even">
<td colspan="18">Describe: </td>
</tr>
<tr class="odd">
<td><strong>Intelligence Estimate</strong></td>
<td colspan="4"> Mental Retardation</td>
<td colspan="6"> Borderline</td>
<td colspan="6"> Average</td>
<td colspan="2"> Above Average</td>
</tr>
<tr class="even">
<td colspan="5"><strong>IMPULSE CONTROL</strong></td>
<td colspan="6"> Good</td>
<td colspan="6"> Poor</td>
<td colspan="2"> Absent</td>
</tr>
<tr class="odd">
<td colspan="5"><strong>INSIGHT</strong></td>
<td colspan="6"> Good</td>
<td colspan="6"> Poor</td>
<td colspan="2"> Absent</td>
</tr>
<tr class="even">
<td colspan="5"><strong>JUDGMENT</strong></td>
<td colspan="6"> Good</td>
<td colspan="6"> Poor</td>
<td colspan="2"> Absent</td>
</tr>
</tbody>
</table>
----------------- -------------- --------- ------------ -------------- --------------
**RISK
ASSESSMENT**
**Risk to Self** Low Medium High Chronic
**Risk to Low Medium High Chronic
Others**
**Serious current
risk of any of
the following:
(Immediate
response
needed)**
**Abuse or Family **Abuse or
Violence** Yes No Family
Violence**
Yes No
**Psychotic or
Severely
Psychologically
Disabled** Yes No
**Is there a **Any other
handgun in the weapons?**
home?** Yes No Yes No
**Plan:**
**Safety Plan
Reviewed** Yes No
----------------- -------------- --------- ------------ -------------- --------------
Diagnoses and Interpretive Summary
+--------+-------------------------------------------------------------+
| #### | |
| ## Bio | |
| psycho | |
| social | |
| formu | |
| lation | |
+--------+-------------------------------------------------------------+
| #### | |
| ## {# | |
| sectio | |
| n-183} | |
| | |
| | |
+--------+-------------------------------------------------------------+
| ## | |
| #### D | |
| SM IV- | |
| TR Pro | |
| vision | |
| al Dia | |
| gnoses | |
+--------+-------------------------------------------------------------+
| **Axis | |
| I** | |
| | |
+--------+-------------------------------------------------------------+
| **Axis | |
| II** | |
| | |
+--------+-------------------------------------------------------------+
| **Axis | |
| III** | |
| | |
+--------+-------------------------------------------------------------+
| **Axis | |
| IV** | |
| | |
+--------+-------------------------------------------------------------+
| **Axis | |
| V** | |
+--------+-------------------------------------------------------------+
+-----------------------------------------------------------------------+
| # Treatment Acceptance/Resistance |
+-----------------------------------------------------------------------+
| **Client accepts problem?** No Yes Comment: |
+-----------------------------------------------------------------------+
| **Client recognizes need for treatment?** No Yes Comment: |
+-----------------------------------------------------------------------+
| **Client minimizes or blames others?** No Yes Comment: |
+-----------------------------------------------------------------------+
| **External motivation is primary?** No Yes Comment: |
+-----------------------------------------------------------------------+
# Preliminary Treatment Plan & Referrals
+-----------------+-----------------+--------+-----+------------------+
| #### | | | | |
| ## Preliminary | | | | |
| Biopsychosocial | | | | |
| Treatment Plan | | | | |
+-----------------+-----------------+--------+-----+------------------+
| **Biological:** | | | | |
| | | | | |
| | | | | |
| **P | | | | |
| sychological:** | | | | |
| | | | | |
| | | | | |
| **Social/E | | | | |
| nvironmental:** | | | | |
| | | | | |
+-----------------+-----------------+--------+-----+------------------+
| # | | | | |
| ##### Referrals | | | | |
+-----------------+-----------------+--------+-----+------------------+
| Psychiatrist | Psychologist | | | Spiritual |
| | | M | | Counselor |
| | | edical | | |
| | | Pr | | |
| | | ovider | | |
+-----------------+-----------------+--------+-----+------------------+
| Benefits | Nutritionist | | | Vocational |
| Coordinator | | Re | | Counselor |
| | | habili | | |
| | | tation | | |
+-----------------+-----------------+--------+-----+------------------+
| Social Worker | Community | | | |
| | Agency: | | Oth | |
| | | | er: | |
| | | | | |
| | | | | |
+-----------------+-----------------+--------+-----+------------------+
Physical Fitness (Optional)
+-----------------------------------------------------------------------+
| ###### {#section-184} |
| |
| ###### Physical Activity (please sel |
| ect one of the following based on activity level for the past month): |
| |
| > Avoids walking or exertion, e.g. always uses elevator, drives |
| > whenever possible instead of |
| > |
| > walking. |
| > |
| > Walks for pleasure, routinely uses stairs, occasionally exercises |
| > sufficiently to cause heavy |
| > |
| > breathing or perspiration. |
| > |
| > Participates regularly in recreation or work requiring **modest |
| > physical activity** such as golf, |
| > |
| > horseback riding, calisthenics, gymnastics, table tennis, bowling, |
| > weight lifting, and yard work. |
| > |
| > 10-60 minutes per week |
| > |
| > More than one hour per week |
| > |
| > Participates regularly in **heavy physical exercise,** such as |
| > running, jogging, swimming, cycling, |
| > |
| > rowing, skipping rope, running in place or engaging in vigorous |
| > aerobic activity such as tennis, |
| > |
| > basketball or handball. |
| > |
| > Runs less than a mile a week or engages in other exercise for less |
| > than 30 minutes |
| > |
| > per week |
| > |
| > Runs 1-5 miles per week or engages in other exercise for 30-60 |
| > minutes per week |
| > |
| > Runs 5-10 miles per week or engages in other exercise for 1-3 hours |
| > per week |
| > |
| > Runs more than 10 miles per week or engages in other exercise for |
| > more than 3 hours |
| > |
| > per week |
+-----------------------------------------------------------------------+
|
en
|
all-txt-docs
|
154017
|
June 8, 1995 LBL 37315.txt
Values and the Quantum Conception of Man
Henry P. Stapp
Lawrence Berkeley Laboratory
University of California
Berkeley, California 94720
ABSTRACT
Classical mechanics is based upon a mechanical picture of nature that is
fundamentally incorrect. It has been replaced at the basic level by a radically
different theory: quantum mechanics. This change entails an enormous shift in
our basic conception of nature, one that can profoundly alter the scientific
image of man himself. Self-image is the foundation of values, and the
replacement of the mechanistic self-image derived from classical mechanics by
one concordant with quantum mechanics may provide the foundation of a moral
order better suited to our times, a self-image that endows human life with
meaning, responsibility, and a deeper linkage to nature as a whole.
Invited contribution to the UNESCO sponsored Symposium
Science and Culture: A Common Path for the Future
Tokyo, September 10-15, 1995
Footnote: This work was supported by the Director, Office of Energy
Research, Office of High Energy and Nuclear Physics, Division of High
Energy Physics of the U.S. Department of Energy under Contract
DE-AC03-76SF00098.}
Footnote: Italics are indicated by *...* .
1. Introduction
Science has enriched our lives in many ways. It has lightened the burden of
dreary tasks and enhanced our creative capacities. It has conquered diseases
and extended our productive years. It has broadened our understanding of the
universe about us and our place within it. Yet, while conferring these
benefits, it has created the problems of crowding, pollution, alienation, and
even the threat of self-extinction. To resolve these problems a moral base is
needed. However, science has also largely destroyed, at least among the
educated, the traditional foundation of morality, namely ancient beliefs about
our link to the power that created both ourselves and the world about us. In
particular, classical mechanics, which for centuries was our basic science,
transformed the impulse that forms and sustains the world into a primordial
burst of energy that set the universe in motion, but then lapsed into total
passivity. Each man became, in this classical conception, a mechanical and
microscopically controlled automata whose every action was preordained before
he was born. Gone, or diminished, is the idea that we bear responsibility for
our actions, for we were taught by science to see ourselves not as agents of a
creative power, free to choose from among options, but rather as mechanical
devices running on automatic, ruled by forces beyond our control. Science,
having thus undermined the traditional foundation of morality, seemed to offer
no adequate replacement.
In its original seventeenth-century form classical mechanics did not wholly
eliminate the capacity of spirit and mind to influence the course of human
actions. Thoughts were allowed to interact with brains and, through them, to
affect the motions of our bodies. But by the beginning of the present century
both thoughts and gods alike had, according to science, been rendered impotent:
they could do no more than passively observe the mechanically generated course
of physical events. The clarity and consistency of this conception of the
universe seemed so perfect, and the power of the idea to produce both beguiling
new products and stable nations seemed so strong, that its survival seemed
assured. Yet these concepts are fundamentally incorrect. They are unable to
account for the detailed behavior of various materials, and by the 1930's this
mechanical conception of nature had been replaced at the fundamental level by
something profoundly different: quantum mechanics.
The enormous conceptual gulf between quantum mechanics and classical mechanics
has blocked the dissemination of this radically new conception of man and
nature into the intellectual community at large. Hence its impact upon moral
philosophy has been virtually nil. Yet one can scarcely imagine that the world
view that had served as the ideological basis of the industrial and early
scientific age can become so thoroughly repudiated without its explosive impact
on our conception of ourselves eventually asserting itself. Indeed, the
greatest remaining gift of science to man may be not a still greater mastery of
our physical environment, but rather an unraveling of the mystery of our own
beingness, and the consequent rise of a rational system of values based on a
more valid self image.
In this contribution to the symposium I shall describe what appears to me to be
the impact upon moral issues of the quantum revolution in science. Because
these questions appeared to have no immediate professional relevance to
scientists, the issues have not yet been widely discussed by those best equipt
to understand them. I shall therefore endeavour to describe the situation in a
way that will be clear to nonscientists, who will need to see beyond the
technicalities, and also to physicist, who will want to see, in some form, the
technical basis.
2. From Atom to Man
Quantum mechanics was originally a theory about atoms and their constituents:
it was about our observations on systems composed of electrons, photons, and
atomic nucleii. However, these are the same elements from which most materials
are made, including the tissues and other components of our brains and bodies.
Consequently, quantum mechanics is not merely a theory about atoms: it is our
fundamental physical theory about the detailed behavior of all material things,
including our own bodies and brains. Yet the relationship of quantum mechanics
to man goes far beyond the fact that our bodies and brains are composed of
atoms. In order to construct a rationally coherent theory of atomic phenomena
Niels Bohr found it necessary to bring human observers into the theory:
classically describable perceptions of human observers became the basic
realities of the theory, and the mathematical formalism was construed not as
the description of the actual form or structure of an externally existing
reality, but rather as a scheme that scientist and engineers could use to make
predictions about the structure of their experiences pertaining to a world that
was given no definite actual form independently of our experience of it. This
radical move was fiercely opposed by Einstein, and many other eminent
physicists of that time. But they could come up with no satisfactory
alternative.
The issue was subsequently re-opened, and logically acceptable alternatives to
the Bohr interpretation are now available. But the fact remains that any theory
that fits the empirical facts must accept as elements either perceptions of
human obervers, or other elements that, like human perceptions, link together
sequences of classically describable states as *alternative* possibilities,
even though the basic quantum mechanical law of motion, the Schroedinger
equation, generates no such *either-or* decomposition.
There is no empirical evidence supporting the notion that there is anything
other than consciousness, or mind, that makes this separation into
*alternative* possibilities, and chooses between them. Moreover, if something
else is brought in to do the job, then it is a `stand in' for consciousness, in
the sense that consciousness is all that is needed; and if something else plays
this role, then a mystery is generated: Why does consciousness exist at all?
For if mind does not effect the choices that are needed to complete the quantum
theoretical conception of nature, then thoughts appear to have no function at
all in nature: they become superfluous.
Bohr adopted a very parsimonious position: he brought in only the minimum
structure needed to fit the empirical facts. He introduced no extra physical
paraphernalia to define the alternatives and choose between them. He let our
perceptions themselves specify what has happened. The introduction of our
perceptions of the physical world into the basic physical theory, though
considered unorthodox during the twenties, can hardly be deemed irrational. For
scientists rarely deny the existence of our perceptions of the world. Bohr
merely introduced into our basic scientific theory something already known to
exist, and, in fact, the very thing whose existence is most certain to us, and
whose structure is precisely thing that our science needs in the end to explain.
Yet Bohr's move seemed retrograde at the time. For the tremendous success of
science was widely perceived to be a vindication of the wisdom of excluding
spirit and mind from our scientific conception of the physical world, along
with religious dogmas and myths.
Bohr proceeded very cautiously with the re-introduction of mind into science.
Keeping the connection to the actual practices of physicists in the fore, he
and his colleagues, principally Heisenberg, Pauli, and Born, formulated quantum
theory as a set of rules that allow scientists to calculate the probabilities
that perceptions conforming to classically describable specifications will
occur under classically describable conditions.
Complications pertaining to the living tissues in the bodies and brains of the
human observers were kept out of the theory by focussing on the classically
describable specifications themselves, without worrying about how we know
whether or not these conditions are actually met in real cases. However, the
pragmatic approach rests squarely upon our being able to decide, in practice,
whether such specifications are met or not.
Bohr could not evade this reference to our perceptions by postulating the
existence of some other classical level of beingness. For to admit the
existence of some other level of reality would contradict his basic claim,
which was that quantum theory, in the form he proposed, was complete. Admitting
the existence of a classical level of physical reality would require a whole
new level of theoretical machinery. This he avoided by allowing our
perceptions, already known to exist, to be the things that were the subject of
his classically describable specifications.
Although this pragmatic Copenhagen approach was efficient and practical in the
domain of atomic physics, it provided no detailed idea of how nature managed to
make the quantum rules work. This lacuna was of no great concern to
practical-minded atomic scientists, but it hindered efforts to extend the scope
of the theory to other domains, such as cosmology and biology. Heisenberg, von
Neumann, and others improved the theory in this respect by providing a theory
for how nature could work in a way that would make the empirically validated
rules come out true.
The key element of this ontology was the concept of `events'. Although there
were differences among various authors regarding fine points, the simplest
formulation of the idea is that the probability wave of the earlier pragmatic
interpretation, which evolves in accordance with a fixed deterministic equation
of motion, the Schroedinger equation, is elevated in status from a subjective
entity that scientists use to compute probabilities pertaining to their
classically describable perceptions of the world, to an objective property of
nature herself. This objective property is tied to the idea of `events': the
probability wave is considered to define an *objective tendency* for an *actual
event* to occur. The occurrence of any such actual event will reduce some of
the uncertainties that had existed in nature prior to the occurrence of this
event, and this reduction in these uncertainties will be reflected in *a new
set* of objective tendencies for the next event, and hence a sudden change in
the probability wave. The fact that the probability wave specifies only
`objective tendencies' for the next event, not definite certainties, means that
the particular event that will occur next is not uniquely determined
beforehand: the choice from among the allowed possibilities is a random event,
with the statistical weights of the various possibilities being specified by
the probability wave.
This model of nature can be set up so as to retreat again from the idea of
bringing mind into physical theory. That was Heisenberg's tack. But this brings
up the same problem as before: it leaves mind with nothing to do. However,
there is no rational reason to exclude from physical theory something that we
know exists, and that seems to do something, and then to bring in, instead,
something else, unknown to us, to do exactly what the known thing seems to do,
merely because in an earlier *and now deposed* theory the known thing could not
do what it seemed to do, namely make real choices between open and available
possibilities.
Von Neumann brought the brains of the observers explicitly into the description
of nature, and stressed the possibility of identifying the `choosing events',
needed by quantum theory, with those brain events that can be considered to be
representations, within quantum mechanically described brains, of mental
events. This approach constitutes, essentially, an ontological version of the
Bohr approach, in that the mental events, which are what specifies what
actually happens, are tied directly to the quantum formalism without the
explicit introduction of any intermediate classical level of reality.
This von Neumann approach is not the only ontological possibility. But it can,
I believe, be rightfully regarded as the most orthodox of the quantum
ontologies, for two reasons. The first is that it is the ontology closest in
spirit to Bohr's approach: no extra classical level intervenes between the
quantum level of description and the classically describable perceptions, and
no profusion of extra unobserved worlds is brought in. The idea that one should
introduce into physics unverifiable classical levels of physical reality is
exactly the idea that Bohr fought so strongly against. The second reason is
that when the other quantum ontologies are considered, their predictions are
considered unorthodox to the extent that the extra structure they introduce
produces a deviation from the predictions obtained without introducing the
extra structure. This von Neumann ontology is the one that leaves out all the
excess structure.
I attribute this ontolgy to von Neumann because his close friend and colleague
Eugene Wigner did so in a later work, in which he extols and further
describes it. Von Neumann (1932) describes this ontology briefly, but his
definite preference for it is not clearly spelled out in his own work. Perhaps
this approach would be better called the von Neumann-Wigner ontology, but
Wigner later rejected it, for reasons I deem insufficient.
Yet what has all this discussion about man and nature to do with values? The
answer lies in the central importance to moral philosophy of our beliefs about
such things.
3. The Importance of Beliefs
If a person truly believes that doing some act will cause him to suffer the
flames of eternal damnation, then he will probably be disinclined to do it. If
he has no such belief, but believes himself to be a rotten worthless being who
acts only to benefit himself, regardless of the consequences to others, then he
will probably act in this way and thereby become what he believes himself to
be. If, on the other hand, he believes himself to be made of finer stuff, and
the product of a worthy lineage of high-minded souls, then he may be inclined
to measure up to lofty ideals, and thereby to extend the lineage. What one
believes about himself, and his connection to the rest of the universe, exerts
a powerful influence on one's behaviour, and it is the whole basis for rational
action.
Science is a principal source of rationally held beliefs. If one believes
himself to be a mechanically generated product of his genetic make-up and a
mechanically pre-determined physical environment then he probably will be far
less able to release his full creative energy than if he believe himself to be
a facet of a universal impulse in nature that exploits the indeterminateness of
the physical world to actualize intentions and generate meaning. Moreover, from
a rationally based perception of a deep-seated wholeness of nature there can
flow both more compassion and less alienation.
4. The Nature of Man.
What is the quantum mechanical conception of the nature of man?
By the quantum mechanical conception I shall mean, for the reasons given above,
the von Neumann conception. I have in my book and elsewhere (Stapp, 1993,
1995a-c) filled in some of the details of this conception in a way that seems
both natural and compatible with the empirical evidence from neuroscience and
psychology. The key point is that each human conscious event is represented in
this conception of nature by a quantum event that actualizes *an extended
structure* in the brain of some human being. This event selects, and brings
into being, one template for action from among many that, according to the
quantum mechanical laws, were all physically possible just prior to that event.
Each such template is a coordinated plan of action for this brain and the body
it controls.
In any physical theory of man a primary job of man's brain must be to form such
templates for action. The essential difference between the classical and
quantum conceptions is that in the classical conception the brain must come
up---quickly in an emergency situation---with exactly *one* template for
action, which will direct the unfolding of some coherent action, whereas in the
quantum case, because of Heisenberg's indeterminacy principle, the evolution in
accordance with the Schroedinger equation will generate a host of alternative
possible templates for action. Thus if a situation calling for action presents
itself to an alert person, his brain will generate *one* template for action,
according to the classical conception of nature, but many alternative possible
templates for action according to the quantum conception. It is this profusion
of possible templates for action, and consequent actions, that is resolved in
the von Neumann ontology by the occurrence of an ``event'', which selects one
of the possibilities and eliminates all the others. This event is a mental
event that is represented in the quantum mechanical conception of the physical
world by a sudden change in the form of the probability wave, namely by a jump
to a form that has all of the probability concentrated on the branch of the
probability wave that represents this chosen course of action, and,
correspondingly, a null probability assigned to all of the alternative possible
branches. The actualized template for action is an extended physical structure
in the brain, and it is supposed to embody all of the structural information
that is contained in the mental event. Thus the mental and physical events can
be considered to be two aspects of the same thing. Each event represents from
the physical perspective provided by quantum mechanics a bona fide free choice
from among open and available options.
5. Chance, Choice, and Meaning
This quantum conception of man breaks the bondage of an iron-handed mechanical
determinism. Man becomes an aspect of the process by which nature uses the
latitude, or freedom, expressed by the Heisenberg indeterminancy principle to
inject form and structure into the universe. In the classical conception of
nature all freedom to choose was concentrated at the moment of the creation of
the universe, and hence none was reserved for later use. But quantum theory
transferes this freedom to later times, and von Neumann's conception shifts
some of it to our thoughts: our minds become endowed with some of the power to
act freely that in classical mechanics was the prerogative of God alone.
Our choices are not reclused from meaning. Each choice is the expression of an
intention. It arises within a context, and it initiates an action designed to
promote certain values. The intention of the action and values it serves are
integral parts of the felt act of choosing.
These qualities of the quantum event can be contrasted with the meaninglessness
of random events that might be imagined to occur at some microscopic level.
There it is impossible to embody in the physical structure actualized by the
event any representation of intention or value that transcends the momentary
situation. But the events of the von Neumann conception, which actualize
extended physical structures that are imbedded in the interpretive mechanism
provided by the brain and body, do embody intention, values, and meaning, all
of which are felt at the mental pole.
A healthy brain is designed and conditioned to produce the actions most likely
to serve the needs and values of the person, as judged from the perspective of
that person. Of course, there are always uncertainties in our assessment of the
physical situation, and fluctuations in the biological computing machinery.
Hence different parallel brain calculations of the best course of action can
come up with different conclusions. In the quantum ontology these parallel
computations are all performed simultaneously, and the various options are all
presented. The statistical weight assigned to each option is essentially the
number of parallel classical computations that lead to that option. The
simultaneous availability of all the options can be regarded as an expression
of the freedom that is represented by the quantum indeterminateness of the
physical situation. This indeterminacy makes the quantum choice a bona fide
free choice, yet a choice that has only the latitude allowed by the underlying
physical indeterminacy. The choice is thus at the same time both a free choice
and yet, statistically speaking, in terms of the entire ensemble of weighted
possible choices, also the unique best choice: this ensemble is roughly the
statistical ensemble of computed best actions, given the indeterminateness of
both the external situation and the internal computational machinery.
These choices are not blind choices, as they would be if they occurred at the
microscopic level. For they are choices between options that project into the
future actions that embody intentions based on our values. The choices
constitute value-laden intentions, and are thus endowed with meaning: they
embody both the mechanically represented personal attributes arising from genes
and education, and a freedom that transcends the mechanical.
This image of man is far more inspiring and liberating than the dreary picture
painted by classical mechanics. Man becomes a partner in the control of his
non-predetermined destiny, and an integral part of nature's process of infusing
structure and meaning into the universe. He is an aspect of the power to freely
create that classical mechanics reserved for God alone.
Beyond its re-instatement of freedom and meaning the quantum conception unveils
a still deeper truth. This arises from an aspect of quantum mechanics not yet
touched upon here, namely the deep-level of connectedness of spatially
separated physical entities. Once two entities have interacted they become
intrinsically intertwined in a way that is not physically apparent, and that
moreover defies comprehension within the way of thinking that underlies
classical mechanics and our common-sense understanding of nature. Yet it is
entailed by quantum mechanics, and has been confirmed by delicate experiments
in simple cases where sufficient control over the experimental conditions can
be maintained. This deep-level connectedness entails that our choices, although
highly personal in terms of their meaning to us, have another aspect that
transcends the individual. A choice made by one person generally has an
`instantaneous effect' on the objective tendencies associated with far-away
entities with whom he has interacted at some time in the past. It is as if the
entire universe is, in some sense, a single organism whose parts are in
instantaneous communication. This means that although each of us participates
in an individually meaningful way in the process that infuses form into the
universe, and can shape this process in accordance with his own personal
values, nevertheless the process is basically one universal activity of which
each of us is a highly integrated part. Quantum theory indicates that we are
all, far more intricately than appearances indicate, facets of one universal
process. Thus, according to the quantum conception of nature, the notion that
any one of us is separate and distinct from the rest of us is an illusion based
on misleading appearances. Recognition of this deep unity of nature makes
rational the belief that to act against another is to act against oneself.
References
Stapp, H.P. (1993) Mind, Matter, and Quantum Mechanics,
Springer-Verlag, Heidelberg Berlin New York London Paris Tokyo Hong Kong
Barcelona Budapest
Stapp, H.P. (1995a) *Why Classical Mechanics Cannot Naturally
Accomodate Consciousness But Quantum Mechanics Can*, PSYCHE 2(6)
ftp:://psyche.cs.monash.edu.au/psyche/v2-1/
psyche-95-2-06-QM_stapp-1-stapp.txt
http:://[email protected]/psyche/public/volume2-1/
psyche-95-2-06-QM_stapp-1-stapp.html
Stapp, H.P. (1995b) *Quantum Mechanical Coherence, Resonance, and Mind*,
in Norbert Wiener Centenary Congress, V. Mandrakar and P.R.Masini, eds.
Amer. Math. Soc. Ser. Proc. Sympos. Appl. Math. (PSAPM);
ftp:://Phil-Preprints.L.Chiba-U.ac.jp/pub/preprints/Phil_of_Mind/
Stapp.Quantum_Mechanical_Coherence_Resonance_and_Mind/
36915.tex
Stapp, H.P. (1995c) *The Hard Problem: A Quantum Approach*, J. Consc. Stud.
ftp:://Phil-Preprints.L.Chiba-U.ac.jp/pub/preprints/Phil_of_Mind/
Stapp.The_Hard_Problem-A_Quantum_Approach/37163.txt
Von Neumann, J. (1932) Mathematical Foundations of Quantum Mechanics,
Princeton University Press, Princeton N.J. 1955 (English edition)
Wigner, E. (1961) *Remarks on the Mind-Body Problem*, in The Scientist
Speculates, I.J. Good, ed. Heineman, London
|
en
|
all-txt-docs
|
253026
|
DEPARTMENT OF THE TREASURY, INTERNAL REVENUE SERVICE, PETITIONER V.
FEDERAL LABOR RELATIONS AUTHORITY AND NATIONAL TREASURY EMPLOYEES
UNION
No. 88-2123
In The Supreme Court Of The United States
October Term, 1989
On Writ Of Certiorari To The United States Court Of Appeals For The
District Of Columbia Circuit
Brief For The Petitioner
TABLE OF CONTENTS
Question Presented
Opinions below
Jurisdiction
Statutory provisions involved
Statement:
A. Background
1. The federal sector labor management
relations scheme
2. OMB Circular No. A-76
3. The EEOC litigation
B. Proceedings in the present case
1. The FLRA decision
2. The Court of Appeals decision
Summary of argument
Argument:
I. The decision below is inconsistent with the
management rights provision of Title VII
A. Circular A-76 is not an "Applicable Law"
under Section 7106
B. A claim that management has failed to comply
with the Circular is not a grievance
1. Subjecting agency contracting-out decisions
under the Circular to arbitral
review would impermissibly "affect"
reserved agency authority
2. Increased delays and uncertainties
would impermissibly "affect" agency
authority
II. The decision below is inconsistent with the
statutory purpose
Conclusion
OPINIONS BELOW
The decision of the Federal Labor Relations Authority (Pet. App.
10a-18a) is reported at 27 F.L.R.A. 976. The decision of the court of
appeals (Pet. App. 1a-9a) is reported at 862 F.2d 880.
JURISDICTION
The judgment of the court of appeals (Pet. App. 19a-20a) was
entered on December 2, 1988. A petition for rehearing was denied on
February 28, 1989 (Pet. App. 21a). On May 22, 1989, the Chief Justice
extended the time within which to file a petition for a writ of
certiorari to and including June 28, 1989. The petition for a writ of
certiorari was filed on that date, and was granted on October 2, 1989.
The jurisdiction of this Court is invoked under 28 U.S.C. 1254(1).
STATUTORY PROVISIONS INVOLVED
5 U.S.C. 7103(a) provides in relevant part:
(9) "grievance" means any complaint --
(A) by any employee concerning any matter relating to the
employment of the employee;
(B) by any labor organization concerning any matter relating
to the employment of any employee; or
(C) by any employee labor organization, or agency concerning
--
(i) the effect or interpretation, or a claim of breach, of a
collective bargaining agreement; or
(ii) any claimed violation, misinterpretation, or
misapplication of any law, rule, or regulation affecting
conditions of employment(.)
5 U.S.C. 7106 provides in relevant part:
(a) Subject to subsection (b) of this section, nothing in
this chapter shall affect the authority of any management
official of any agency --
(1) to determine the mission, budget, organization, number of
employees, and internal security practices of the agency; and
(2) in accordance with applicable laws --
(A) to hire, assign, direct, layoff, and retain employees in
the agency, * * *;
(B) to assign work, to make determinations with respect to
contracting out, and to determine the personnel by which agency
operations shall be conducted;
(C) with respect to filling positions, to make selections for
appointments * * *; or
(D) to take whatever actions may be necessary to carry out
the agency mission during emergencies.
(b) Nothing in this section shall preclude any agency and any
labor organization from negotiating --
(1) at the election of the agency, on the numbers, types, and
grades of employees or positions assigned to any organizational
subdivision, work project, or tour of duty, or on the
technology, methods, and means of performing work;
(2) procedures which management officials of the agency will
observe in exercising any authority under this section; or
(3) appropriate arrangements for employees adversely affected
by the exercise of any authority under this section by such
management officials.
5 U.S.C. 7117(a)(1) provides:
Subject to paragraph (2) of this subsection (relating to
agency-specific regulations), the duty to bargain in good faith
shall, to the extent not inconsistent with any Federal law or
any Government-wide rule or regulation, extend to matters which
are the subject of any rule or regulation only if the rule or
regulation is not a Government-wide rule or regulation.
5 U.S.C. 7121 provides in relevant part:
(a)(1) Except as provided in paragraph (2) of this
subsection, any collective bargaining agreement shall provide
procedures for the settlement of grievances, including questions
of arbitrability. Except as provided in subsections (d) and (e)
of this section, the procedures shall be the exclusive
procedures for resolving grievances which fall within its
coverage.
(2) Any collective bargaining agreement may exclude any
matter from the application of the grievance procedures which
are provided for in the agreement.
(b) Any negotiated grievance procedure referred to in
subsection (a) of this section shall --
(1) be fair and simple,
(2) provide for expeditious processing, and
(3) include procedures that --
(A) assure an exclusive representative the right, in its own
behalf or on behalf of any employee in the unit represented by
the exclusive representative, to present and process grievances;
(B) assure such an employee the right to present a grievance
on the employee's own behalf, and assure the exclusive
representative the right to be present during the grievance
proceeding; and
(C) provide that any grievance not satisfactorily settled
under the negotiated grievance procedure shall be subject to
binding arbitration which may be invoked by either the exclusive
representative or the agency.
QUESTION PRESENTED
Title VII of the Civil Service Reform Act of 1978 governs labor
relations between federal agencies and their employees. The question
presented is whether that statute requires an agency to negotiate over
a union proposal that, if incorporated into the agency's collective
bargaining agreement, would subject to grievance and to arbitration
the claims of agency employees and their unions that the agency's
contracting-out determinations failed to comply with OMB Circular No.
A-76.
STATEMENT
A. Background
1. The Federal Sector Labor Management Relations Scheme
Title VII of the Civil Service Reform Act of 1978, 5 U.S.C. 7101 et
seq., provides a "comprehensive * * * scheme governing labor relations
between federal agencies and their employees." /1/ Bureau of Alcohol,
Tobacco and Firearms v. FLRA, 464 U.S. 89, 91 (1983). /2/ As part of
this scheme, the statute expressly recognizes the right of federal
employees to form and join unions (see, e.g., 5 U.S.C. 7102), and
imposes upon management officials of federal agencies a duty to
bargain with their employees' unions regarding conditions of
employment. See FLRA v. Aberdeen Proving Ground, 108 S. Ct. 1261,
1261 (1988); Bureau of Alcohol, Tobacco and Firearms v. FLRA, 464
U.S. at 92; 5 U.S.C. 7103(a)(12), 7114(a)(4), 7116(a)(5), 7117.
"(C)onditions of employment" include "personnel policies, practices,
and matters * * * affecting working conditions." 5 U.S.C. 7103(a)(14).
"Recognizing 'the special requirements and needs of the
Government,' Section 7101(b), Title VII exempts certain matters from
the duty to negotiate." FLRA v. Aberdeen Proving Ground, 108 S. Ct. at
1261. In particular, 5 U.S.C. 7106 provides that "nothing in this
chapter shall affect the authority of any management official of any
agency" with respect to certain enumerated "management rights." /3/
See H.R. Rep. No. 1403, 95th Cong., 2d Sess. 43 (1978) (Section 7106
"place(s) limits on the number of subjects about which agency
management may bargain with a labor organization"). The reserved
management rights listed in Section 7106 specifically include
management's "authority * * * in accordance with applicable laws * * *
to make determinations with respect to contracting out" (5 U.S.C.
7106(a)(2)(B)). /4/
The statute provides a mechanism for resolving negotiability
disputes. If management officials decline to negotiate over a union's
bargaining proposal, believing "that the duty to bargain in good faith
does not extend to (such) matter" (5 U.S.C. 7117(c)(1)), the union may
file a negotiability appeal with the Federal Labor Relations
Authority. See 5 U.S.C. 7105(a)(2)(E), 7117(c). The FLRA then
decides whether or not the union's proposal is subject to the
bargaining obligation. 5 U.S.C. 7117(c)(6); see Bureau of Alcohol,
Tobacco and Firearms v. FLRA, 464 U.S. at 93. /5/
If the FLRA determines that a union's proposal is subject to the
bargaining obligation, that determination has significant
consequences. The determination does not, in and of itself, result in
the insertion of the proposed provision into the collective bargaining
agreement; it simply requires the parties to bargain in good faith
over whether to include the provision. But if negotiation eventually
reaches an impasse, "either party may request the Federal Service
Impasses Panel to consider the matter." 5 U.S.C. 7119(b)(1). The
Federal Services Impasses Panel is empowered to "take whatever action
is necessary * * * to resolve the impasse" (5 U.S.C.
7119(c)(5)(B)(iii)), including the imposition of contract terms upon
the parties. See, e.g., National Federation of Federal Employees v.
FLRA, 789 F.2d 944, 945 (D.C. Cir. 1986); National Treasury Employees
Union v. FLRA, 712 F.2d 669, 671 n.5 (D.C. Cir. 1983). "Thus, it is
possible that a proposal held negotiable by the FLRA may be imposed on
the parties by the Federal Service Impasses Panel in the event the
agency and the union do not ultimately agree." Indiana Air National
Guard v. FLRA, 712 F.2d 1187, 1189 n.1 (7th Cir. 1983); accord HHS v.
FLRA, 844 F.2d 1087, 1089 (4th Cir. 1988) (en banc). /6/
In addition to setting forth a duty to bargain, the statute
commands that all collective bargaining agreements in the federal
sector "shall provide procedures for the settlement of grievances." 5
U.S.C. 7121(a)(1). With certain exceptions not pertinent here, these
negotiated grievance procedures "shall be the exclusive procedures for
resolving grievances" (ibid.). Collective bargaining agreements must
"provide that any grievance not satisfactorily settled under the
negotiated grievance procedure shall be subject to binding arbitration
which may be invoked by either the (union) or the agency." 5 U.S.C.
7121(b)(3)(C).
"Grievances" are defined in 5 U.S.C. 7103(a)(9) to mean complaints
by employees and unions "concerning any matter relating to the
employment" of an employee (5 U.S.C. 7103(a)(9)(A) and (B)),
complaints concerning the effect, interpretation, or alleged breach of
the collective bargaining agreement (5 U.S.C. 7103(a)(9)(C)(i)), and
"any complaint * * * by any employee labor organization, or agency
concerning * * * any claimed violation, misinterpretation, or
misapplication of any law, rule, or regulation affecting conditions of
employment" (5 U.S.C. 7103(a)(9)(C)(ii)).
2. OMB Circular No. A-76
Office of Management and Budget Circular No. A-76 "establishes
Federal policy regarding * * * whether commercial activities should be
performed under contract with commercial sources or in-house using
Government facilities and personnel." App. A, infra, para. 1. /7/ The
Circular provides that, although (c)ertain functions (which) are
inherently Governmental in nature * * * shall be performed by
Government employees" (App. A, infra, para. 5b), it is "the general
policy of the Government to rely on commercial sources to supply the
products and services the Government needs" (id. para. 4a). But
government performance of a commercial activity /8/ is appropriate,
inter alia, "if a cost comparison prepared in accordance with * * *
the Supplement (see note 7, supra) demonstrates that the Government is
operating or can operate the activity on an ongoing basis at an
estimated lower cost than a qualified commercial source" (App. A,
infra, para. 8d). Accordingly, and subject only to limited
exceptions, "(w)henever commercial sector performance of a Government
operated commercial activity is permissible, in accordance with (the)
Circular and its Supplement, comparison of the cost of contracting and
the cost of in-house performance shall be performed to determine who
will do the work" (id. para. 5a.). /9/ The Supplement directs
Executive Branch agencies to "evaluate all agency activities and
functions to determine which are Governmental functions * * * and
which are commercial activities." Supplement at I-1. With respect to
those activities found to be commercial, the Supplement provides
instructions for conducting a cost comparison to determine whether it
would be cheaper to perform the activity in-house or to contract out
the activity to the private sector. Supplement, Part IV.
In order "to provide an administrative safeguard to ensure that
agency decisions are fair and equitable and in accordance with
(applicable) procedures," the Circular and its Supplement direct each
covered agency to establish an administrative appeals procedure to
resolve complaints by employees, unions, or bidders directly affected
by certain decisions. App. B, infra; see also App. A, infra, paras.
6g, 9d. In particular, the procedure is required to resolve questions
relating to (1) determinations resulting from cost comparisons and (2)
decisions to convert to contract without a cost comparison (App. B,
infra, para. 1). /10/ Complaints must ordinarily be filed within 15
working days of receipt of the agency's decision, /11/ and appeals
must be resolved within 30 calendar days of filing. Id. paras. 3, 6.
"The original appeal decision shall be final unless the agency
procedures provide for further discretionary review within the
agency." Id. para. 3.
The Circular expressly provides that it does not "(e)stablish and
shall not be construed to create any substantive or procedural basis
for anyone to challenge any agency action or inaction on the basis
that such action or inaction was not in accordance with this Circular,
except as specifically set forth in" the Supplement's administrative
appeal procedures. App. A, infra, para. 7c(8). The Supplement
correspondingly states that the required internal appeal procedure
"does not authorize an appeal outside the agency or a judicial review"
(App. B, infra, para. 2), and that "the procedure and the decision
upon appeal may not be subject to negotiation, arbitration, or
agreement" (id. para. 7).
3. The EEOC Litigation
In American Federation of Government Employees, AFL-CIO, National
Council of EEOC Locals and EEOC, 10 F.L.R.A. 3 (1982), the FLRA held
that the following proposal was subject to the statutory bargaining
obligation: "The EMPLOYER agrees to comply with OMB Circular A-76,
and other applicable laws and regulations concerning contracting-out."
The Authority rejected the agency's argument that negotiation over the
union's proposal would improperly impinge upon management's reserved
authority "to make determinations with respect to contracting out" (5
U.S.C. 7106(a)(2)(B)). The Authority reasoned that "(t)he proposal
would require management to exercise its right to make contracting out
determinations in accordance with whatever applicable laws and
regulations exist at the time of such action. Hence, it would
contractually recognize external limitations on management's right but
would not establish, either expressly or by incorporation, any
particular substantive limitations on management." 10 F.L.R.A. at 3.
The Authority stated that "(s)uch a proposal would only require that
when management acts, it does so in accordance with applicable OMB
directives existing at the time." 10 F.L.R.A. at 4.
The EEOC objected that if the union's proposal were to find its way
into the collective bargaining agreement, complaints alleging agency
failure to abide by the terms of OMB Circular No. A-76 would be
subject to the collective bargaining agreement's grievance and
arbitration machinery (see 5 U.S.C. 7103(a)(9)(C)(i)) and would thus
allow arbitrators to decide whether the agency's management officials
were in compliance with the Circular's dictates. The Authority
responded "that the Agency has misinterpreted the legal effect of the
disputed proposal: the proposal would not itself change the scope and
coverage of the parties' grievance procedure." 10 F.L.R.A. at 5.
Relying on the definition of "grievance" as including a claimed
"misapplication of a law, rule or regulation affecting conditions of
employment" (5 U.S.C. 7103(a)(9)(C)(ii)), the Authority concluded that
the union's bargaining proposal was essentially superfluous. It
reasoned that in view of this definition, "even in the absence of the
contract provision proposed by the Union, disputes concerning
conditions of employment arising in connection with the application of
the Circular would be covered by the negotiated grievance procedure"
(10 F.L.R.A. at 5). /12/
A divided panel of the United States Court of Appeals for the D.C.
Circuit essentially adopted the FLRA's analysis and upheld its ruling.
EEOC v. FLRA, 744 F.2d 842 (1984). The EEOC sought review in this
Court of the court of appeals' decision, arguing that the court of
appeals erred in assuming that OMB Circular No. A-76 is an "applicable
law" within the meaning of 5 U.S.C. 7106(a)(2) and a "law, rule, or
regulation" for purposes of the definition of "grievance" in 5 U.S.C.
7103(a)(9)(C)(ii). This Court granted the agency's petition for a
writ of certiorari, but subsequently dismissed the writ as
improvidently granted. EEOC v. FLRA, 476 U.S. 19 (1986). The Court
explained that the agency's arguments that OMB Circular No. A-76 is
neither an "applicable law" within the meaning of 5 U.S.C.
7106(a)(2)(B) nor a "law, rule, or regulation" within the meaning of 5
U.S.C. 7103(a)(9)(C)(ii) had not been raised before or addressed by
either the court of appeals or the FLRA. EEOC v. FLRA, 476 U.S. at
22-24. Thus, since the "central issues" in the case had not been
raised or passed upon below, the Court "decline(d) to consider them."
Id. at 24. /13/
B. Proceedings in the Present Case
1. The FLRA Decision
During negotiations with the agency, respondent National Treasury
Employees Union, representing employees of the Internal Revenue
Service, submitted the following bargaining proposal: "The Internal
Appeals Procedure (for challenging determinations made pursuant to OMB
Circular No. A-76) shall be the parties' grievance and arbitration
provisions of the Master Agreements (i.e., the relevant collective
bargaining agreements)." Pet. App. 10a. The agency declined to
bargain over the proposal, asserting among other things that the
proposal was exempt from the bargaining obligation by virtue of the
management rights provision, 5 U.S.C. 7106. The union brought a
negotiability appeal before the FLRA, which ruled that the proposal
was negotiable. Pet. App. 10a-15a. /14/
Reiterating the conclusion of its EEOC decision, /15/ the FLRA
asserted that the union's proposal was essentially superfluous. The
FLRA stated that the proposal was negotiable, and did not trespass
upon management's reserved authority to make determinations with
respect to contracting out since, under the statute, the agency's
decisions made pursuant to OMB Circular No. A-76 would be subject to
grievance and arbitration "even in the absence" of a negotiated
provision to that effect in the collective bargaining agreement. Pet.
App. 15a. More specifically, the FLRA indicated, a union's complaint
that an agency's contracting-out decision was in violation of the
Circular would constitute a "grievance" as that term is defined in 5
U.S.C. 7103(a)(9)(C)(ii): "any claimed violation, misinterpretation,
or misapplication of any law, rule, or regulation affecting conditions
of employment." See Pet. App. 13a. In the FLRA's view, grievances
alleging a failure to abide by the Circular would not unduly intrude
upon management's reserved rights because "such grievances require
nothing that is not required by section 7106(a)(2) of the Statute
itself, namely, that determinations as to contracting-out must be made
'in accordance with applicable laws.'" Pet. App. 15a (quoting 5 U.S.C.
7106(a)(2)). /16/
2. The Court of Appeals Decision
a. The agency filed a petition for review in the D.C. Circuit,
arguing that the FLRA's decision was contrary to the statute because
negotiation over the union's proposal would violate the management
rights provision. Expressly raising the issues that this Court held
were not timely raised in EEOC, the agency contended that the FLRA's
reasoning was flawed because OMB Circular No. A-76 is neither an
"applicable law" within the meaning of 5 U.S.C. 7106(a)(2) nor a "law,
rule, or regulation" within the meaning of 5 U.S.C. 7103(a)(9)(C)(ii).
Thus, the agency argued, arbitral review of alleged violations of the
Circular would encroach upon management's reserved authority "to make
determinations with respect to contracting out" (5 U.S.C.
7106(a)(2)(B)).
The panel, over a dissent by Judge D.H. Ginsburg, upheld the FLRA's
ruling. Pet. App. 1a-9a. The panel recognized that the agency had
explicitly raised the questions whether OMB Circular No. A-76 is an
"applicable law" or a "law, rule, or regulation" within the meaning of
5 U.S.C. 7106(a)(2) and 7103(a)(9)(C)(ii) respectively. Pet. App. 5a.
The panel did not discuss the merits of these questions, however,
because it "f(ou)nd this case to be governed by" EEOC v. FLRA, 744
F.2d 842 (D.C. Cir. 1984), cert. dismissed, 476 U.S. 19 (1986). Pet.
App. 4a. /17/ Accordingly, the panel regarded itself as powerless to
avoid a conflict with the Fourth and Ninth Circuits, both of which had
disagreed with the D.C. Circuit's decision in EEOC (see HHS v. FLRA,
844 F.2d 1087 (4th Cir. 1988) (en banc); Defense Language Institute
v. FLRA, 767 F.2d 1398 (9th Cir. 1985), cert. dismissed, 476 U.S. 1110
(1986)). Pet. App. 6a. /18/
In dissent, Judge Ginsburg rejected the majority's premise that the
court of appeals' decision in EEOC was controlling, and thus addressed
the merits of the agency's claim. Pet. App. 8a-9a. Citing the Fourth
Circuit's decision in HHS v. FLRA, 844 F.2d 1087 (1988) (en banc), he
concluded "that the Circular is neither an 'applicable law' nor a
'law, rule, or regulation' and that (the union's) proposal to subject
contracting-out decisions to grievance procedures is therefore
non-negotiable." Pet. App. 9a. /19/
b. The court of appeals denied the agency's petition for rehearing
with suggestion for rehearing en banc. Pet. App. 21a-25a. Judge D.H.
Ginsburg, joined by Judges Williams and Sentelle, issued a separate
statement concurring in the denial of rehearing en banc. Judge
Ginsburg stated that although "there (is) a split in the circuits" and
"(b)oth the Fourth and the Ninth Circuits have decided * * * contrary
to our panel," "I think it would be a poor use of our resources to
rehear this matter en banc," since "(i)t is likely that the Supreme
Court will want to resolve this question." Id. at 25a. /20/
SUMMARY OF ARGUMENT
The question presented in this case is whether a federal agency has
a statutory obligation to negotiate over a union proposal that, if
incorporated into the collective bargaining agreement, would subject
to grievance and to arbitration the claims of agency employees and
their unions that the agency's contracting-out determinations failed
to adhere to OMB Circular No. A-76. As both the Fourth Circuit and
the Ninth Circuit have concluded, the answer to that question is no.
1. In enacting Title VII, Congress gave federal employees the
rights to negotiate with their employing agencies over conditions of
employment and to submit grievances to binding arbitration. At the
same time, it was careful to preserve to responsible agency officials
the prerogatives necessary for the effective and efficient conduct of
government business, among which Congress specifically identified the
authority "to make determinations with respect to contracting out" (5
U.S.C. 7106(a)(2)(B)). The means Congress chose to safeguard those
prerogatives was the management rights provision incorporated in 5
U.S.C. 7106, which states in relevant part that "nothing in this
chapter (Title VII) shall affect the authority of any management
official of any agency * * * in accordance with applicable laws" to
make specified decisions concerning the hiring and assignment of
responsibilities to agency personnel, and, specifically, "to make
determinations with respect to contracting out." The management rights
provision is accordingly both broad in its protective effects and
specific in its application to determinations relating to contracting
out.
Respondents nevertheless contend that the provision does not bar
the negotiation of the instant proposal. They argue that Circular
A-76 is an "applicable law" that qualifies management's reserved right
with respect to contracting out, and therefore the union proposal, in
requiring compliance with Circular A-76, does not "affect" that right
in violation of the statute. Respondents also argue that a complaint
alleging a failure to adhere to the Circular constitutes a "grievance"
as that term is defined in 5 U.S.C. 7103(a)(9)(C)(ii): "(a complaint
concerning) any claimed violation, misinterpretation, or
misapplication of any law, rule, or regulation affecting conditions of
employment."
Respondents' theory is wrong, however, because Circular A-76 is not
an "applicable law" within the meaning of 5 U.S.C. 7106. The Circular
is not a law at all; it is instead a management tool -- a statement
of executive branch policy that does not have the force and effect of
law. By its express terms, the Circular makes clear that it is not
intended to give rise to any legally enforceable rights and
obligations. Moreover, its application turns so largely on the
exercise of managerial judgment and managerial discretion that the
courts have consistently recognized that it provides no judicially
enforceable rights.
A complaint by a union or an employee that an agency has failed to
adhere to the Circular in making a contracting-out determination does
not constitute a "grievance" within the meaning of Title VII. Both
the context of the statutory provisions and the policy behind them
demand that if the Circular is not an "applicable law" that qualifies
management's reserved authority under 5 U.S.C. 7106, it is not a "law,
rule, or regulation" within the definition of "grievance" in 5 U.S.C.
7103(a)(9)(C)(ii).
Grievances are ultimately subject to binding arbitration under 5
U.S.C. 7121(b)(3)(C), and binding arbitration regarding management's
adherence to the Circular would improperly intrude upon management's
reserved right. The implementation of Circular A-76 turns so largely
on the exercise of managerial discretion that arbitrators' review of
agencies' A-76 determinations would pose an unacceptable risk of
substituting arbitrators' judgment for that of agency managers, making
arbitrators, instead of agency management officials, the ultimate
authority on contracting-out matters. Moreover, arbitral review of
contracting-out decisions would also "affect" reserved agency
authority in violation of Section 7106 by increasing uncertainties and
delays in implementing contracting-out decisions, thus increasing the
cost of government operations.
The conclusion that complaints concerning the implementation of
Circular A-76 do not constitute grievances under Title VII is
underscored by the unequivocal statement in the statute that "nothing
in this chapter" -- including the statute's grievance and arbitration
provisions -- "shall affect" the authority reserved to management in
the management rights provision. 5 U.S.C. 7106(a).
2. The statutory purpose confirms the plain meaning of the
management rights provision. Congress emphasized in the statute
itself that its terms are to be interpreted in light of "the
requirement of an effective and efficient Government" (5 U.S.C.
7101(b)). As noted above, subjecting determinations regarding
contracting out to grievance and arbitration would impede, rather than
facilitate, efficiency and effectiveness. In addition, respondents'
interpretation of Title VII would impair the President's ability to
manage the use of Executive Branch contracting-out authority through
policy directives from the Office of Management and Budget. Under
that interpretation, the President could not provide agency management
officials with guidelines on how to go about exercising that authority
without by that very action giving agency employees a right to police,
and independent arbitrators the ultimate authority to construe and
apply, those guidelines. There is no justification for such a reading
of a statute that is specifically designed to preserve management
prerogatives necessary for the effective supervision of agency
operations.
ARGUMENT
I. THE DECISION BELOW IS INCONSISTENT WITH THE MANAGEMENT RIGHTS
PROVISION OF TITLE VII
In Title VII, Congress had two objectives: to maintain agency
management's ability to conduct the business of the agency effectively
and at the same time to give federal employees and their unions the
right to bargain over conditions of employment and to submit
grievances to binding arbitration.
The management rights provision, 5 U.S.C. 7106, is crucial to the
reconciliation of these objectives. It provides in relevant part that
"nothing in (Title VII) shall affect the authority of any management
official of any agency * * * to determine the mission, budget (and)
organization * * * of the agency; and, in accordance with applicable
laws * * * (to make specified types of personnel decisions and) to
make determinations with respect to contracting out." As the Fourth
Circuit recognized (HHS v. FLRA, 844 F.2d 1087, 1090 (1988) (en
banc)), "(i)t would have been difficult, if not impossible, for
Congress to choose more emphatic or comprehensive language in drafting
the management rights clause." Indeed, the legislative history of
Title VII confirms that a strong management rights provision was an
"important element" of the overall statutory design (124 Cong. Rec.
29,197 (1978) (remarks of Rep. Ford); cf. id. at 25,601 (remarks of
Rep. Clay)), a design that sought, while recognizing the collective
bargaining rights of federal employees, to "insure() to Federal
agencies the right to manage government operations efficiently and
effectively" (S. Rep. No. 969, 95th Cong., 2d Sess. 12 (1978)). See
Cornelius v. Nutt, 472 U.S. 648, 662 (1985) ("one of the major
purposes of (Title VII) was to 'preserv(e) the ability of federal
managers to maintain "an effective and efficient Government"'"
(citations omitted)).
The management rights provision was intended to "preserve() for
agency managers the right to keep off the bargaining table those
prerogatives which (Congress) believe(d) (to be) essential for them to
manage effectively" (124 Cong. Rec. 24,286 (1978) (remarks of Rep.
Clay)), and one of those "essential" "prerogatives" is the "authority
* * * to make determinations with respect to contracting out." 5
U.S.C. 7106(a)(2)(B). /21/ The management rights provision is thus
not only broad in its protection of the rights identified, but also
specific in its identification of decisions concerning contracting out
as one of the covered management prerogatives. /22/
Despite the clear import of the statute, respondents contend, and
the court below held (in EEOC v. FLRA, 744 F.2d at 848-851), that
agency compliance with Circular A-76 is a proper subject for
negotiation under Title VII. They argue that requiring such
compliance in a collective bargaining agreement is consistent with the
management rights provision because it will not "affect the authority
of (the agency's) management official(s)" to make decisions regarding
contracting out "in accordance with applicable laws." In light of the
"applicable laws" proviso, the argument runs, the statute contemplates
that a dispute over whether the agency has "violat(ed),
misinterpret(ed) or misappli(ed)" Circular A-76 is a "grievance" as
defined in Section 7103(a)(9)(C)(ii), and thus subject to compulsory
arbitration under Section 7121(a)(1). The argument then concludes
that since incorporating a provision requiring compliance with
Circular A-76 in the collective bargaining agreement would give agency
employees and their unions nothing they do not already have under the
statute itself, there is no impermissible "(e)ffect (on) the authority
of (agency) management official(s)," and the agency may be required to
negotiate over such a provision. /23/ For the reasons stated below,
we believe this argument must be rejected because both of its premises
are incorrect.
A. Circular A-76 Is Not An "Applicable Law" Under Section 7106 /24/
Circular A-76 cannot be an "applicable law," since it is not a law
at all; as is typical of OMB Circulars, /25/ it is designed solely as
a management tool -- to establish executive branch policies and to
provide guidelines to agencies for their implementation. The Circular
itself so states, App. A, infra, para. 1; it further emphasizes that
it does not "(e)stablish and shall not be construed to create any
substantive or procedural basis for anyone to challenge any agency
action or inaction on the basis that such action or inaction was not
in accordance with this Circular." Id. para. 7c(8). This limitation
has been recognized by the federal courts. See, e.g., AFGE, Local
2017 v. Brown, 680 F.2d 722, 726 (11th Cir. 1982), cert. denied, 459
U.S. 1104 (1983); HHS v. FLRA, 844 F.2d at 1096; see also S. Rep.
No. 144, 96th Cong., 1st Sess. 4 (1979) (referring to Circular A-76 as
expressing "executive branch policy").
As the D.C. Circuit itself has noted, in determining whether the
"applicable laws" proviso limits a particular authority reserved under
the management rights provision, "(i)t is not enough * * * for the
union to point to (supposed) limitations on management's power * * *.
The union must demonstrate further that the (alleged) limitation was
intended to qualify management authority in favor of union
participation; and that the participation proposed for the union will
not expand any statutory restriction on management." National
Federation of Federal Employees, Local 1745 v. FLRA, 828 F.2d 834, 839
n.30 (1987). Circular A-76, by its terms, is not so intended.
The very nature of Circular A-76 demonstrates that it is not an
"applicable law." Its implementation entails, first and foremost, the
exercise of agency "judgment and discretion" (HHS v. FLRA, 844 F.2d at
1092). The Circular expressly provides, for example, that the
threshold step in the contracting-out analysis -- determining whether
the activity under consideration is "governmental" or "commercial" --
is to be made "us(ing) informed judgment." App. A. infra, Attachment
A, n.1. Similarly, in determining the configuration of government
employees and resources that will lead to the most efficient in-house
performance (Supplement at I-12, III-1, IV-2), management is
specifically directed to use its "own management techniques." Id. at
III-1. As the Ninth Circuit concluded, these and other determinations
called for in the Circular "inevitably involve 'questions of judgment
requiring close analysis and nice choices' which are properly
committed to the informed discretion of management." /26/ Defense
Language Institute v. FLRA, 767 F.2d at 1401 (quoting Panama Canal Co.
v. Grace Line, Inc., 356 U.S. 309, 318 (1958)). See HHS v. FLRA, 844
F.2d at 1092-1094.
This breadth of judgment and discretion also pervades those aspects
of the Circular that are subject to the internal appeals procedure
(see App. B, infra; pp. 9-10, supra) -- aspects that, under the
proposal at issue here, would be subjected to a radically different
process and to external adjudication. Thus an agency's decision to
contract out without a cost comparison may be based on its conclusion
that the in-house operation has no "reasonable expectation" of winning
such a comparison (Supplement at I-11). With respect to cost
comparisons themselves, they must frequently be based on the estimates
of the agency's experts (see Supplement at IV-7 (staffing
requirements), IV-16 (material & supply costs), IV-23 (utilities),
IV-23 (insurance); see generally note 28, infra), and the Supplement
makes clear that management's "informed judgment" is an essential
ingredient of the decision-making process (see Supplement at IV-7).
Thus it is not surprising -- indeed it could hardly be otherwise --
that the appeal procedures required by the Circular are internal to
the agency and its expert personnel. Explicitly prohibited are
"appeal outside the agency or a judicial review" (App. B, infra, para.
2) as well as any action subjecting the procedure and decision on
appeal to "negotiation, arbitration, or agreement" (id. para. 7).
Partly because, as the Fourth Circuit put it, "(r)eliance on agency
judgment is a recurring theme of the Circular and its accompanying
Supplement" (HHS v. FLRA, 844 F.2d at 1092), "(a)ll of the courts
which have considered the issue have held that (contracting-out
decisions) under Circular A-76 are committed to agency discretion and
are not subject to judicial review." AFGE, Local 2017 v. Brown, 680
F.2d 722, 726 (11th Cir. 1982), cert. denied, 459 U.S. 1104 (1983).
See HHS v. FLRA, 844 F.2d at 1096. The courts have concluded that the
Circular "provides no judicially enforceable substantive rights"
(National Maritime Union v. Commander, Military Sealift Command, 632
F. Supp. 409, 417 (D.D.C. 1986), aff'd, 824 F.2d 1228 (D.C. Cir.
1987)), and that, in particular, government employees and their unions
do not possess any legally cognizable interests under the Circular
(National Federation of Federal Employees v. Cheney, 883 F.2d 1038
(D.C. Cir. 1989)). /27/
In short, because Circular A-76 was designed not to be legally
binding, and because it simply provides guidelines for the exercise of
managerial discretion, it does not endow federal employees and their
unions with legally enforceable rights. The Circular therefore places
no legally cognizable or enforceable constraints upon management's
reserved authority for purposes of 5 U.S.C. 7106, and so cannot
reasonably be construed to be one of the "applicable laws" to which
that Section refers.
B. A Claim That Management Has Failed To Comply With The Circular
Is Not A "Grievance"
Because the Circular is not an "applicable law" within the meaning
of 5 U.S.C. 7106(a)(2), a union or an employee complaint alleging that
an agency has failed to comply with the Circular's provisions does not
give rise to a "grievance" as that term is defined in Title VII. That
is so both because of the definition itself -- which refers to a
"claimed violation * * * of any law, rule, or regulation affecting
conditions of employment," but not to claimed violations of mere
policy guidelines -- and for a second, independent reason. If such a
complaint were deemed to be a "grievance," as the respondents argue,
allegations of management's failure to abide by the terms of the
Circular would ultimately be subject to binding arbitration pursuant
to 5 U.S.C. 7121(b)(3)(C). See pp. 7-8, supra. Such binding
arbitration would make an outside arbitrator, rather than the agency,
the final authority on compliance with the Circular and would thus fly
in the face of the clear directive of Section 7106 that "nothing in
(Title VII) shall affect the authority of any * * * agency" to make
decisions (in accordance with applicable laws) regarding contracting
out.
1. Subjecting Agency Contracting-Out Decisions Under The Circular
To Arbitral Review Would Impermissibly "Affect" Reserved Agency
Authority
Congress in the management rights provision carefully preserved
management's authority "to make determinations with respect to
contracting out." It could not at the same time have intended that
labor arbitrators would, in settling grievances, oversee managers'
contracting-out decisions made pursuant to the Executive Branch's
management guidelines.
As both the Fourth Circuit and the Ninth Circuit have concluded
(Defense Language Institute v. FLRA, 767 F.2d at 1401; HHS v. FLRA,
844 F.2d at 1096), external oversight of agency determinations under
Circular A-76 would inevitably lead to improper second-guessing of
legitimate exercises of managerial discretion. Just as compliance
with the Circular is not amenable to judicial oversight, it is also
not amenable to arbitrators' oversight: "(B)ecause the Circular lacks
meaningful standards to guide management's discretion, (an
arbitrator's and) the Authority's review would confront the same
difficulty that has led courts to hold that judicial review of an
agency's contracting-out determination (under A-76) is unavailable."
Defense Language Institute v. FLRA, 767 F.2d at 1401.
To be sure, the FLRA has declared that, in adjudicating grievances
alleging a violation of Circular A-76, arbitrators are not to review
managers' discretionary decisions, and must not substitute their
judgment for that of agency management officials. Headquarters, 97th
Combat Support Group (SAC), Blytheville Air Force Base, Arkansas and
AFGE, AFL-CIO, Local 2840, 22 F.L.R.A. 656, 661 (1986) (Blytheville).
"However, where the entire decisionmaking process is permeated with
discretion, as it is under the Circular, that substitution would be
inevitable." HHS v. FLRA, 844 F.2d at 1092. Indeed, the very question
whether a particular aspect of the Circular is or is not
"discretionary" can itself be a matter of judgment with respect to
which an arbitrator might disagree with agency management officials.
See HHS v. FLRA, 844 F.2d at 1093. /28/ The distinction between those
determinations that are "discretionary" as that term is used in
Blytheville and those that are not is not one that lends itself to a
precise definition, and that case provided none. /29/
This definitional difficulty is exacerbated by the fact that, as
this Court has repeatedly recognized, "the 'specialized competence of
(labor) arbitrators pertains primarily to the law of the shop, not the
law of the land.'" Barrentine v. Arkansas-Best Freight System, Inc.,
450 U.S. 728, 743 (1981) (quoting Alexander v. Gardner-Denver Co., 415
U.S. 36, 57 (1974)). Cf. United Steelworkers of America v. Warrior &
Gulf Navigation Co., 363 U.S. 574, 581-582 (1960). Since the
distinction in any particular case between determinations that are
reviewable under the Blytheville standard and those that are not will
turn at least in part on the "law of the land" -- i.e., "the public
law considerations underlying (5 U.S.C. 7106)" (Barrentine v.
Arkansas-Best Freight System, Inc., 450 U.S. at 743), the constraints
that Blytheville purports to impose upon arbitral review of A-76
decisions are likely to prove ineffective. HHS v. FLRA, 844 F.2d at
1093.
The threat of improper arbitral intrusion into discretionary agency
decisionmaking is heightened by the fact that under Title VII, review
of arbitrators' rulings by the FLRA and by the courts is limited. See
5 U.S.C. 7122, 7123(a)(1). Under those provisions, if an arbitrator
incorrectly disturbs a legitimate managerial decision, it is not clear
that the agency could obtain meaningful review. See United States
Marshals Service v. FLRA, 708 F.2d 1417 (9th Cir. 1983) (construing 5
U.S.C. 7122 and 7123(a)(1) to limit review); see also United States
Department of Justice v. FLRA, 792 F.2d 25 (2d Cir. 1986) (same);
Overseas Education Ass'n v. FLRA, 824 F.2d 61 (D.C. Cir. 1987) (same).
Thus, management can have no assurance that an arbitral decision
setting aside a proper managerial judgment will be corrected. See,
e.g., Defense Language Institute v. FLRA, 767 F.2d at 1401.
2. Increased Delays And Uncertainties Would Impermissibly "Affect"
Agency Authority
Subjecting agencies' A-76 determinations to grievance and
arbitration would also "affect" agency authority to make decisions
concerning contracting out, in violation of the management rights
provision, by injecting an unacceptable element of uncertainty and
delay into the government's contracting-out activity.
As the court of appeals acknowledged in this very case, the process
of grievance and arbitration may take months, or even years, to run
its course. /30/ Pet. App. 7a. Accord, HHS v. FLRA, 844 F.2d at
1094. The FLRA -- in a partial effort to cope with the intrusive
effects of its rulings -- has held that an arbitrator, upon
determining that an agency's decision to contract out is in violation
of the Circular, may not order outright cancellation of a contract;
instead, he may order the agency to "reconstruct" the procurement
action by which outside services were obtained. Blytheville, 22
F.L.R.A. at 661. /31/ Thus, under the scenario contemplated by the
FLRA, long after an agency has decided to contract work out and has
accordingly entered into, and perhaps even completed, a contract with
a private entity, the agency may be told by an arbitrator that the
contracting-out decision is infirm and must be reconsidered under the
conditions that existed when it was made. For a number of reasons,
the prospect that a contracting-out determination may be declared
invalid by an arbitrator long after the fact is not conducive to
effective agency management.
First, the problems inherent in attempting to reconstruct the
earlier conditions might lead prudent agency managers to put off
implementing a contract pending the exhaustion of any grievance and
arbitration proceedings. In order to avoid the disruption that a
reconstruction order would entail, responsible management officials
might determine that the appropriate course of action is to stay a
decision to contract out until grievance and arbitration proceedings
relating to the decision are resolved. /32/ A delay to avoid the
difficulties of reconstruction could itself lead to substantial
inefficiencies, however, since "undue delay in implementing * * * a
contract award * * * may, because of rapidly changing economic
conditions, invalidate the original cost comparison." Ketler, Federal
Employee Challenges to Contracting Out: Is there a Viable Forum?, 111
Mil. L. Rev. 103, 117 (1986). See HHS v. FLRA, 844 F.2d at 1094. The
determination of the relative cost of in-house performance as compared
to the cost of contracting out turns on economic factors that may
rapidly become outdated; thus, where a contracting-out determination
is challenged and goes to arbitration, the cost comparison on which
the determination was initially based may be inaccurate by the time
the arbitrator finally reaches a decision.
There would also be substantial inefficiencies even if the cost
comparison is still valid when the arbitrator renders his decision.
Even in those cases, the agency will have been deterred -- perhaps at
substantial cost to the government -- from implementing an efficient
contracting-out decision during the pendency of the arbitration
proceeding. Moreover, as Judge MacKinnon observed in his dissent in
EEOC v. FLRA (744 F.2d at 860):
Even if the grievance is eventually denied, and that denial
is affirmed (by the FLRA), the prolonged litigation will have
cast a cloud over the agency's contracting-out decision,
subjected the decision to considerable delay, and wasted
valuable agency assets on an essentially frivolous claim. This
extraordinary potential for vexatious litigation will
significantly infringe upon management's specifically designated
right to make contracting-out decisions.
In addition, the uncertainties that would be added to the
contracting-out process might well have an adverse effect on agencies'
negotiations for goods and services. If unions and employees were
able to resort to grievance and outside arbitration to challenge
contracting-out decisions under the Circular, potential bidders
presumably would realize that performance of the contract might not
begin until long after the initial award, and that, if begun,
performance might be interrupted in mid-stream. Bidders could
therefore reasonably be expected to adjust their bids to account for
these possibilities, and some potential bidders might decide, under
the circumstances, not to submit a bid at all. See HHS v. FLRA, 844
F.2d at 1094. /33/ Thus, the cost of contracts to the government is
likely to be increased, and in some cases inflation of bids could even
result in skewing the ultimate contracting-out determination in favor
of comparatively inefficient in-house performance by artificially
boosting the cost of private-sector performance over the in-house
cost. At the very least, introduction of the delays and uncertainties
inherent in the grievance and arbitration process could be expected to
increase the difficulties responsible agency officials would face in
planning and controlling agency budgets.
In sum, Title VII compels the conclusion that agency
contracting-out decisions may not be subjected to grievance and
arbitration because such grievance and arbitration would "affect"
management's reserved authority. The statute says that "nothing in
this chapter (i.e., Title VII) shall affect the authority of any
management official of any agency (to make determinations regarding
contracting out.)" 5 U.S.C. 7106(a). Title VII's grievance and
arbitration provisions are, of course "in this chapter"; the
statutory language thus means that "nothing in" those grievance and
arbitration provisions "shall affect" management's reserved
contracting out authority. /34/ See HHS v. FLRA, 844 F.2d at 1099;
Defense Language Institute v. FLRA, 767 F.2d at 1402. /35/
* * * * *
Contrary to the respondents' suggestions (NTEU Memorandum at 11-12;
FLRA Memorandum at 17), we do not contend that any complaint by an
employee or a union that bears on a reserved management right is, for
that reason alone, exempt from Title VII's grievance and arbitration
provisions. Instead, the conclusion that complaints alleging
violations of the Circular are not subject to grievance and
arbitration flows from the fact that the Circular both involves the
exercise of a reserved management prerogative (contracting out) and is
not an "applicable law" qualifying that prerogative. Accordingly, a
complaint alleging that management has not adhered to the Circular in
making a contracting-out determination does not give rise to a
"grievance" within the meaning of the statute (see 5 U.S.C.
7103(a)(9)).
Moreover, and contrary to the union's apparent belief, /36/ our
position is not that a complaint alleging violation of the Circular is
a "grievance" that is exempt from the statute's grievance and
arbitration provisions. Rather, our position is that a complaint
alleging a violation of the Circular is not a "grievance" at all
within the meaning of the statute. In ruling in this case that a
complaint alleging a violation of the Circular constitutes a
"grievance," the FLRA alluded to 5 U.S.C. 7103(a)(9)(C)(ii), which
defines the term to include "any claimed violation, misinterpretation,
or misapplication of any law, rule, or regulation affecting conditions
of employment." See Pet. App. 12a-13a. Cf. EEOC v. FLRA, 476 U.S. at
22. As we have shown, however, the Circular, which simply guides the
exercise of agency discretion, is quite plainly neither a "law" nor a
"regulation." Cf. Schweiker v. Hansen, 450 U.S. 785, 789 (1981). Nor
is there any reason to conclude that it is a "rule." Giving such an
expansive definition to that undefined term would mean that by its
mere inclusion in the definition of a "grievance," Congress intended
to permit the grievance and arbitration mechanism to override the
explicit mandate of the management rights provision that "nothing in
this chapter" -- including the scope of the term "grievance" -- "shall
affect" management's reserved authority with respect to contracting
out. /37/
II. THE DECISION BELOW IS INCONSISTENT WITH THE STATUTORY PURPOSE
The scope and application of the management rights provision, and
its relation to the other statutory provisions, are confirmed by an
analysis of the statutory purpose. A basic tenet of the federal labor
relations scheme enacted in Title VII is the "paramount public
interest" (FLRA v. Aberdeen Proving Ground, 108 S. Ct. at 1262) in
"preserving the ability of federal managers to maintain 'an effective
and efficient government'" (Bureau of Alcohol, Tobacco and Firearms v.
FLRA, 464 U.S. at 92 (quoting 5 U.S.C. 7101(b))). /38/ As President
Carter emphasized in his message to Congress urging that the Civil
Service Reform Act be passed, "this legislation * * * recogniz(es) the
special requirements of the Federal government and the paramount
public interest in the effective conduct of the public's business."
H.R. Doc. No. 299, 95th Cong., 2d Sess. 4 (1978). Congress in turn
took pains to "insure() to Federal agencies the right to manage
government operations efficiently and effectively" (S. Rep. No. 969,
supra, at 12), /39/ and ultimately admonished in the very terms of the
statute itself that "(t)he provisions of this chapter should be
interpreted in a manner consistent with the requirement of an
effective and efficient Government" (5 U.S.C. 7101(b)). This Court
has recognized that requirement as "one of the major purposes of the
(Civil Service Reform) Act." Cornelius v. Nutt, 472 U.S. 648, 662
(1985).
The decision of the court below disregards that major purpose. As
our discussion shows, the implementation of the union's proposal in
this case would result in delays and uncertainties that would
significantly increase the difficulties in administering the federal
policy regarding contracting out. The interpretation of the court
below that this increase is not only permitted, but indeed mandated,
by Title VII does not promote "efficiency in government"; it
encourages just the opposite. See HHS v. FLRA, 844 F.2d at 1100.
Respondents' interpretation of the statutory scheme is thus
inconsistent with the requirements of government efficiency. The
Circular is, in essence, the method the President /40/ has utilized to
provide agency management officials with guidance on how they should
go about exercising the reserved right to make contracting-out
determinations. As such, it is binding only in the sense that
compliance is directed as a matter of internal Executive Branch
policy. Ultimately, compliance with the Circular is satisfactory only
if and to the extent that the President says it is.
Yet under respondents' reading of Title VII, the promulgation of
this internal policy guidance automatically gives agency employees and
their unions a right to subject interpretation of that guidance to
adjudication by independent arbitrators. As the Fourth Circuit
explained (HHS v. FLRA, 844 F.2d at 1095), "(w)ere the Circular held
to be an 'applicable law' within the meaning of Section 7106 (whose
alleged violation would give rise to an arbitrable grievance), it
would be impossible for the executive branch to formulate policy
directives, and for the President to instruct his subordinates,
without giving rise to third party rights to challenge those policies
and instructions."
The respondents' reading of Title VII, which would have the
perverse effect of "transform(ing) basic tools of management into
occasions for intrusion" (HHS v. FLRA, 844 F.2d at 1100), is thus
contrary to the directive of Section 7101(b). Congress could not have
intended, in enacting Title VII, to present Executive officials "with
the Hobson's choice of surrendering control over the interpretation of
policy directives or attempting to manage without such instructions to
subordinates." HHS v. FLRA, 844 F.2d at 1100. /41/ To the contrary,
the legislative history confirms that the management rights provision
"specifies areas for decision which are reserved to the President and
heads of agencies," in order to "insure() to Federal agencies the
right to manage government operations efficiently and effectively" (S.
Rep. No. 969, supra, at 12-13 (emphasis added)).
We recognize that the FLRA's "reasonable and defensible
constructions of (its) enabling Act" are entitled to deference. FLRA
v. Aberdeen Proving Ground, 108 S. Ct. at 1263. This Court has
admonished, however, that "reviewing courts * * * must not
'rubber-stamp * * * administrative decisions that they deem
inconsistent with a statutory mandate or that frustrate the
congressional policy underlying a statute.'" Ibid.; Bureau of Alcohol,
Tobacco and Firearms v. FLRA, 464 U.S. at 97 (quoting NLRB v. Brown,
380 U.S. 278, 291-292 (1965)). Here, as in those cases, the FLRA's
interpretation is "inconsistent() with the language and purpose of
Title VII" (FLRA v. Aberdeen Proving Ground, 108 S. Ct. at 1263), and
thus the court of appeals erred in failing to set that interpretation
aside.
CONCLUSION
The judgment of the court of appeals should be reversed.
Respectfully submitted.
WILLIAM C. BRYSON
Acting Solicitor General /42/
STUART M. GERSON
Assistant Attorney General
DAVID L. SHAPIRO
Deputy Solicitor General
HARRIET S. SHAPIRO
Assistant to the Solicitor General
WILLIAM KANTER
THOMAS M. BONDY
Attorneys
NOVEMBER 1989
/1/ Title VII of the Civil Service Reform Act is also known as the
Federal Service Labor-Management Relations Statute.
/2/ Title VII does not cover certain federal employees (e.g.,
members of the military and the Foreign Service), or certain federal
agencies (e.g., the Federal Bureau of Investigation and the Central
Intelligence Agency). 5 U.S.C. 7103(a)(2) and (3).
/3/ The authority reserved to management in 5 U.S.C. 7106(a) is
"(s)ubject to subsection (b) of this section." 5 U.S.C. 7106(b)
specifies that the management rights provision does not "preclude any
agency and any labor organization from negotiating" with regard to the
"procedures which management officials of the agency will observe in
exercising any authority under this section" and with regard to
"appropriate arrangements for employees adversely affected by the
exercise of any authority under this section by such management
officials."
/4/ Title VII also precludes an agency from bargaining over
proposals that are "inconsistent with any Federal law or any
Government-wide rule or regulation," and over "matters which are the
subject of * * * a Government-wide rule or regulation" (5 U.S.C.
7117(a)(1)).
/5/ The FLRA's rulings on negotiability are reviewable in the
courts of appeals under 5 U.S.C. 7123. That provision is the
jurisdictional basis for this suit.
/6/ Title VII's collective bargaining regime is in this fundamental
respect quite different from the framework established under the
National Labor Relations Act, which does not provide for an entity
empowered to resolve bargaining impasses by ordering the incorporation
of the contested proposal into the parties' collective bargaining
agreement.
/7/ The Circular was originally issued as a Bureau of the Budget
Bulletin in 1955. The current version, relevant portions of which are
reprinted in Appendix A, infra, was issued in 1983. (Copies of the
complete Circular have been lodged with the Clerk of this Court.) The
Circular, which is signed by the Director of OMB and is addressed to
the heads of Executive Branch agencies, is accompanied by a Supplement
that sets forth the steps to be taken by agency officials to implement
the Circular's general policy. We have lodged copies of the
Supplement with the Clerk of this Court, and have reproduced one
portion of it (Part I, Chapter 2, Section I) in Appendix B, infra.
/8/ A commercial activity is "one which is operated by a Federal
executive agency and which provides a product or service which could
be obtained from a commercial source"; in contrast, a governmental
function is one that is "so intimately related to the public interest
as to mandate performance by Government employees." App. A, infra,
para. 6a and e.
/9/ Cost comparisons are not required when the activity being
considered for contracting out involves ten or fewer work years and
"fair and reasonable prices" can be obtained from qualified commercial
sources, or when effective price competition is available and there is
no reasonable expectation that in-house operation will be less
expensive. Supplement at I-11, I-1 & n.1.
/10/ The Circular provides that the required administrative appeals
procedure shall not apply to questions regarding government management
decisions. App. B, infra, para. 1b.
/11/ When an initial cost comparison decision is announced, any
directly affected employee, union, or bidder is entitled upon request
to receive "(a)ll detailed documentation supporting (that) decision".
App. B, infra, para. 4. The appeal must be filed within 15 working
days after the directly affected party receives the documentation
(ibid.). The 15-working-day appeal period may be extended to 30
working days in cases where the cost data are particularly complex.
Id. para. 6a.
/12/ The FLRA similarly rejected management's claim that
negotiation over the union's proposal was barred because such
negotiation "would conflict with OMB Circular No. A-76, itself." 10
F.L.R.A. at 4. The FLRA stated that the Circular cannot "limit the
statutorily prescribed scope and coverage of the parties' negotiated
grievance procedure." Ibid.
/13/ Justice White and Justice Stevens dissented from the Court's
decision to dismiss the writ of certiorari as improvidently granted.
EEOC v. FLRA, 476 U.S. at 25 (White, J., dissenting); id. at 25-27
(Stevens, J., dissenting). Justice Stevens stated that, on the
merits, he would rule in management's favor (id. at 27):
I am persuaded that Circular A-76 is not one of the
"applicable laws" described in 5 U.S.C. Section 7106(a)(2)(B)
and that requiring compliance with the Circular would intrude on
management's reserved rights. Accordingly, I would reverse the
judgment of the Court of Appeals.
/14/ The FLRA decision simply required the agency to bargain over
the union's proposal to subject to the collective bargaining
agreement's grievance and arbitration provision agency contracting-out
decisions made pursuant to OMB Circular A-76. Title VII provides,
however, that if the union and management ultimately fail to reach
agreement with respect to the proposal, either party may ask the
Federal Service Impasses Panel to resolve the impasse, and the
Impasses Panel may put the union's proposal into effect. See pp. 6-7,
supra. If the union's proposal were to be incorporated into the
collective bargaining agreement, disputes about the propriety of
management's contracting-out decisions under the A-76 Circular would
be subject to the collective bargaining agreement's grievance
mechanism, and, ultimately, to resolution by an independent
arbitrator. See 5 U.S.C. 7103(a)(9)(C)(i), 7121(b)(3)(C); HHS v.
FLRA, 844 F.2d at 1092.
/15/ The FLRA recognized that the Ninth Circuit had since "rejected
the Authority's approach in EEOC," in Defense Language Institute v.
FLRA, 767 F.2d 1398 (9th Cir. 1985), cert. dismissed, 476 U.S. 1110
(1986), but the Authority nevertheless "respectfully adhere(d) to the
view that (its own) position in EEOC is correct." Pet. App. 14a n.1.
In addition to its decision in EEOC, the FLRA also relied
significantly on its decision in American Federation of Government
Employees, AFL-CIO, Local 1923 and Department of Health and Human
Services, Office of the Secretary, Office of the General Counsel,
Baltimore, Maryland, 22 F.L.R.A. 1071 (1986), in which the FLRA held
negotiable a proposal similar to those at issue in EEOC and in the
present case. That decision has since been set aside by the Fourth
Circuit. HHS v. FLRA, 844 F.2d 1087 (1988) (en banc).
/16/ The FLRA also held negotiable a second proposal advanced by
the union. That proposal specified that the agency would not award a
contract "until all grievance procedures, up to and including
arbitration, are exhausted in regard to any provisions (e.g., OMB
Circular A-76, Statute) pertaining to the impact and implementation of
a contracting-out decision." Pet. App. 16a. The FLRA explained
(ibid.), "Proposal 2 provides that the Agency shall wait until all
grievances concerning the impact and implementation of a
contracting-out determination have been exhausted through the
grievance and arbitration procedures before awarding any contract."
The FLRA concluded that Proposal 2 was subject to the bargaining
obligation because it suggested a negotiable "procedure" within the
meaning of 5 U.S.C. 7106(b)(2). Pet. App. 16a-18a.
/17/ The panel recognized that neither the "applicable law" issue
nor the "law, rule, or regulation" issue had been "consider(ed) or
decid(ed)" (Pet. App. 5a) in EEOC; it also recognized (ibid.) that
this Court had dismissed the writ of certiorari as improvidently
granted in EEOC precisely because the "applicable law" and "law, rule,
or regulation" arguments "had never been made before either the FLRA
or (the court of appeals)" in that case. The panel held,
nevertheless, that the court of appeals' prior decision in EEOC was
controlling, since "(w)e do not * * * find an intellectually
legitimate basis to distinguish EEOC from this case." Ibid. Thus, the
panel concluded, "(t)he (agency's) new arguments are merely that" (id.
at 5a-6a), and the outcome of this case was dictated by EEOC.
/18/ The panel stated, however, that it was not "constrained (by
EEOC) with respect to (the union's) second proposal" (Pet. App. 6a),
which would stay execution of the agency's contracting-out
determinations until the exhaustion of grievance and arbitration. See
note 16, supra. The panel set aside the FLRA's ruling that the
union's second proposal was negotiable. Pet. App. 6a-7a. The panel
determined that the second proposal "encroaches entirely too far upon
management's authority to accomplish its agency's mission with
dispatch" (id. at 6a), since "delay alone could compromise the
managerial judgment involved in procuring products or services
necessary to the agency's mission when they are needed" (id. at 7a).
That determination is not challenged in this Court.
/19/ Judge Ginsburg agreed with the other members of the panel that
the union's second proposal was not negotiable. Pet. App. 8a.
/20/ Judge Silberman issued a separate statement, also concurring
in the denial of rehearing en banc. Pet. App. 24a.
/21/ Accordingly, contracting out is one of the "areas of
management authority which may not be subject to collective
bargaining" (H.R. Rep. No. 1403, supra, at 43; accord H.R. Conf. Rep.
No. 1717, 95th Cong., 2d Sess. 154 (1978); 124 Cong. Rec. 24,286
(1978) (remarks of Rep. Clay)).
/22/ The specific and complete statutory exclusion of contracting
out from the scope of mandatory bargaining in Title VII thus stands in
sharp contrast to the rules applicable in the private sector. See
Fibreboard Paper Products Corp. v. NLRB, 379 U.S. 203 (1964); First
National Maintenance Corp. v. NLRB, 452 U.S. 666 (1981).
/23/ If the union agrees with this analysis, it is hard to see why
it made the contested proposal in the first place, since it has no
more to gain by its inclusion in the collective bargaining agreement
than the agency has to lose by that inclusion. See Defense Language
Institute v. FLRA, 767 F.2d at 1402 ("we find it incredible that the
parties would so strenuously dispute a proposal that gives the union
nothing it did not already possess and deprives management of nothing
it had not already lost"); EEOC v. FLRA, 744 F.2d at 852 (MacKinnon,
J., dissenting) (union bargaining proposal would be "a total
nullity"); HHS v. FLRA, 844 F.2d at 1097.
/24/ Significantly, every judge to have discussed the question has
agreed with this assertion. In EEOC v. FLRA, supra, only Justice
Stevens addressed the merits; he concluded that the Circular is not
an "applicable law." 476 U.S. at 27. In HHS v. FLRA, 844 F.2d 1087,
1094-1095, 1096 (4th Cir. 1988) (en banc), the majority squarely held
that the Circular is not an "applicable law"; the dissenters declined
to consider the question -- in their view, it was not properly before
the court (see id. at 1102 (dissenting opinion)). Finally, in the
instant case, Judge Ginsburg in dissent stated expressly that he was
of the view that the Circular is not an "applicable law." Pet. App.
9a. Although the panel majority rejected the agency's contention that
the Circular is not an "applicable law" (Pet. App. 5a-6a), it did so
simply on the ground that it was bound by the prior Circuit decision
in EEOC v. FLRA, 744 F.2d 842 (D.C. Cir. 1984). Cf. National
Federation of Federal Employees v. Cheney, 883 F.2d 1038, 1062-1063
(D.C. Cir. 1989) (Mikva, J., dissenting). As the majority
acknowledged (Pet. App. 5a), and as this Court squarely held in its
opinion dismissing the writ of certiorari as improvidently granted
(476 U.S. at 24), EEOC v. FLRA did not consider the question whether
the Circular is an "applicable law."
/25/ "In carrying out its responsibilities, the Office of
Management and Budget issues policy guidelines to Federal agencies to
promote efficiency and uniformity in Government activities. These
guidelines are normally in the form of circulars." 5 C.F.R. 1310.1.
/26/ The nature of the Circular as a managerial tool, rather than
an enforceable "applicable law," is exemplified by Part III of the
Supplement, denominated "Management Study Guide." "The management
study (that is mandated consists of) a major management analytical
evaluation of (the) organization to determine if the job can be
accomplished in a more economical manner." Supplement at III-2. The
"Management Study Guide" directs responsible management officials, in
order to decide whether the particular activity should be contracted
out, to analyze the activity and define its "essential mission."
Ibid.; see id. at III-7. Management officials are then directed to
make a number of other determinations, including identification of the
activity's "optimum organizational structure" (ibid.), which in turn
requires an assessment of whether "authority and accountability (are)
properly balanced in the organization's (present) hierarchical
structure" (id. at III-8), and whether the activity's present
personnel structure is "the most effective and economical based on
(the) work to be performed" (ibid.). As the functions called for in
the "Management Study Guide" amply illustrate, the Circular prescribes
quintessentially managerial decisionmaking, and its application calls
for the exercise of purely discretionary managerial judgments. See
also Ketler, Federal Employee Challenges to Contracting Out: Is There
A Viable Forum?, 111 Mil. L. Rev. 103, 108 (1986).
/27/ The Circular is by no means unique in this regard; instead,
"it has long been held that the executive branch may promulgate such
instructions without creating rights and obligations enforceable by
third parties" (HHS v. FLRA, 844 F.2d at 1095). For example, the
Social Security Claims Manual considered in Schweiker v. Hansen, 450
U.S. 785, 789 (1981), like Circular A-76, "has no legal force, and it
does not bind the (agency). Rather, it is * * * for internal use by
(agency) employees."
/28/ For example, although the FLRA upheld the arbitrator's
determination in Blytheville itself, concluding that the challenged
agency decision violated non-discretionary provisions of Circular
A-76, the errors identified turned largely on matters of discretion.
The arbitrator faulted the agency for incorrectly estimating in-house
labor costs, including the grade level required for a temporary
employee to perform the work and the extent to which contracting out
would displace existing employees. Compare Blytheville, 22 F.L.R.A.
at 662, with HHS v. FLRA, 844 F.2d at 1092-1093 (criticizing
Blytheville).
/29/ Although the FLRA stated in Blytheville that an arbitrator's
review of contracting-out decisions is limited to determining whether
"the agency violated mandatory provisions * * * (which) contain
sufficiently specific standards to objectively analyze and review the
agency's actions" (22 F.L.R.A. at 661), Blytheville offers little
guidance regarding which provisions of Circular A-76 might, in the
FLRA's view, satisfy that standard. See note 28, supra.
/30/ Compare the expedited internal appeals process contemplated by
the Supplement to the Circular, pursuant to which an appeal ordinarily
must be filed within 15 working days of the agency's initial decision,
and must then be conclusively resolved by the agency within 30
calendar days. App. B, infra, paras. 3, 6a.
/31/ The FLRA explained the reconstruction process as follows (22
F.L.R.A. at 662):
An agency in taking the action required by (a reconstruction)
award must reconstruct the procurement process in accordance
with the provisions which were previously not complied with and
must determine on reconstruction whether the decision to
contract out is now in accordance with law and regulation. If
the decision to contract out can no longer be justified, the
agency must determine whether considerations of cost,
performance, and disruption override cancelling the procurement
action and take whatever action is appropriate on the basis of
that determination.
The agency's reconstruction, and its determination of the
appropriate course in light of that reconstruction, might itself be
subjected to Title VII grievance and arbitration.
/32/ The court of appeals' refusal in this case to require
negotiation about a union proposal to include a specific stay
requirement in the collective bargaining agreement itself (see note
18, supra) does not eliminate the problem. Even in the absence of a
specific provision requiring management to delay, management might
choose to delay rather than to go ahead with a contract only to be
ordered, after the fact, to reconstruct the procurement action.
/33/ A bidder, of course, would not be entitled to participate in
the grievance and arbitration proceeding. In contrast, the appeals
mechanism contemplated by the Circular includes bidders as well as
unions and employees. As the Circular recognizes (App. B, infra,
para. 7), this inclusion would be thwarted by labor arbitration:
Since the appeal procedure is intended to protect the rights
of all directly affected parties -- Federal employees and their
representative organizations, and bidders or offerors on the
instant solicitation -- the procedure and the decision on appeal
may not be subject to negotiation, arbitration or agreement.
/34/ The FLRA itself has explained (American Federation of
Government Employees, AFL-CIO, Local 2782 and Department of Commerce,
Bureau of the Census, Washington, D.C., 6 F.L.R.A. 314, 319-321
(1981)):
Under the plain language of section 7106(a), of course,
"nothing" in the Statute shall "affect the authority" of an
agency to exercise the rights enumerated therein. Hence, no
matter could be grieved under a procedure negotiated pursuant to
section 7121 of the Statute which would deny the authority of an
agency to exercise its statutory rights under section 7106.
/35/ Because "substantive management rights (would) realistically
be() impaired" if the union's bargaining proposal were to be adopted
(National Federation of Federal Employees, Local 615 v. FLRA, 801 F.2d
477, 483 (D.C. Cir. 1986)), it is incorrect to suggest, as did the
court of appeals in EEOC, 744 F.2d at 848 (but not the FLRA in the
instant case), that agency compliance with the Circular is negotiable
under 5 U.S.C. 7106(b) as a procedure used in the exercise of a
reserved management right. As the Fourth Circuit explained in HHS v.
FLRA, supra, while "(t)here can be no doubt that Circular A-76 is, to
some extent, procedural" (844 F.2d at 1097), the effect of subjecting
agency implementation of the Circular to negotiation and arbitration
would extend far beyond procedure, and would directly affect
substantive rights. Cf. Defense Language Institute v. FLRA, 767 F.2d
1398, 1400-1401 & n.3 (9th Cir. 1985) (proposal that would require
correction of data not prepared in accordance with Circular A-76 is
not procedural in nature, and therefore is not negotiable); Pet. App.
6a-7a (holding non-negotiable a union proposal requiring agency to
complete arbitration before contracting out).
In addition, the union proposal would directly affect the
substantive rights of non-governmental parties. Substituting the
collective bargaining agreement's grievance and third-party
arbitration provisions for the Circular's existing internal appeal
mechanisms would give agency employees and their unions enforceable
rights to challenge substantive agency decisions that are expressly
denied to them under the Circular and its Supplement. See App. A,
infra, para. 7c(8); App. B, infra, para. 2. Moreover, the Circular's
appeal mechanisms, but not the collective bargaining agreement
grievance and arbitration procedures, provide for participation by
"bidders or offerors on the (affected) solicitation" (App. A, infra,
para. 6g; App. B, infra, para. 1). Since the union's proposal would
supplant the appeal procedures required by the Circular, it would
diminish the rights of disappointed bidders to protest agency actions
(see note 33, supra).
/36/ See NTEU Memorandum at 5, 14 (citing 5 U.S.C. 712(c)); see
also Pet. App. 14a; EEOC v. FLRA, 744 F.2d at 849-850; HHS v. FLRA,
844 F.2d at 1105-1106 (dissenting opinion)).
/37/ For the foregoing reasons, we contend that Circular A-76 is
neither an "applicable law" under Section 7106 nor a "law, rule, or
regulation" under Section 7103's definition of a "grievance." If this
Court disagrees, and concludes that the Circular is either a law,
rule, or regulation for purposes of these provisions, we believe such
a conclusion would mean that the union's proposal is not negotiable
because of 5 U.S.C. 7117(a)(1), which provides that the duty to
bargain exists only "to the extent not inconsistent with any Federal
law or any Government-wide rule or regulation." Circular A-76, which
"(u)nless otherwise provided by law * * * appl(ies) to all executive
agencies" (App. A, infra, para. 7a), and is designed to "establish()
Federal policy" (id. para. 1), applies "Government-wide." And the
union's proposal to substitute a grievance procedure and outside
arbitration for the Circular's internal appeal mechanism is
fundamentally "inconsistent with" the Circular's exclusion of
arbitration (see App. B, infra, para. 7).
/38/ The D.C. Circuit itself has recognized that a "key policy"
underlying the statutory provisions is the promotion of "efficiency in
government" (National Federation of Federal Employees, Local 1745 v.
FLRA, 828 F.2d 834, 839 n.31 (D.C. Cir. 1987); see also Department of
the Treasury, Bureau of Alcohol, Tobacco and Firearms v. FLRA, 857
F.2d 819, 822 (D.C. Cir. 1988)).
/39/ See also, e.g., H.R. Conf. Rep. No. 1717, supra, at 154.
/40/ OMB is an office within the Executive Office of the President
(31 U.S.C. 501), and serves as "the President's principal arm for the
exercise of his managerial functions" (31 U.S.C. 501 note (Reorg. Plan
No. 2 of 1970)).
/41/ As one commentator has observed (Ketler, supra, 111 Mil. L.
Rev. at 139-140):
If agency contracting officers at the lowest levels were
merely delegated the authority to contract out in their sole
discretion, no "applica(ble) laws" would exist to provide a
basis for employee grievances. It is ludicrous to conclude that
Congress intended by section 7106(a) to preserve the discretion
of first-line managers to determine the factors upon which to
make contracting-out decisions, but to deny senior management
officials that same discretion to determine uniform conditions
for contracting out on an agency-wide basis.
/42/ The Solicitor General is disqualified in this case.
APPENDIX
|
en
|
all-txt-docs
|
351657
|
IN THE UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
Case No. 03-20292
consolidated with 03-20500
EQUAL EMPLOYMENT OPPORTUNITY COMMISSION,
Plaintiff-Appellant,
v.
DUNBAR DIAGNOSTIC SERVICES, INC.; VILLAGE ULTRASOUND
CLINIC, INC.,
Defendants-Appellees.
On Appeal from the United States District Court
for the Southern District of Texas
BRIEF OF THE EQUAL EMPLOYMENT OPPORTUNITY
COMMISSION AS APPELLANT
JAMES L. LEE
Deputy General Counsel
CAROLYN L. WHEELER
Acting Associate General Counsel
VINCENT J. BLACKWOOD
Assistant General Counsel
JOHN F. SUHRE
Attorney
EQUAL EMPLOYMENT
OPPORTUNITY
COMMISSION
1801 L Street N.W., Room 7040
Washington, D.C. 20507
(202) 663-4716
STATEMENT REGARDING ORAL ARGUMENT
The Equal Employment Opportunity Commission respectfully requests that
oral argument be granted in this case. The district court, inter alia, granted
judgment as a matter of law to Dunbar Diagnostic Services, Inc. based on the
court's view that the Commission's witness, Leticia Gonzalez, was not credible.
However, the record contains sufficient evidence to permit a jury to find that
Dunbar Diagnostic discriminated against Gonzales because she was pregnant and
because she filed a charge of discrimination. Because there is a lengthy record in
this case and because the Commission is asking this Court to reassign this case to a
different judge on remand, the Commission requests the opportunity for oral
argument. TABLE OF CONTENTS
STATEMENT OF JURISDICTION .........................................................................1
STATEMENT OF THE ISSUES ..............................................................................2
STATEMENT OF THE CASE .................................................................................3
1. Nature of the Case and Course of Proceedings ...................................................3
2. Statement of the Facts ..........................................................................................4
3. Opinions below ..................................................................................................14
a. Oral opinion granting JMOL ...................................................................14
b. Oral opinion awarding attorneys' fees to DDSI ......................................17
SUMMARY OF ARGUMENT ..............................................................................19
ARGUMENT ..........................................................................................................22
I. THE DISTRICT COURT ERRED IN GRANTING JMOL TO THE
DEFENDANT BECAUSE THE EVIDENCE IS SUFFICIENT TO
SUPPORT A VERDICT FOR THE COMMISSION ON ITS CLAIMS
OF PREGNANCY DISCRIMINATION AND RETALIATION ................22
A. There Is Sufficient Evidence to Support a Finding That DDSI
Denied Health Insurance to Gonzalez Because
She Was Pregnant ...............................................................................23
B. There Is Sufficient Evidence to Support a Finding That DDSI
Fired Gonzalez Because She Filed a Charge of Discrimination
With the EEOC ...................................................................................26
C. The District Court Erred in Awarding JMOL Based on
Its View of Gonzalez's Credibility ....................................................28
TABLE OF CONTENTS cont'd.
II. THE DISTRICT COURT'S DECISION TO AWARD
ATTORNEY'S FEES TO DDSI WAS AN
ABUSE OF DISCRETION ..........................................................................32
III. THIS CASE SHOULD BE ASSIGNED TO A DIFFERENT JUDGE
ON REMAND BECAUSE AN OBJECTIVE OBSERVER WOULD
HAVE CAUSE TO QUESTION JUDGE HUGHES'S
IMPARTIALITY BASED ON HIS CONDUCT AT THE TRIAL .............34
CONCLUSION .......................................................................................................40
TABLE OF AUTHORITIES
Cases Page(s)
Boyle v. Pool Offshore Co., 893 F.2d 713 (5th Cir 1990) . . . . . 29, 36
Brady v. Fort Bend County, 145 F.3d 691 (5th Cir. 1998) . . . . .28
Christiansburg Garment Co. v. EEOC, 434 U.S. 412 (1978) . . . . .32
In Re: Daimler Chrysler Corp., 294 F.3d 697
(5th Cir. 2002) . . . . . . . . . . . . . . . . . . .35, 38
Delano-Pyle v. Victoria County, 302 F.3d 567
(5th Cir. 2002) . . . . . . . . . . . . . . . . . . .23, 28
Dotson v. Clark Equipment Co., 783 F.2d 586 (5th Cir. 1986) . . . . . 28
EEOC v. Olson's Dairy Queens, 989 F.2d 165 (5th Cir. 1993) . . . . . . 32
EEOC v. R.J. Gallagher Co., 181 F.3d 645 (5th Cir. 1999) . . . . . . . 32
Evans v. City of Houston, 246 F.3d 344 (5th Cir. 2001) . . . . . .27
Johnson v. Sawyer, 120 F.3d 1307 (5th Cir. 1997) .34, 35, 38
Little v. Southern Electric Steel Co., 595 F.2d 998
(5th Cir. 1979) . . . . . . . . . . . . . . . . . . . . .33
Medina v. Ramsey Steel Co., 238 F.3d 674 (5th Cir. 2001) . . . . . . . 33
Miss. Chemical Corp. v. Dresser-Rand Co., 287 F.3d 359
(5th Cir. 2002) . . . . . . . . . . . . . . . . . . . . .26
Mitchell v. Maynard, 80 F.3d 1433 (10th Cir. 1996) . . . . . 39
Potashnick v. Port City Const. Co., 609 F.2d 1101
(5th Cir. 1980) . . . . . . . . . . . . . . . . . . . . .34
TABLE OF AUTHORITIES cont'd
Cases Page(s)
Raggs v. Mississippi Power & Light Co. 278 F.3d 463
(5th Cir. 2002) ................................................................................25
Reeves v. Sanderson Plumbing Product, Inc.,
530 U.S. 133 (2000) . . . . . . . . . . . . . . . . . . .25
Rivas v. Brattesani, 94 F.3d 802 (2nd Cir. 1996) . . . . .36
Shackelford v. Deloitte & Touche, LLP, 190 F.3d 398
(5th Cir. 1999) . . . . . . . . . . . . . . . . . . . . .27
Simon v. City of Clute, Tex., 825 F.2d 940 (5th Cir. 1987) . . . . . . 39
St. Mary's Honor Center v. Hicks, 509 U.S. 502 (1993) . . . . . .31
U.S. v. Bell, 678 F.2d 547 (5th Cir. Unit B 1982) ..........................27
U.S v. Columbia Broadcasting System, Inc., 497 F.2d 107
(5th Cir. 1974) ...............................................................................34
U.S. v. Davis, 285 F.3d 378 (5th Cir. 2002) . . . . . . .36
U.S. v. Deville, 278 F.3d 500 (5th Cir. 2002) . . . . . .28
U.S. v. Dotson, 615 F.2d 329 (5th Cir. 1980) . . . . . . .29
TABLE OF AUTHORITIES cont'd
Statutes Page(s)
28 U.S.C. 1291 . . . . . . . . . . . . . . . . . . . . . 2
Title VII of the Civil Rights Act of 1964,
42 U.S.C. 2000e et seq. . . . . . . . . . . . . . . . . 1
42 U.S.C. 2000e-2(a)(1) and 2000e-3(a) . . . . . . 3
42 U.S.C. 2000e-5(k) . . . . . . . . . . . . . . . . . .32
42 U.S.C. 2003-5(f)(1) and (3) . . . . . . . . . . . . . 3
IN THE UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
Case No. 03-20292
consolidated with 03-20500
EQUAL EMPLOYMENT OPPORTUNITY COMMISSION,
Plaintiff-Appellant,
v.
DUNBAR DIAGNOSTIC SERVICES, INC.; VILLAGE ULTRASOUND
CLINIC, INC.,
Defendants-Appellees.
On Appeal from the United States District Court
for the Southern District of Texas
BRIEF OF THE EQUAL EMPLOYMENT OPPORTUNITY
COMMISSION AS APPELLANT
STATEMENT OF JURISDICTION
These are consolidated appeals from a final judgment on the merits and an order awarding
attorneys' fees entered in an action brought under Title VII of the Civil Rights Act
of 1964, 42 U.S.C. 2000e et seq. The district court had jurisdiction over this
action under 42 U.S.C. 2003-5(f)(1) and (3). On April 30, 2002, the district court
dismissed Village Ultrasound Clinic Inc., as a defendant. RE, Tab 2. The district
court granted judgment as a matter of law for Dunbar Diagnostic Services, Inc.
("DDSI") on January 10, 2003. RE, Tab 7 at 748. The Commission filed a timely
notice of appeal on March 10, 2003. RE, Tab 4. The district court awarded
attorneys' fees to DDSI on May 7, 2003. RE, Tab 8. The Commission filed a
timely notice of appeal from that order on May 9, 2003. RE, Tab 6. This court has
jurisdiction under 28 U.S.C. 1291.
STATEMENT OF THE ISSUES
1. Whether the district court erred in granting judgment as a matter of law to DDSI
on the Commission's claim that DDSI denied an employee health benefits because
she was pregnant.
2. Whether the district court erred in granting judgment as a matter of law to DDSI
on the Commission's claim that DDSI fired an employee in retaliation for filing a
charge of discrimination.
3. Whether the district court erred in awarding attorneys' fees to DDSI.
4. Whether this case should be reassigned to a different judge to ensure that the
Commission receives an impartial trial on remand.
5. Whether the district court erred in dismissing Village Ultrasound Clinic, Inc.,
from this action.
STATEMENT OF THE CASE
1. Nature of the Case and Course of Proceedings.
On February 13, 2002, the EEOC filed a complaint alleging that Dunbar Diagnostic
Services, Inc. ("DDSI") and Village Ultrasound Clinic, Inc., violated 703(a)(1)
and 704(a) of Title VII of the Civil Rights Act of 1964, 42 U.S.C. 2000e-2(a)(1)
and 2000e-3(a). RE, Tab 9 at 1. Specifically the complaint alleges that the
defendants denied Letitia Gonzalez health benefits because she was pregnant and
fired her because she filed a charge with the EEOC complaining of defendants'
conduct. Id.
The defendants filed their answer on February 25, 2002. R 5. On April 29, 2002, the district
court entered two orders, one stating, inter alia, that "[t]he parties agree that
Dunbar Diagnostic Services, Inc., is an employer and meets the statutory
requirements," (R 13) and the other stating "[o]n agreement of the parties, Village
Ultrasound Clinic, Inc., is dismissed as a defendant." RE, Tab 2. On August 23,
2002, DDSI moved for summary judgment, (R 24) and on September 6, 2002, the
EEOC moved for partial summary judgment. R 27. On October 16, 2002, the
district court granted in part and denied in part DDSI's motion for summary
judgment. R 35. The district court also denied in part the EEOC's motion for
summary judgment. Id.
A jury trial was held between January 7 and 10, 2003. At the end of the Commission's
presentation of evidence, the district court granted judgment as a matter of law
("JMOL") to DDSI. RE, Tab 3 & Tab 7 at 748. On January 27, 2003, DDSI
moved for attorneys' fees. R 79. On March 10, 2003, the EEOC filed a notice of
appeal. RE, Tab 4. On May 7, 2003, the court awarded DDSI attorneys' fees in
the amount of $114,572.50. RE, Tab 5. On May 9, 2003, the Commission filed a
notice of appeal from the award of attorneys' fees. RE, Tab 6. On May 27, 2003,
this Court consolidated the two appeals in this action.
2. Statement of the Facts.
Leticia Gonzalez (formerly Munoz) began working as a sonographer for DDSI, on January
10, 2000. RE, Tab 14 at p. 000004. Gonzalez was hired by Linda Dunbar, the
president and owner of DDSI and of Village Ultrasound Clinic, Inc. Tr., Vol. 2 at
260, 408-09. Gonzalez was pregnant when she was hired, and there was testimony
that by March or April, her pregnancy was apparent. Tr., Vol. 2 at 409. Jane
Gabriel, who left DDSI at the end of February, 2000, knew that Gonzalez was
pregnant because she observed Gonzalez when she was in the office. Tr., Vol. 1 at
165-66. Yvonne Jumawan testified that she noticed that Gonzalez was pregnant in
April, and Robert Real stated that Gonzalez was "showing" a "couple of months"
after she started work in January. Tr., Vol. 1 at 179 & Vol. 2 at 395-96. Melissa
Barrera, one of Gonzalez's coworkers, testified that, when she learned that
Gonzalez was pregnant, she informed Dunbar. RE, Tab 13 at 689. Kim Wilson,
who helped train and often supervised the sonographers, testified that, at Dunbar's
request, she met with Gonzalez on April 26, 2000, to discuss her pregnancy. RE,
Tab 11 at 386.
Under the terms of her employment agreement, Gonzalez was eligible for medical insurance
and other benefits after a 90-day probationary period, which would have ended on
April 10, 2000. RE, Tab 14 at 000005 3 ("[a]fter the initial 90 day probationary
period Employee is eligible for health insurance"); RE, Tab 11 at 291-92
(agreement with insurance company required DDSI to "offer [employees] the
group insurance benefits," unless they "had other options available and declined
coverage"). It is undisputed that Gonzalez never obtained health insurance
although she worked for DDSI for more than 90 days. Other employees routinely
obtained health insurance at the end of 90 days. Arlissa Jackson, a former
sonographer, stated that she was given insurance benefits three months after she
started. RE, Tab 10. Dunbar acknowledged that Jumawan and Michelle Barreto
got health insurance at the end of 90 days. RE, Tab 11 at 335.
Dunbar testified that she did not provide health insurance to Gonzalez because "[s]he didn't
ask." RE, Tab 11 at 291. However, Gonzalez testified that she asked Dunbar
about medical benefits "several times," but Dunbar never offered them to her. RE,
Tab 12 at 475. Wilson testified that Gonzalez told her two or three times that she
wanted insurance benefits. RE, Tab 11 at 365. Furthermore, Barrera testified that
it was "company policy" that employees were routinely offered benefits after 90
days, and that Dunbar offered her benefits after 90 days even though she had not
asked for them. RE, Tab 13 at 688-89.
Gonzalez's last day of work at DDSI was May 9, 2000. Gonzalez testified that, while she
was at lunch with Jackson and Barrera, she began to have "contractions" in her
abdomen, which she interpreted as symptoms of preterm labor. Tr., Vol. 2 at 417,
& Vol. 3 at 546. Gonzalez returned to the office and called the office of her
physician, Dr. Soto. Tr., Vol. 2 at 417. According to Gonzalez, she told Mimi
Resendez, the doctor's receptionist, that she was having "contractions" and "pain."
Gonzalez testified that, after putting her on hold, Resendez told Gonzalez that Dr.
Soto wanted her to come to his office. Tr., Vol. 3 at 546-47.
Gonzalez told Dunbar that she was having "a lot of pain," and needed to go to the doctor.
Tr., Vol. 2 at 419. Dunbar told her she could not go to the doctor and ordered her
to take a piece of equipment to another technician, Winnie Ogoe, at the
Woodlands, a nursing home. Id.; see also Tr., Vol.2 at 283 (Dunbar acknowledges
that, despite Gonzalez's complaints of pain, she ordered Gonzalez to assist Ogoe).
Gonzalez testified that she again called Dr. Soto's office and that someone faxed a form
from Dr. Soto's office addressed to DDSI on which was written, "Patient instructed
to go to Labor & Delivery now!!" Tr., Vol. 2 at 420-21; Vol. 3 at 548-49;
Plaintiff's Trial Exh. 42. Dr. Soto testified that the signature on the form is not his.
Tr., Vol. 3 at 577. Gonzalez showed the fax to Dunbar, but Dunbar continued to
insist that Gonzalez go to the Woodlands. Tr., Vol. 2 at 421-22; Vol. 3 at 552 &
Tr., Vol. 1 at 173. Gonzalez did not go to the Woodlands; instead, her father took
her to Memorial Hermann Hospital where Dr. Soto had privileges. Tr., Vol. 2 at
423, 426. After examining Gonzalez at the hospital, Dr. Soto wrote a note stating
that Gonzalez was "presenting preterm labor." Plaintiff's Trial Exh. 44. Dr. Soto
recommended bed rest "until further notice," and told Gonzalez to make an
appointment with him for the following Monday, May 15. Plaintiff's Trial Exh. 44
& 45; Tr., Vol. 3 at 585.
Dr. Soto's note was faxed to DDSI. Tr., Vol. 4 at 695. Barrera testified that she placed it
under Dunbar's office door on May 9, and that she and Dunbar discussed it the
next day. Id. at 695-96. After leaving the hospital on May 9, Gonzalez phoned
DDSI and spoke to Barrera and Jackson. Tr., Vol. 2 at 429. She told them that Dr.
Soto told her not to return to work. Id. Barrera testified that Dunbar had left her a
note instructing her to suspend Gonzalez for three days and that, during this phone
conversation, she told Gonzalez about the suspension. Tr., Vol. 4 at 694-95.
Dunbar, however, denies that she suspended Gonzalez. Tr., Vol. at 284.
On May 10, Gonzalez filed a charge with the EEOC alleging that DDSI discriminated
against her based on her pregnancy by denying her health insurance even though
she had completed her 90-day probationary period. RE, Tab 15. Gonzalez stated
that she was prepared to return to work on Monday, May 15, after her appointment
with Dr. Soto but Dr. Soto placed her on bed rest. RE, Tab 11 at 434 & Tab 12 at
588.
Dunbar wrote to Gonzalez on May 15, denying her "request for medical leave" and listing
several purported shortcomings in Gonzalez's performance. Defendant's Trial
Exh. 33. Dunbar stated in the letter that Gonzalez had refused a position she was
offered "in filing and medical records." Id. Dunbar again offered Gonzalez that
job and stated that, if she accepted it, her "probationary period would be extended
an additional 90 days." Id. In the letter Dunbar stated that if Gonzalez was not at
work by 8:00 a.m. on May 16, 2000, "we will consider you terminated." Id. This
letter was sent on May 15, by express courier. Plaintiff's Trial Exh. 55; Tr., Vol. 3
at 464-65. The courier records show, however, that the letter was not delivered
until 8:56 a.m., May 16, after the deadline for Gonzalez to return had passed. Id.
Gonzalez phoned Dunbar on May 16, and, according to Gonzalez, Dunbar stated that she
could not talk to her "because [Gonzalez] had contacted an attorney." RE, Tab 11
at 435 The same day, Dunbar wrote two letters to Gonzalez referring to their
phone conversation. RE, Tab 17 & Tab 19. In one letter, Dunbar wrote that she
understood that Gonzalez is "refusing the position offered and [is] calling an
attorney" and that Gonzalez's "insubordinate behavior consisting of screaming
constantly and threatening a lawsuit resulted in your resignation." RE, Tab 19. In
the other letter, Dunbar again mentioned that Gonzalez is calling an attorney and
stated, "I must assume that you have resigned." RE, Tab 17.
Also on May 16, 2000, Dunbar signed a "Mediation Election Form" which was enclosed
with the notice of Gonzalez's charge sent to DDSI by the EEOC. RE, Tab 16.
Although the form is dated May 16, 2000, Dunbar testified that she wrote the
wrong date on the form. Tr., Vol. 2 at 307-08. On May 17, Dr. Soto's office faxed
a document to Dunbar affirming the doctor's instructions that Gonzalez was to
remain on bed rest and was not to work until May 23, 2000. Plaintiff's Trial Exh.
57. On May 18, Gonzalez amended her charge to include an allegation that
Dunbar discharged her in retaliation for complaining about unlawful employment
practices. RE, Tab 18. Gonzalez never returned to work at DDSI. Dunbar
testified that she did not fire Gonzalez, but that Gonzalez "voluntarily resigned."
RE, Tab 11 at 288.
The Commission brought this action alleging that DDSI failed to offer Gonzalez health
insurance and other employment benefits because she was pregnant and then fired
Gonzalez in retaliation for filing a charge of discrimination. RE, Tab 9 at 1. The
Commission also named as a defendant Village Ultrasound, Inc. Id. The
Commission alleged that DDSI had the requisite number of employees to be an
employer under Title VII and, alternatively, that DDSI and Village Ultrasound are
an integrated enterprise so that employees of both companies should be aggregated
for purposes of Title VII coverage. Id. On April 30, 2002, the district court
dismissed Village Ultrasound as a defendant "on the agreement of the parties" (RE,
Tab 2) and issued an order stating that the parties agree that DDSI "meets the
statutory requirements" to be a Title VII employer. R 13. On October 16, 2002,
the district court denied DDSI's motion for summary judgment, stating that
"[t]here is a genuine issue of material fact whether Dunbar discriminated against
[Gonzalez] because she was pregnant." R 35. A jury trial began on January 7,
2003. At the end of the Commission's case, the court granted JMOL for DDSI.
RE, Tab 7 at 748.
During the trial, Judge Hughes repeatedly expressed the view that Gonzalez was not truthful.
For example, in response to a question by DDSI as to whether she was on
Medicaid in 1998, Gonzalez responded that her "oldest son" was. RE, Tab 12 at
478. DDSI's counsel asked the judge's permission to impeach Gonzalez by
introducing a document from her medical files showing that Gonzalez was on
Medicaid in 1998. RE, Tab 12 at 505-06. The Commission's counsel stated that
he had no objection to DDSI questioning Gonzalez about her Medicaid coverage.
RE, Tab 12 at 567. However, Judge Hughes remarked to Commission's counsel
that Gonzalez had been questioned about Medicaid and "ha[d] lied." Id. Judge
Hughes then instructed the jury that, contrary to Gonzalez's testimony that, as he
characterized it, "the only Medicaid coverage that she had had [sic] was because of
her child or for her child in 1999," Gonzalez had routine Medicaid coverage for her
"medical expenses" that had nothing "to do with any of her children." RE, Tab 12
at 675.
On other occasions during the trial, Judge Hughes stated: that "all of [Gonzalez's]
testimon[y]" about what she wanted, needed and did not have is "not true" (RE,
Tab 12 at 567); that he had "a problem with [Gonzalez] picking and choosing
answers" (RE, Tab 12 at 634); that Gonzalez was giving "different answers to
different people at different times" (RE, Tab 12 at 635); that Gonzalez's statement
on an employment application that she had left DDSI "to have a child," rather than
because she was "fired," was "actively dishonest" (RE, Tab 12 at 643-44); and that
the only evidence that Gonzalez had asked for benefits was her "bald assertion . . .
which is suspect." RE, Tab 12 at 631.
On several occasions, Judge Hughes expressed his view that Gonzalez was not credible in
front of the jury. For example, when DDSI's counsel asked Gonzalez whether she
understood that she was "expected to work 40 hours a week," she answered that
she was "a salaried employee." RE, Tab 12 at 627. Counsel asked Gonzalez if she
recalled her answer to that question at her deposition and she said, yes, that she
"was expected to work 40 hours a week." Id. When counsel asked her if her
deposition and trial testimony were different, Gonzalez said "no." Id. At that
point, Judge Hughes stated in front of the jury, "Yes. They're opposite." RE, Tab
12 at 627-28. EEOC's counsel argued that Gonzalez's testimony reflected what
Dunbar had told her that she was a salaried employee and was expected to work
40 hours per week. RE, Tab 12 at 629-30. Judge Hughes stated that "it doesn't
matter" what Dunbar told Gonzalez. RE, Tab 12 at 633. Rather, the judge insisted
that Gonzalez could not be a salaried employee under federal wage and hour laws
because she was paid "an hourly rate" and was expected to make up hours that she
did not work. RE, Tab 12 at 633-35.
After Gonzalez testified that she put "to have a child" on a job application as the reason for
leaving DDSI because the blank on the form was too small to give the full
explanation, Judge Hughes asked her in front of the jury whether the word
"terminated" is longer than "to have a child." RE, Tab 12 at 469 Similarly, when
Gonzalez testified that she made an "innocent mistake" in completing a post-
discharge application for employment, Judge Hughes asked her in the presence of
the jury whether she "often write[s] 8/99 for 1/00." RE, Tab 12 at 617. When
Gonzalez stated that she was in a hurry to complete the application, the judge
stated, "Excuse me. That excuses not doing it correctly?" Id.
The judge, outside the presence of the jury, referred to the May 9 fax as "faked" and stated
that by offering it as evidence, the Commission was "at the point of proffering
what is manifestly false evidence." RE, Tab 12 at 628-29. Judge Hughes accused
the Commission of taking the position that a complainant can "tell whatever story
she wants" regardless of whether it is consistent with what she has alleged in her
complaint. RE, Tab 12 at 644. Commission's counsel attempted to explain why
the Commission did not agree that Gonzalez had reversed "numerous answers." Id.
However, Judge Hughes cut off counsel, stating that he was not concerned about
"views and positions and contentions and assertions." Id. Judge Hughes then put
EEOC's counsel under oath and asked him whether or not it is inconsistent to say,
"I was only on Medicaid in 99 because of my little boy through him,' when in
fact, in the preceding five years she'd been on Medicaid routinely for herself
directly." RE, Tab 12 at 644-45. The judge also asked counsel to state under oath
whether "saying, I was fired'" is inconsistent with "saying I left to have a child,'"
and whether it is "inconsistent to say, I put "To have a child" in the blank because
"Terminated" wouldn't fit.'" RE, Tab 12 at 645
3. Opinions below.
. . . . . . . . . . . . . . . . . .a. Oral opinion granting JMOL.
The district court did not issue a written opinion. The court's oral explanation for the
decision to grant defendant's motion for JMOL is not entirely clear. However, it
appears that the court's primary reason for granting JMOL was that it concluded
that Gonzalez was untruthful. The district judge repeatedly characterized
Gonzalez's testimony as unbelievable. He stated, for example, that Gonzalez has
made "material representations" that are "contrary to assertions that she's made
under oath" at trial and in "operating documents." RE, Tab 7 at 749-50. The court
also stated that Gonzalez's testimony was inconsistent, not just on "collateral
matters," but on "core operating facts," and that she had "categorically
contradict[ed] herself . . . on direct facts." Id. The judge stated that Gonzalez has
testified to "inconsistent behaviors" and that there was an "absence of independent
evidence of many of her assertions." RE, Tab 7 at 750.
The court opined that a note Gonzalez made in DDSI's computer regarding the hours she
worked on March 31 could be considered either "insubordinate" or "smart aleck"
by a "reasonably disinterested, fully informed person." RE, Tab 7 at 750. The
court also stated that the criticisms of Gonzalez's conduct in Dunbar's letter of
May 15 regarding "insubordination, time and attendance, and technical
qualification, all have substantial evidence and independent corroboration." RE,
Tab 7 at 751. According to the court, certain "anti-pregnancy" comments made by
Dunbar "were not job-related," not made to Gonzalez, and "not current." Id. The
court also stated that "there is not a shred of evidence that Diagnostic's health
insurance would reasonably have been, believed to have been [sic], or have been
[sic], adjusted by reason of a pregnancy in the spring of 2000." Id. The court
stated that neither the insurance nor Dunbar's remarks "are connected to the
pregnancy in the least." RE, Tab 7 at 754.
The court stated that an employer might react with either "displeasure" or "hostility" "when
somebody refuses a chore and then several hours later insists they've
spontaneously got to go to the doctor." RE, Tab 7 at 753. The court stated that it
was "finding" that the "adverse job action" Gonzalez suffered "is not that she was
fired, but [that] she had problems at work," for which she was suspended for three
days. Id. According to the court, there was an "altercation" on May 9, and Dunbar
later wrote Gonzalez a letter about her behavior and "accumulated performance
problems." RE, Tab 7 at 754. The court concluded, in response to the
Commission's argument that there is a lack of "evaluations and write-ups," that
documentation, while it may be a "good business practice," is not a "requirement
of federal law." RE, Tab 7 at 755. The court stated that "the plaintiff's evidence
about discipline was only that other people were disciplined more severely than
[Gonzalez] was up until the end." RE, Tab 7 at 755-56. According to the court,
"that's not evidence of systematic pregnancy prejudicial infliction of discipline
[sic] . . . but it's idiosyncratic and worked to the plaintiff's benefit." RE, Tab 7 at
756.
. . . . . . . . b. Oral opinion awarding attorneys' fees to DDSI.
The district court awarded DDSI $114,572.50 in attorneys' fees. Once again the court did
not issue a written decision. In its oral ruling, the court, in explaining why its
denial of DDSI's motion for summary judgment was not inconsistent with its
ruling that the claims in this case were frivolous, stated that the denial of the
motion was not "a frivolous activity by [DDSI's] counsel, but had a joint
responsibility and the EEOC's offering of known misinformation and the Court's
intellectual limit." RE, Tab 8 at 19. The court stated that, while it did not know
what the Commission knew or reasonably should have known when it brought this
action, the "case was tried after the [Commission] knew [Gonzalez] had testified in
ways that categorically contradicted the legal basis for the claim." Id. The court
stated that the Commission "persisted in proffering testimony that was
categorically, factually, specific in contradiction to earlier testimony and earlier
documents by the complainant." Id.
The court stated that the "Commission's witness said A' and not A' under oath, and
compelling circumstances for veracity." RE, Tab 8 at 20. According to the court,
the Commission persisted with this suit "after a reasonably early opportunity to
discover what actually happened and to some extent the Commission's failure to
collaborate [sic] the claims by the complainant, all made this case extend long
beyond when it should have." Id. The court stated that the Commission could
have "investigated the claim competently and [could] have discovered the
contradictory documentary evidence ranging from medical records to employment
applications of its principal witness," and that, in any event, even if the suit was not
frivolous when initiated, "its continuation after the first 20 percent was manifestly
without merit." Id. The court stated that "[t]he finding is the case should not have
been brought had it been properly prepared under the obligations of the rules." Id.
The court made a "contingent finding" that "80 percent of . . . the cost after the litigation was
initiated was incurred in the defense of a case at which point the Commission could
not reasonably have believed it had in good faith in the public interest, a case
arising under the laws of the United States over which it had jurisdiction." RE,
Tab 8 at 20-21. According to the court, "the Commission's prosecution of this
case was wholly misguided," and "a reasonable, prudent, public entity responsible
[sic] investigation would not have produced the lawsuit." RE, Tab 8 at 23. The
court stated that when a "government agency . . . is gross[ly] inept, it's the
functional equivalent of malice." Id. Lastly, the court stated that the
Commission's continuing to litigate "after [DDSI] brought to its attention the
defects it should have discovered on its own, clearly is bureaucratic thuggery." Id.
SUMMARY OF ARGUMENT
The district court erred in granting JMOL to DDSI because the evidence in the record was
sufficient to support a finding that DDSI denied Gonzalez health insurance because
she was pregnant and fired her because she filed a charge complaining about the
denial of benefits. It is undisputed that, although DDSI's employees are eligible
for health insurance and other benefits at the end of 90 days, DDSI never offered
Gonzalez such benefits at any time despite the fact that Gonzalez worked for DDSI
for more than 90 days. Moreover, there is evidence that Dunbar knew of
Gonzalez's pregnancy at the time she became eligible for benefits. Dunbar's only
explanation for not offering Gonzalez benefits was that she did not ask for them. A
reasonable jury could find that this was not DDSI's real reason for not offering
benefits to Gonzalez, first, because Gonzalez testified that she did ask for benefits
at the end of 90 days and, second, because there was ample uncontradicted
evidence that DDSI routinely provided benefits to employees at the end of 90 days
even without a request from the employee.
There is also sufficient evidence to support a finding that DDSI fired Gonzalez because she
filed a charge with the EEOC. Dunbar sent a letter firing Gonzalez on the same
day that she signed a form from the EEOC accompanying the notice of Gonzalez's
charge of pregnancy discrimination. Moreover, Dunbar's letter alludes to the fact
that Gonzalez was threatening a lawsuit in explaining why her employment at
DDSI was at an end.
In its oral opinion granting JMOL, the district court failed to assess the adequacy of the
evidence to support the EEOC's claims. Instead, the court appeared to base its
decision entirely on the court's view that Gonzalez was not believable. In so
doing, the court erred because the jury has the exclusive authority to assess
Gonzalez's credibility, even assuming that some of her testimony was
contradictory. Moreover, Gonzalez's trial testimony was not inconsistent with her
deposition testimony on any matter relevant to the claims in this case. Rather, the
contradictions pointed out by the court were either not clear inconsistencies or
were not relevant to the claims of discrimination. Even putting aside Gonzalez's
testimony, there is sufficient evidence to support a finding for the Commission on
both of the claims in this case. Accordingly, the district court should have allowed
this case to go to the jury.
If this Court reverses the district court's order granting JMOL, the award of attorneys' fees
also must be reversed because DDSI will no longer be a prevailing party.
However, even if DDSI were the prevailing party, it would not be entitled to
attorneys' fees for several reasons. First, the district court's decision to deny
summary judgment to DDSI on the claims in this action cannot be reconciled with
a finding that the same claims were frivolous or litigated in bad faith. Insofar as
the district court appears to base its fee award on its view of Gonzalez's credibility,
it once again usurps the jury's authority to determine the credibility of a witness.
Moreover, because the Commission's claims are supported by evidence other than
Gonzalez's testimony, those claims are not frivolous, even if some of Gonzalez's
statements at trial were not true. Finally, even if some of Gonzalez's statements at
trial were not true, there is no evidence that the Commission knew that she would
testify falsely when called as a witness.
Because Judge Hughes failed to remain impartial during the trial, this Court should reassign
this case to a different judge on remand. The judge became so convinced that
Gonzalez was lying that he repeatedly contravened proper trial procedures, most
noticeably by usurping the jury's function in deciding Gonzalez's credibility.
Judge Hughes repeatedly stated that statements by Gonzalez were not true, refused
to hear arguments to the contrary, and was unwilling to permit the jury to make its
own decision regarding alleged inconsistencies in Gonzalez's testimony.
Reassignment is appropriate because, given the strength of the judge's view that
Gonzalez was lying, he cannot reasonably be expected to divest himself of that
view on remand. In any event, reassignment would be appropriate because a
reasonably objective observer could question whether a party could receive a fair
trial on remand where the judge has stated that the party's primary witness is a liar
and is closed to any argument that she is not. Moreover, Judge Hughes showed
general skepticism toward the Commission's case, unreasonably criticized
Commission's counsel, and, in awarding attorneys' fees, stated that the
Commission's continuing with this case was "bureaucratic thuggery." It is not
likely that the judge, having expressed such strong views regarding the
Commission's case, will be able to ignore his prior opinions or remove any
concerns that the Commission would be treated impartially on remand.
ARGUMENT
I. THE DISTRICT COURT ERRED IN GRANTING JMOL TO DDSI BECAUSE THE EVIDENCE IS SUFFICIENT TO
SUPPORT A VERDICT FOR THE COMMISSION ON ITS CLAIMS OF PREGNANCY DISCRIMINATION AND
RETALIATION.
After the Commission had presented its evidence at trial, the district court entered JMOL for
DDSI on both of the claims presented by the Commission. A district court should
grant JMOL to a defendant only if, "view[ing] all the evidence in the light and
with all reasonable inferences most favorable to the party opposed to the motion,'"
the evidence is insufficient to support a verdict for the plaintiff. Delano-Pyle v.
Victoria County, 302 F.3d 567, 572 (5th Cir. 2002) (quoting Resolution Trust
Corp. v. Cramer, 6 F.3d 1102, 1109 (5th Cir.1993)). As we demonstrate below,
there is ample evidence to support a finding that DDSI denied Gonzalez health
insurance because she was pregnant and then fired her in retaliation for filing a
charge with the Commission. In granting JMOL, the district court failed to
conduct any review of the evidence on the Commission's claims. Instead the court
based its decision on its view of Gonzalez's credibility. This was wrong for two
reasons: first, it is the function of the jury, not the district court, to assess the
credibility of witnesses (Delano-Pyle, 302 F.3d at 572); and, second, Gonzalez's
testimony is not essential to either of the Commission's claims. Accordingly, the
decision to grant JMOL should be reversed.
A. There Is Sufficient Evidence to Support a Finding That DDSI Denied Health Insurance to Gonzalez
Because She Was Pregnant.
It is undisputed that DDSI employees are eligible for health insurance and other benefits at
the end of 90 days of employment. RE, Tab 14; Tab 11 at 292 & Tab 13 at 688-89
It is also undisputed that DDSI did not offer Gonzalez health insurance or other
benefits at any time although she had worked for DDSI for 90 days as of April 10,
2000. RE, Tab 11 at 291. Furthermore, there is evidence that would support a
finding that Dunbar knew that Gonzalez was pregnant around the time that she
became eligible for benefits. As discussed supra at 4-5, there is no question that
Dunbar saw Gonzalez frequently and there was testimony that by March
Gonzalez's pregnancy, which was then six months along, was apparent.
Furthermore, Barrera testified that she told Dunbar that Gonzalez was pregnant
(RE, Tab 13 at 689), and Wilson testified that Dunbar asked her to speak with
Gonzalez about her pregnancy in April. RE, Tab 11 at 386. This evidence is
sufficient for a jury to find that, because Gonzalez was pregnant, Dunbar failed to
offer her health benefits after Gonzalez was employed for 90 days.
The only explanation DDSI offered for its failure to offer benefits to Gonzalez was Dunbar's
testimony that Gonzalez did not ask for them. RE, Tab 11 at 291. However, there
is ample evidence in the record that would support a finding that this explanation
was not the true reason for DDSI's failure to provide insurance to Gonzalez. First,
there was evidence that Gonzalez did, in fact, ask for benefits. Gonzalez testified
that she asked Dunbar about getting medical benefits shortly before the end of her
90-day probation and several times thereafter. RE, Tab 12 at 475. This evidence is
corroborated by Wilson's testimony that Gonzalez told her several times that she
wanted benefits. RE, Tab 11 at 365. Based on this evidence, a reasonable jury
could find that Dunbar's testimony that Gonzalez did not ask for benefits was false,
and could infer from that that the real reason for Dunbar's failure to offer Gonzalez
benefits was unlawful discrimination. Reeves v. Sanderson Plumbing Prod., Inc.,
530 U.S. 133, 147 (2000) (a jury may "infer the ultimate fact of discrimination
from the falsity of the employer's explanation" particularly where accompanied by
evidence of "mendacity").
However, even if the jury was not convinced that Gonzalez had asked for benefits, it could
still find that DDSI's explanation for denying her benefits was not true, because
there is substantial evidence that employees were routinely provided benefits after
90 days even if they did not request them. There was testimony from witnesses
other than Gonzalez, uncontradicted by DDSI, that the company provided benefits
after 90 days without a request from the employee. See supra at 5-6. A reasonable
jury could infer from this evidence that DDSI's assertion that Gonzalez did not get
benefits because she did not ask for them is unworthy of belief even if it is not
convinced that Gonzalez asked for benefits. Raggs v. Mississippi Power & Light
Co. 278 F.3d 463, 467 (5th Cir. 2002) ("A jury is free to choose among reasonable
constructions of the evidence") (quoting U.S. v. Bell, 678 F.2d 547, 549 (5th Cir.
Unit B 1982) (en banc)).
. . . . . . . B. There Is
Sufficient
Evidence to
Support a
Finding That
DDSI Fired
Gonzalez
Because She
Filed a Charge
of
Discrimination
With the
EEOC.
There is no question that, on May 10, 2000, Gonzalez filed a charge of discrimination
alleging that DDSI had discriminated against her by refusing to offer her health
benefits due to her pregnancy. RE, Tab 15. In her May 15 letter, Dunbar indicated
that Gonzalez still had a job at DDSI "in filing and medical records." Defendant's
Trial Exh. 52. On May 16, however, Dunbar sent Gonzalez two letters indicating
that Gonzalez's employment at DDSI was over. In those letters, Dunbar stated
that, because Gonzalez was "calling an attorney" and had "threaten[ed] a lawsuit,"
Dunbar was treating Gonzalez as if she had resigned. RE, Tab 17 & 19.
Furthermore, there is evidence that, by May 16, Dunbar knew that Gonzalez had
filed her pregnancy discrimination charge. The record contains an EEOC
mediation election form signed by Dunbar and dated May 16, 2000. RE, Tab 16.
A jury reasonably could find, based on the fact that Dunbar sent the letter
terminating Gonzalez on the very day she received notice that Gonzalez had filed a
charge, that Dunbar did so in retaliation for filing a charge of discrimination.
Shackelford v. Deloitte & Touche, LLP, 190 F.3d 398 (5th Cir. 1999) (fact issue
remained as to plaintiff's Title VII retaliation claim where defendant fired plaintiff
on the very day plaintiff was overheard talking to counsel for plaintiffs in class
action against defendant); Evans v. City of Houston, 246 F.3d 344, 354 (5th Cir.
2001) ("Close timing between an employee's protected activity and an adverse
action against [her] may provide the 'causal connection' required to make out a
prima facie case of retaliation.") (emphasis omitted).
Dunbar testified that she did not fire Gonzalez, but that Gonzalez "voluntarily resigned."
RE, Tab 11 at 288. However, there is no evidence that Gonzalez resigned.
Gonzalez testified that she was prepared to return to work on May 15, after her
doctors appointment, but that she could not because Dr. Soto had placed her on bed
rest. RE, Tab 11 at 434 & Tab 12 at 588. Moreover, Gonzalez had Dr. Soto's
instructions placing her on bed rest faxed to DDSI on May 17. A jury could
reasonably infer that Gonzalez would not have done so if she meant to resign.
Based on all of the evidence, a reasonable jury could find that, upon learning that
Gonzalez had filed a charge, Dunbar fired Gonzalez, but characterized the
termination as a resignation.
C. The District Court Erred in Awarding JMOL Based on Its View of Gonzalez's Credibility.
In its oral explanation of the decision to grant JMOL to DDSI, the district court did not
conduct a review of the evidence to determine whether, taken as a whole with all
reasonable inferences drawn in favor of the Commission, it was sufficient to
support a finding for the Commission, as it was required to do. Delano-Pyle, 302
F.3d at 572. Instead the court appeared to base its decision entirely on its opinion
that Gonzalez's testimony was not credible. The court stated that the Commission
could not prevail because Gonzalez gave contradictory testimony on "collateral
matters" as well as "core operating facts," and "categorically contradicted herself
. . . on direct facts." RE, Tab 7 at 749-50.
In basing its decision on its perception that Gonzalez was untruthful, the court violated the
fundamental principle that, in ruling on a motion for JMOL, a court is prohibited
from "assess[ing] the credibility of witnesses." U.S. v. Deville, 278 F.3d 500, 506
(5th Cir. 2002). Whether or not a witness's testimony is truthful is "the purest of
jury issues." Dotson v. Clark Equip. Co., 783 F.2d 586, 588 (5th Cir. 1986); Brady
v. Fort Bend County, 145 F.3d 691, 714 (5th Cir. 1998) ("jury has exclusive
authority to assess credibility of witnesses"). Even where a witness's
"contradictory testimony" might "provoke judicial indignation, case law precedent
and constitutional precepts forbid judicial interference with the jury's duty to
resolve credibility issues." U.S. v. Dotson, 615 F.2d 329, 332 (5th Cir. 1980).
Consequently, even if the court had a basis for believing that Gonzalez gave
contradictory evidence on matters critical to the claims in this case, the court erred
in granting JMOL on this basis. See Boyle v. Pool Offshore Co., 893 F.2d 713,
717 (5th Cir 1990) ("[c]redibility is a question for the jury," therefore a court
cannot "dismiss [plaintiff's] testimony simply because it was impeached to some
extent").
In any event, Gonzalez's testimony at trial did not conflict with her deposition testimony on
any matter relevant to the claims in this case. The conflicts identified by the
district court either were not clear contradictions or were on tangential matters that
were not relevant to either of the claims before the court. For instance, the court
made much of Gonzalez's response to DDSI's question whether she was on
Medicaid in 1998. RE, Tab 7 at 478. The district court stated that Gonzalez "lied"
when she responded that her oldest son was without affirmatively stating that she
was also on Medicaid. RE, Tab 12 at 567. However, even assuming that
Gonzalez's response is inaccurate, it simply is not relevant to either of the claims
in this case that challenge employment decisions made in the spring of the year
2000. Similarly, the court's belief that Gonzalez was dishonest in filling out an
employment application after she left DDSI has no apparent connection to the
issues in this case. In fact, none of the inconsistencies alluded to by the district
court undermine the evidence supporting Gonzalez's claim that DDSI
discriminated against her on the basis of pregnancy and discharged her when she
filed a charge of discrimination. At best, the purported inaccuracies in Gonzalez's
testimony go to her general credibility. But, as discussed previously, it is for the
jury, not the district court, to make credibility determinations at trial.
Further, even disregarding Gonzalez's testimony altogether, there is sufficient evidence to
permit a reasonable jury to find that Dunbar discriminated against Gonzalez on the
basis of pregnancy and in retaliation for filing a charge. Dunbar claimed that she
did not offer Gonzalez benefits because she did not ask for them. However, the
evidence showed that Jackson, Jumawan and Barreto all were given health benefits
at the end of 90 days. Moreover, Barrera, testified that it was "company policy"
that employees were offered benefits after 90 days, and that she received benefits
after 90 days without being required to ask. RE, Tab 13 at 688-89. Accordingly,
without considering any of Gonzalez's testimony, a reasonable jury could find that
Dunbar's explanation for not offering Gonzalez health benefits was not true.
Likewise, a jury could conclude from the statements in Dunbar's letters alone that
she discharged Gonzalez on May 16 after she became aware that Gonzalez had
filed a charge of discrimination with the Commission.
None of the other matters alluded to in the court's opinion support its decision to grant
JMOL to DDSI. The court stated that an entry Gonzalez made in DDSI's
computerized time and attendance program reasonably could be considered as
"insubordinate" and that an employer might react with hostility when an employee
"refuses a chore" and insists hours later that she has to go to the doctor. RE, Tab 7
at 750. While the court did not explain these conclusions, they suggest that the
court believed that DDSI had a nondiscriminatory basis for firing Gonzalez.
However, Dunbar never claimed that she fired Gonzalez because she was
insubordinate or refused Dunbar's order to assist another technician. In fact,
Dunbar testified that she did not fire Gonzalez at all, but that Gonzalez voluntarily
resigned. RE, Tab 11 at 288. Consequently, Gonzalez's purported
insubordination and refusal to perform a chore do not constitute a legitimate,
nondiscriminatory reason for her discharge because they do not explain that
decision. St. Mary's Honor Center v. Hicks, 509 U.S. 502, 507 (1993) (a defendant
must "clearly set forth . . . reasons for its actions which, if believed by the trier of
fact, would support a finding that unlawful discrimination was not the cause of the
employment action").
Accordingly, when the evidence is viewed under the proper standard, it is clear that the
Commission's claims against DDSI should have been decided by the jury, not by
the district court.
II. THE DISTRICT COURT'S DECISION TO AWARD ATTORNEYS' FEES TO DDSI WAS AN ABUSE OF DISCRETION.
If this Court agrees that the district court erred in granting JMOL, then the court's order
awarding attorneys' fees to the defendant must be vacated because the defendant
would no longer be the prevailing party. See 42 U.S.C. 2000e-5(k) (authorizing
award of attorneys' fees to the "prevailing party" in a Title VII action); EEOC v.
R.J. Gallagher Co., 181 F.3d 645, 657 n. 6 (5th Cir. 1999) (court "must vacate the
district court's fee award" because it reversed summary judgment for defendant).
Even if DDSI were the prevailing party, however, it would not be entitled to an
award of attorneys' fees. A prevailing defendant in a Title VII action is entitled to
attorneys' fees only where the plaintiff's complaint was "frivolous, unreasonable,
or groundless, or . . . the plaintiff continued to litigate after it clearly became so."
Christiansburg Garment Co. v. EEOC, 434 U.S. 412, 422 (1978). See also EEOC
v. Olson's Dairy Queens, 989 F.2d 165, 169 (5th Cir. 1993). The district court
abused its discretion in holding that this action met the Christiansburg standard.
See Medina v. Ramsey Steel Co., 238 F.3d 674, 686 (5th Cir. 2001) (award of
attorneys' fees is reviewed for abuse of discretion).
The clearest indication that this action was not frivolous is the district court's decision to
deny DDSI's motion for summary judgment. As this Court has recognized, "it
cannot be said" that claims which survived summary judgment "were frivolous or
. . . litigated in bad faith." Medina, 238 F.3d at 686. The district court, in seeking
to explain how it could deem frivolous claims that it had upheld on summary
judgment, stated that its earlier decision to deny summary judgment was based in
part on "the EEOC's offering of known misinformation" by "persist[ing] in
proffering testimony" from Gonzalez that contradicted her earlier testimony. RE,
Tab 8 at 19. Insofar as this statement indicates that the court's award of fees is
based on the court's view that Gonzalez's testimony was untruthful, it suffers from
the same infirmities as the decision awarding JMOL. The district court was not
entitled to make a finding as to credibility in this jury case, and, without a proper
finding that Gonzalez's testimony was not credible, it was error for the court to
make an award of attorneys' fees on that basis. Cf. Little v. Southern Elec. Steel
Co. 595 F.2d 998, 1005 (5th Cir. 1979) (where district court, as fact finder, did not
make an explicit finding that plaintiff's testimony was false, no award of attorneys'
fees could be based on that ground). Furthermore, because the testimony cited by
the district court was not necessary to the Commission's claims, even if the
testimony were false, that would not support a finding that the Commission's
claims were frivolous. Finally, even if some of Gonzalez's statements at trial were
not true, there is absolutely no basis for the court's implication that the
Commission knew that she would make false statements when it proffered her as a
witness.
III.THIS CASE SHOULD BE ASSIGNED TO A DIFFERENT JUDGE ON
REMAND BECAUSE AN OBJECTIVE OBSERVER WOULD HAVE CAUSE
TO QUESTION JUDGE HUGHES'S IMPARTIALITY BASED ON HIS
CONDUCT AT THE TRIAL.
A judge has an obligation to remain impartial during a trial. Potashnick v. Port City Const.
Co. 609 F.2d 1101, 1111 (5th Cir. 1980) ("the protection of the integrity and dignity
of the judicial process from any hint or appearance of bias is the palladium of our
judicial system") quoting U.S v. Columbia Broadcasting Sys., Inc., 497 F.2d 107,
109 (5th Cir. 1974). Where a judge's impartiality is at issue, a court of appeals has
the authority to reassign a case to a different judge on remand. Johnson v. Sawyer,
120 F.3d 1307, 1333 (5th Cir. 1997). This Court should exercise that authority in
this case.
In deciding whether to reassign a case, this Court considers: (1) whether the original judge
would "reasonably be expected" upon remand to have "substantial difficulty" in
putting out of his mind "previously-expressed views or findings determined to be
erroneous;" (2) whether reassignment would "preserve the appearance of justice;"
(3) whether "an objective observer" might have reasonable cause to "question the
judge's impartiality;" and (4) whether "reassignment would entail waste and
duplication out of proportion to any gain in preserving the appearance of fairness."
See In Re: Daimler Chrysler Corp., 294 F.3d 697, 700-01 (5th Cir. 2002) and
Johnson, 120 F.3d at 1333. All of these factors militate in favor of reassignment in
this case.
It is apparent from his statements and conduct during the trial of this matter that Judge
Hughes has made up his mind that Gonzalez is not a credible witness. This
conviction is so strong that it led Judge Hughes to deviate from appropriate trial
procedures on a number of occasions, most notably, as we have explained, by
improperly usurping the jury's role in making a determination regarding
Gonzalez's credibility. Judge Hughes's firm conviction that Gonzalez is untruthful
manifested itself in numerous other statements and rulings during the trial.
At the trial, Judge Hughes completely abandoned any pretense of impartiality on the
question of Gonzalez's credibility. He repeatedly stated, both in front of the jury
and outside the jury's presence, that various statements by Gonzalez were false.
For example, when DDSI indicated that it wished to impeach Gonzalez's trial
testimony regarding Medicaid coverage in 1998, Judge Hughes preempted the
issue by stating that Gonzalez had already "lied" about the matter and then
instructing the jury that her testimony was "false." RE, Tab 12 at 567, 675. The
proper procedure would have been for Judge Hughes to permit DDSI to question
Gonzalez about this apparent inconsistency and to give the Commission an
opportunity to allow her to explain her answer on redirect. See Boyle v. Pool
Offshore Co., 893 F.2d 713, 716 (5th Cir 1990) (noting that jury was "fully
apprized" of apparent inconsistencies in plaintiff's witness's testimony because
witness was "thoroughly questioned" by defendant's counsel and plaintiff had
opportunity to "de-fuse the effect of his apparently inconsistent statements").
However, Judge Hughes was so convinced that Gonzalez was incredible that he
would not allow the jury to hear her explanation.
Although it is well established that "a judge should not ask questions which indicate his
belief or disbelief of witnesses," U.S. v. Davis 285 F.3d 378, 382 (5th Cir. 2002),
Judge Hughes, on at least two occasions questioned Gonzalez in front of the jury in
a manner which clearly indicated that he did not believe her. For instance, the
judge ridiculed Gonzalez when she explained that she misdated the application
because she was in a hurry, stating, "Excuse me. That excuses not doing it
correctly?" RE, Tab 12 at 617 When Gonzalez denied that her answer at trial
regarding whether she was a salaried employee was different from her answer at
her deposition, Judge Hughes stated that, in fact, her answers were "opposite." RE,
Tab 12 at 627-28.
Moreover on several occasions Judge Hughes indicated that his mind was so set on
Gonzalez's credibility that he was not open to arguments that particular assertions
by Gonzalez were not inconsistent with her previous testimony. For example,
when EEOC's counsel pointed out that Gonzalez's testimony that she was a
salaried employee reflected what Dunbar had told her -- that she was a salaried
employee and was expected to work 40 hours per week. (RE, Tab 12 at 629-30
(see Plaintiff's Trial Exh. 35 and Tr., Vol. 2 at 266), Judge Hughes stated that "it
doesn't matter" what Dunbar told Gonzalez. RE, Tab 12, at 633. On another
occasion when EEOC's counsel attempted to explain why it did not agree that
Gonzalez's testimony was contradictory, Judge Hughes interrupted, stating that he
was not concerned about the Commission's "assertions." Rather than permit
EEOC's counsel to make his arguments, Judge Hughes took the highly improper
step of placing counsel under oath and requiring him to state whether or not a
number of Gonzalez's answers were inconsistent. In effect, Judge Hughes
improperly compelled Commission's counsel to abandon his role as advocate and
to become a witness against Gonzalez. RE, Tab 12 at 644-45.
Because Judge Hughes has expressed such a strong view that Gonzalez was lying, it cannot
"reasonably be expected" that he will be able to divest himself of that view on
remand. In re Daimler Chrysler Corp., 294 F.3d at 700-01; Johnson, 120 F.3d at
1333. In any event, reassignment would be appropriate to "preserve the
appearance of justice" or because "an objective observer" could reasonably
"question the judge's impartiality." Id. It would appear unlikely to an objective
observer that a party would receive an impartial hearing on remand before a judge
who has not only stated that the party's main witness is untruthful, but has
indicated that he is closed to any argument to the contrary.
Judge Hughes also expressed general skepticism about the Commission's case and was
unreasonably critical of Commission's counsel. For example, the judge called the
May 9 fax "faked" and accused the Commission of taking the position that a
complainant can "tell whatever story she wants" regardless of whether it is
consistent with what she has alleged in her complaint. Additionally, at the hearing
on attorneys' fees, Judge Hughes called the Commission's pressing of this action
"bureaucratic thuggery." It is unlikely that Judge Hughes, having expressed such a
belief regarding the Commission's case, "will be able to ignore the opinion he
previously embraced or to erase any apprehensions that the [Commission] would
not be treated fairly on remand." Simon v. City of Clute, Tex. 825 F.2d 940, 944
(5th Cir. 1987) (court of appeals ordered case reassigned on remand). Because of
Judge Hughes' complete failure to maintain even an appearance of impartiality,
reassignment is necessary to preserve the impression of an unbiased, fair judiciary.
Mitchell v. Maynard, 80 F.3d 1433, 1450 (10th Cir. 1996). Reassignment to
another judge would not result in "waste and duplication" of effort "because,
inasmuch as JMOL was incorrectly granted, this case must be retried in any event."
Id.
CONCLUSION
For the foregoing reasons, the district court's order granting judgment as a matter of law,
awarding attorneys' fees, and dismissing Village Ultrasound Clinic, Inc., should be
reversed and this case should be reassigned to a different judge on remand.
Respectfully
submitted,
JAMES L. LEE
Deputy General Counsel
CAROLYN L. WHEELER
Acting Associate General
Counsel
VINCENT J.
BLACKWOO D
Assistant General
Counsel
John F. Suhre
Attorney
EQUAL EMPLOYMENT
OPPORTUNITY COMMISSION
1801 L Street
N.W., Room 7040
Washington, D.C. 20507
(202) 663-4716
Certificate of Compliance with Rule 32(a)
1. This brief complies with the type-volume limitation of Fed. R. App. P.
32(a)(7)(B) because this brief contains 9203 words, excluding the parts of the brief
exempted by Fed. R. App. P. 32(a)(7)(B)(iii)
2. This brief complies with the typeface requirements of Fed. R. App. P. 32(a)(5)
and the type style requirements of Fed. R. App. P. 32(a)(6) because this brief has
been prepared in a proportionally spaced typeface using Wordperfect 9 in size 14
Times New Roman.
Attorney for Equal Employment Opportunity Commission, Plaintiff-Appellant
Dated: CERTIFICATE OF SERVICE
I hereby certify that two paper copies and one electronic copy of the
foregoing brief were mailed, first class, postage prepaid, on this the 8th day of
August, 2003, to the following counsel of record:
Stewart Edmond Hoffer, Esq.
Schmidt & Hoffer
1111 Bagby, Suite 2200
Houston, Texas 77002-2553
John F. Suhre
Attorney
EQUAL EMPLOYMENT
OPPORTUNITY COMMISSION
1801 L Street
N.W., Room 7040
Washington, D.C. 20507
(202) 663-4716
|
en
|
all-txt-docs
|
002958
|
USGS Digital Spectral Library splib05a
Clark et. al. 2003
ASCII Spectral Data file contents:
line 13 title
line 14 history
line 15 to end: 3-columns of data:
wavelength reflectance standard deviation
(standard deviation of 0.000000 means not measured)
(*************** indicates a deleted number)
----------------------------------------------------
Polyhalite NMNH92669-4 W1R1Ba AREF
copy of splib04a r 3935
0.205100*************** 0.005258
0.213100 0.403099 0.001323
0.221100 0.413610 0.001052
0.229100 0.420036 0.000937
0.236100 0.420249 0.000875
0.242100 0.422020 0.000802
0.248100 0.423605 0.000618
0.253600 0.426280 0.000502
0.258600 0.428626 0.000703
0.263600 0.430243 0.000745
0.268600 0.433287 0.000742
0.273100 0.436502 0.000764
0.277100 0.440391 0.000682
0.281100 0.441757 0.000643
0.285100 0.442329 0.000641
0.289100 0.443542 0.000539
0.293100 0.444082 0.000574
0.297100 0.445087 0.000520
0.301100 0.443913 0.000643
0.305100 0.444466 0.000636
0.309100 0.444397 0.000623
0.313100 0.446287 0.000557
0.317100 0.447536 0.000466
0.321100 0.448847 0.000879
0.325100 0.450844 0.000652
0.329100 0.451208 0.000622
0.333100 0.452815 0.000503
0.337100 0.453836 0.000539
0.341100 0.454094 0.000476
0.345100 0.454757 0.000485
0.349100 0.452622 0.000622
0.353100 0.454193 0.000515
0.357100 0.454516 0.000546
0.360600 0.455056 0.000564
0.363600 0.454177 0.000573
0.366600 0.454533 0.000510
0.369600 0.454648 0.000631
0.372600 0.455453 0.000525
0.375600 0.454947 0.000550
0.378600 0.455638 0.000570
0.381100 0.455960 0.000611
0.383100 0.456551 0.000761
0.385100 0.457416 0.000632
0.387100 0.458246 0.000776
0.389100 0.460124 0.000581
0.391100 0.460924 0.000590
0.393100 0.461847 0.000579
0.395100 0.463393 0.000612
0.397100 0.463740 0.000783
0.399100 0.465801 0.000711
0.401100 0.466615 0.000607
0.403100 0.468067 0.000590
0.405100 0.469578 0.000532
0.407100 0.470458 0.000538
0.409100 0.471558 0.000520
0.411100 0.473896 0.000702
0.412800 0.473860 0.000662
0.415800 0.475148 0.000556
0.418800 0.477378 0.000632
0.421800 0.478499 0.000669
0.424800 0.481967 0.000583
0.427800 0.483535 0.000620
0.430800 0.485735 0.000562
0.433800 0.487957 0.000665
0.436800 0.491417 0.000624
0.439800 0.493566 0.000605
0.442800 0.496349 0.000544
0.445800 0.499306 0.000990
0.448800 0.502421 0.000672
0.451300 0.504912 0.000760
0.453300 0.507390 0.000730
0.455300 0.509402 0.000771
0.457300 0.509686 0.000989
0.459300 0.511987 0.000738
0.461300 0.513217 0.000670
0.463300 0.515195 0.000750
0.465300 0.515522 0.000782
0.467300 0.517966 0.000718
0.469300 0.519415 0.000837
0.471300 0.520636 0.000733
0.473300 0.521821 0.000817
0.475300 0.523868 0.000780
0.477300 0.524648 0.000729
0.479300 0.526649 0.000740
0.481300 0.527686 0.000773
0.483300 0.528665 0.000931
0.485300 0.530340 0.000729
0.487300 0.532213 0.000692
0.489300 0.533430 0.000624
0.491300 0.534968 0.000704
0.493300 0.536295 0.000914
0.495300 0.537995 0.000901
0.497300 0.539297 0.000976
0.499300 0.542121 0.000683
0.501300 0.543135 0.000669
0.503300 0.543764 0.000877
0.505300 0.546329 0.000899
0.507300 0.548476 0.000664
0.509300 0.549194 0.000711
0.511300 0.550857 0.000643
0.513300 0.552019 0.000486
0.515300 0.553489 0.000634
0.517300 0.555194 0.000524
0.519300 0.556964 0.000523
0.521300 0.559682 0.000537
0.523300 0.561506 0.000582
0.525300 0.563488 0.000541
0.527300 0.565336 0.000507
0.529300 0.567248 0.000520
0.531300 0.569757 0.000552
0.533300 0.571627 0.000547
0.535300 0.573684 0.000569
0.537300 0.577044 0.000689
0.539300 0.579616 0.000557
0.541300 0.582535 0.000514
0.543300 0.586062 0.000631
0.545300 0.588487 0.000988
0.547300 0.592625 0.000818
0.549300 0.596049 0.000845
0.551300 0.601236 0.000726
0.553300 0.605755 0.000675
0.555300 0.610678 0.000788
0.557300 0.615689 0.000982
0.559300 0.620742 0.000760
0.561300 0.627431 0.000754
0.563300 0.633797 0.000795
0.565300 0.639889 0.000929
0.567300 0.647519 0.000677
0.569300 0.653273 0.000564
0.571300 0.661451 0.000629
0.573300 0.669115 0.000542
0.575300 0.676060 0.000658
0.577300 0.682872 0.000603
0.579300 0.691059 0.000691
0.581300 0.697876 0.000744
0.583300 0.705764 0.000628
0.585300 0.710805 0.000697
0.587300 0.718924 0.000599
0.589300 0.724059 0.000701
0.591300 0.730618 0.000668
0.593300 0.735667 0.000678
0.595300 0.740381 0.000711
0.597300 0.745470 0.000658
0.599300 0.749817 0.000605
0.601100 0.754425 0.000633
0.602700 0.756218 0.000781
0.604300 0.759896 0.000727
0.605900 0.763213 0.000681
0.607500 0.765395 0.000611
0.609100 0.768099 0.000616
0.610700 0.770392 0.000579
0.612300 0.772256 0.000611
0.613900 0.774798 0.000658
0.615500 0.776508 0.000575
0.617100 0.779697 0.000609
0.618700 0.780401 0.000572
0.620300 0.782005 0.000745
0.621900 0.784268 0.000674
0.623500 0.785976 0.000555
0.625100 0.787463 0.000718
0.626700 0.788765 0.000615
0.628300 0.791208 0.000641
0.629900 0.792942 0.000982
0.631700 0.794025 0.000682
0.633700 0.794966 0.000601
0.635700 0.797721 0.000757
0.637700 0.799533 0.000716
0.639700 0.800315 0.000782
0.641700 0.802805 0.000761
0.643700 0.803057 0.000522
0.645700 0.804958 0.000662
0.647700 0.806226 0.000568
0.649700 0.807412 0.000721
0.651700 0.808687 0.000579
0.653700 0.810140 0.000614
0.655700 0.812026 0.000680
0.657700 0.812895 0.000791
0.659700 0.814998 0.000648
0.661700 0.816013 0.000735
0.663700 0.817890 0.000583
0.665700 0.819702 0.000579
0.667700 0.820121 0.000587
0.670200 0.821687 0.000773
0.673200 0.823164 0.000664
0.676200 0.826836 0.000532
0.679200 0.826957 0.000668
0.682200 0.830021 0.000580
0.685200 0.831100 0.000694
0.688200 0.834421 0.000593
0.691200 0.837309 0.000574
0.694200 0.837877 0.000651
0.697200 0.839705 0.000738
0.700200 0.842554 0.000652
0.702000 0.842703 0.000553
0.704000 0.844103 0.000683
0.706000 0.845595 0.000581
0.708000 0.846943 0.000987
0.710000 0.846549 0.000710
0.712000 0.849624 0.000582
0.714000 0.850581 0.000661
0.716000 0.850855 0.000774
0.718000 0.852470 0.000596
0.720000 0.852897 0.000626
0.722000 0.853927 0.000651
0.724000 0.854932 0.000609
0.726000 0.856539 0.000699
0.728000 0.855209 0.000621
0.730000 0.857578 0.000692
0.732000 0.856501 0.000785
0.734000 0.858362 0.000700
0.736000 0.858179 0.000684
0.738000 0.858961 0.000976
0.740000 0.859253 0.000715
0.742000 0.859949 0.000777
0.744000 0.860739 0.000802
0.746000 0.860001 0.000928
0.748000 0.861521 0.000633
0.750500 0.861873 0.000579
0.753500 0.861493 0.000701
0.756500 0.861676 0.000630
0.759500 0.862814 0.000640
0.762500 0.861790 0.000688
0.765500 0.862316 0.000727
0.768500 0.862366 0.000669
0.771500 0.863727 0.000750
0.774500 0.863129 0.000645
0.777500 0.861098 0.000643
0.781000 0.861084 0.000703
0.785000 0.860203 0.000801
0.789000 0.860524 0.000711
0.793000 0.859832 0.000678
0.797000 0.859507 0.000765
0.801500 0.859797 0.000645
0.806500 0.858362 0.000694
0.811500 0.857282 0.000715
0.816500 0.856647 0.000705
0.822000 0.855677 0.000884
0.828000 0.854017 0.000593
0.835000 0.852823 0.000692
0.843000 0.852724 0.000652
0.851000 0.853947 0.001081
0.859000 0.854689 0.001059
0.871000 0.854881 0.001049
0.883000 0.855721 0.001059
0.894000 0.859091 0.001050
0.904000 0.861445 0.001007
0.914000 0.859932 0.001046
0.924000 0.860965 0.001045
0.933000 0.866176 0.000916
0.941000 0.868880 0.000885
0.949000 0.866411 0.000837
0.957000 0.871063 0.001049
0.964000 0.873903 0.000966
0.970000 0.876229 0.000897
0.976000 0.877831 0.000946
0.982000 0.876438 0.000885
0.988000 0.877714 0.001034
0.994000 0.879672 0.000810
1.000000 0.878784 0.000883
1.006000 0.880401 0.000892
1.012000 0.880441 0.001054
1.018000 0.881151 0.001053
1.023500 0.882628 0.001021
1.028500 0.882894 0.000868
1.033500 0.885618 0.000979
1.038500 0.886928 0.000962
1.043500 0.885114 0.000871
1.048500 0.888195 0.000857
1.053500 0.889768 0.000995
1.058500 0.889069 0.000938
1.063500 0.892225 0.001033
1.068500 0.890995 0.000992
1.073500 0.890880 0.000861
1.078500 0.893385 0.000831
1.083500 0.894350 0.000874
1.088500 0.895316 0.000867
1.093500 0.894565 0.001004
1.098500 0.895324 0.000871
1.103500 0.896397 0.000795
1.108500 0.895454 0.000800
1.113500 0.895514 0.000910
1.118500 0.894837 0.000845
1.123500 0.896969 0.000813
1.128500 0.895767 0.000794
1.133500 0.896672 0.000793
1.138500 0.895837 0.000912
1.143500 0.896850 0.000734
1.148500 0.896321 0.000835
1.153500 0.896545 0.000845
1.158500 0.893777 0.000855
1.163500 0.892076 0.000856
1.168500 0.891490 0.000731
1.173500 0.887577 0.000810
1.178500 0.886598 0.000949
1.183500 0.883424 0.000889
1.188500 0.881337 0.001017
1.193500 0.877997 0.000966
1.198500 0.875296 0.000818
1.203500 0.871100 0.000754
1.208500 0.868653 0.000707
1.213500 0.868721 0.000740
1.218500 0.869166 0.000761
1.223500 0.868892 0.000886
1.228500 0.870037 0.000786
1.233500 0.870198 0.000761
1.238500 0.871208 0.000788
1.243500 0.870087 0.000802
1.248500 0.869956 0.000788
1.253500 0.872416 0.000764
1.258500 0.874287 0.000794
1.263500 0.875046 0.000725
1.268500 0.874485 0.000868
1.273500 0.878641 0.000839
1.278500 0.879663 0.000682
1.283500 0.879533 0.000764
1.288500 0.882360 0.000792
1.293500 0.882890 0.000749
1.298500 0.882602 0.000760
1.303500 0.885472 0.000767
1.308500 0.883436 0.000812
1.313500 0.882460 0.000783
1.318500 0.881228 0.000816
1.323500 0.880305 0.000810
1.328500 0.875094 0.000844
1.333500 0.872650 0.000815
1.338500 0.870610 0.000752
1.343500 0.866563 0.000882
1.348500 0.863189 0.000860
1.353500 0.860837 0.000873
1.358500 0.861138 0.000847
1.363500 0.862247 0.000996
1.368500 0.862378 0.001035
1.373500 0.860461 0.000872
1.378500 0.858784 0.000789
1.383500 0.857696 0.001031
1.388500 0.856351 0.001042
1.393500 0.855745 0.000993
1.398500 0.855690 0.001049
1.403500 0.853744 0.001039
1.408500 0.849104 0.000917
1.413500 0.850730 0.000849
1.418500 0.846681 0.000977
1.423500 0.842905 0.000869
1.428500 0.831891 0.001028
1.433500 0.825440 0.000910
1.438500 0.816137 0.001045
1.443500 0.802377 0.000892
1.448500 0.788221 0.000987
1.453500 0.771440 0.000900
1.458500 0.757636 0.000942
1.463500 0.748625 0.000957
1.468500 0.737275 0.000944
1.473500 0.716376 0.000733
1.478500 0.690803 0.000989
1.483500 0.680156 0.000743
1.488500 0.707495 0.001020
1.493500 0.729134 0.000941
1.498500 0.733985 0.000931
1.503500 0.731311 0.001000
1.508500 0.732265 0.001025
1.513500 0.729949 0.001030
1.518500 0.727610 0.001038
1.523500 0.728944 0.001042
1.528500 0.733934 0.001042
1.534000 0.738949 0.000783
1.540000 0.744244 0.000982
1.546000 0.747439 0.001000
1.552000 0.748736 0.000948
1.558000 0.750323 0.001041
1.564000 0.752181 0.000903
1.570500 0.749997 0.000933
1.577500 0.747947 0.000740
1.584500 0.746748 0.000813
1.591500 0.745666 0.000819
1.598500 0.744014 0.000746
1.605500 0.741095 0.000801
1.612500 0.739785 0.000838
1.619500 0.744716 0.000871
1.626500 0.748489 0.000959
1.633500 0.751189 0.000928
1.640500 0.755855 0.001032
1.647500 0.761432 0.000976
1.654500 0.762771 0.001034
1.661500 0.769554 0.001035
1.668500 0.772296 0.001033
1.676000 0.774071 0.000820
1.684000 0.773642 0.001033
1.692000 0.773496 0.001042
1.700000 0.774951 0.001037
1.708000 0.778633 0.001043
1.716000 0.783415 0.001048
1.724000 0.786628 0.001044
1.732000 0.790990 0.001044
1.740000 0.789082 0.001043
1.748000 0.790252 0.001043
1.756000 0.783426 0.001044
1.764000 0.780542 0.001042
1.772000 0.779050 0.001049
1.780000 0.774817 0.001047
1.788000 0.777027 0.001044
1.796000 0.779589 0.001047
1.805000 0.788560 0.000855
1.815000 0.794617 0.000873
1.825000 0.797729 0.001023
1.835000 0.800685 0.001042
1.845000 0.796743 0.001048
1.855000 0.789652 0.001036
1.865000 0.777983 0.001045
1.875000 0.764219 0.001045
1.885000 0.741923 0.001034
1.895000 0.716794 0.001024
1.905000 0.680456 0.001036
1.915000 0.639150 0.001022
1.925000 0.590322 0.001011
1.935000 0.519239 0.001010
1.945000 0.457391 0.000996
1.955000 0.492789 0.001011
1.965000 0.523846 0.001011
1.975000 0.480601 0.001004
1.985000 0.454958 0.001007
1.995000 0.476914 0.001014
2.005000 0.502420 0.001011
2.015000 0.502864 0.001010
2.025000 0.489029 0.001009
2.035000 0.484626 0.001007
2.045000 0.510039 0.001000
2.055000 0.542304 0.001004
2.065000 0.560236 0.001006
2.075000 0.566430 0.001008
2.085000 0.576405 0.001008
2.095000 0.593143 0.001012
2.105000 0.608834 0.001011
2.115000 0.623253 0.001012
2.125000 0.636926 0.001011
2.135000 0.645170 0.001010
2.145000 0.646800 0.001012
2.155000 0.640913 0.001007
2.165000 0.635008 0.001012
2.175000 0.632279 0.001015
2.185000 0.636319 0.001017
2.195000 0.634958 0.001025
2.205000 0.627954 0.001022
2.215000 0.622511 0.001025
2.225000 0.620528 0.001025
2.235000 0.611622 0.001030
2.245000 0.580548 0.001026
2.255000 0.595936 0.001123
2.265000 0.633845 0.001389
2.275000 0.651031 0.001685
2.285000 0.653369 0.002900
2.295000 0.646489 0.003640
2.305000 0.636054 0.003640
2.315000 0.632446 0.002345
2.325000 0.614446 0.001207
2.335000 0.593274 0.001012
2.345000 0.564148 0.001004
2.355000 0.516643 0.001000
2.365000 0.447239 0.000989
2.375000 0.370654 0.000982
2.386000 0.357800 0.000984
2.400000 0.399830 0.000952
2.418000 0.430356 0.000866
2.440000 0.392788 0.000815
2.466000 0.367513 0.000863
2.496000 0.395700 0.000946
2.528000 0.411583 0.000976
2.560000 0.442855 0.000956
2.592000 0.454851 0.000932
2.624000 0.457108 0.000920
2.656000 0.453746 0.001014
2.688000 0.404314 0.002786
2.720000 0.342484 0.006022
2.752000 0.217475 0.007134
2.784000 0.137410 0.005748
2.816000 0.066046 0.005110
2.848000 0.040542 0.004870
2.880000 0.020997 0.007519
2.912000 -0.001377 0.006697
2.944000 0.021320 0.007549
2.976000 0.014973 0.008014
|
eu
|
converted_docs
|
524747
|
+-----------------------------------------------------------------------+
| ####### {width="0.84375in" height="0.8645833333333334in"} |
| |
| ####### LHC Q1 -- Q2 Interconnect Procedure |
+-----------------------------------------------------------------------+
| **Reference Drawings:** |
+-----------------------------------------------------------------------+
| ######### Q1 - Q2 Bus and Splice Assembly |
| |
| **(ME-430179)** |
+-----------------------------------------------------------------------+
| **Q1 - Q2 Piping Connections Installation** |
| |
| **(ME-390866)** |
+-----------------------------------------------------------------------+
| **Q1 - Q2 Main Assembly** |
| |
| **(ME-390867)** |
+-----------------------------------------------------------------------+
| **Q1 - Q2 Bellows Protectors Installation** |
| |
| **(ME-390871)** |
+-----------------------------------------------------------------------+
| **By: Jamie Blowers, Rodger Bossert, Tom Page, Jim Rife Technical |
| Division, Fermilab** |
+-----------------------------------------------------------------------+
+---+---------------------------------+----+--------+----+---+------+
| * | **Description** | * | **Nu | * | * | ** |
| * | | *D | mber** | *R | * | Quan |
| | | wg | | ev | U | tity |
| * | | Si | | ** | n | Re |
| * | | ze | | | i | quir |
| | | ** | | | t | ed** |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | **KAPTON** | ** | **29 | | | **A |
| . | | MA | 2722** | | | /R** |
| | | ** | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | > **Q2 COLDMASS PREPARATION Q2A | ** | **36 | * | * | * |
| . | > BUS HOUSING-EXTENSION** | ME | 9872** | *B | * | *0** |
| | | ** | | ** | R | |
| | | | | | E | |
| | | | | | F | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | > **Q2 COLDMASS PREPARATION Q2A | ** | **36 | * | * | * |
| . | > BUS HSG-EXTENSION-BS** | MC | 9873** | *A | * | *0** |
| | | ** | | ** | R | |
| | | | | | E | |
| | | | | | F | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | **SOLDER STRIP 96/4** | ** | **36 | | | **A |
| . | | MA | 9904** | | | /R** |
| | | ** | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | **FLUX -- KESTER 135** | ** | **36 | | | **A |
| . | | MA | 9911** | | | /R** |
| | | ** | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | **DRIFT TUBE ASSEMBLY** | ** | **39 | * | * | * |
| . | | ME | 0190** | *A | * | *1** |
| | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | > **VACUUM VESSEL LEFT HAND | ** | **39 | * | * | * |
| . | > SLEEVE ASSEMBLY** | ME | 0322** | *A | * | *1** |
| | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | > **HEAT EXCHANGER / COLD MASS | ** | **39 | * | * | * |
| . | > CONNECTOR** | MD | 0334** | *A | * | *1** |
| | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 9 | **SHIELD LINE CONNECTOR** | ** | **39 | * | * | * |
| . | | MD | 0343** | *A | * | *2** |
| | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | # COOLDOWN LINE CONNECTOR | ** | **39 | * | * | * |
| 0 | | MD | 0344** | *A | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | **PUMPING LINE CONNECTOR** | ** | **39 | * | * | * |
| 1 | | MD | 0345** | *A | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| [ | | | | | * | |
| ] | | | | | * | |
| { | | | | | | |
| . | | | | | | |
| m | | | | | | |
| a | | | | | | |
| r | | | | | | |
| k | | | | | | |
| } | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | > **COLD MASS INSTRUMENTATION | ** | **39 | * | * | * |
| 2 | > CONNECTOR** | MD | 0346** | *A | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| [ | | | | | * | |
| ] | | | | | * | |
| { | | | | | | |
| . | | | | | | |
| m | | | | | | |
| a | | | | | | |
| r | | | | | | |
| k | | | | | | |
| } | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | # COLD MASS CONNECTOR | ** | **39 | * | * | * |
| 3 | | MD | 0347** | *A | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| [ | | | | | * | |
| ] | | | | | * | |
| { | | | | | | |
| . | | | | | | |
| m | | | | | | |
| a | | | | | | |
| r | | | | | | |
| k | | | | | | |
| } | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | > **SHIELD ASSEMBLY ALUMINUM | ** | **39 | ** | * | ** |
| 4 | > SPACER, 4.6 LONG** | MA | 0373** | \* | * | 32** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | **RETAINING WASHER** | ** | **39 | ** | * | ** |
| 5 | | MA | 0378** | \* | * | 32** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | > **INTERCONNECTION COLD MASS | ** | **39 | * | * | * |
| 6 | > PIPES SUPPORT** | ME | 0450** | *B | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | **COLD MASS PIPE SUPPORT | ** | **39 | * | * | * |
| 7 | CLAMP** | MC | 0451** | *A | * | *3** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | > **COLD MASS/Hx PIPE SUPPORT | ** | **39 | ** | * | * |
| 8 | > CLAMP** | MC | 0453** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 1 | **Hx PIPE SUPPORT CLAMP** | ** | **39 | ** | * | * |
| 9 | | MC | 0454** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | **COOLDOWN PIPE SUPPORT CLAMP** | ** | **39 | ** | * | * |
| 0 | | MB | 0455** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | # UPPER PIPE SUPPORT | ** | **39 | * | * | * |
| 1 | | ME | 0456** | *A | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | > **THERMAL SHIELD Q1-Q2 LEFT | ** | **39 | * | * | * |
| 2 | > HAND SECTION** | ME | 0505** | *A | * | *2** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | > **THERMAL SHIELD Q1-Q2 LEFT | ** | **39 | * | * | * |
| 3 | > HAND INSTRUMENTATION | ME | 0506** | *A | * | *1** |
| . | > SECTION** | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | > **THERMAL SHIELD Q1-Q2 LEFT | ** | **39 | * | * | * |
| 4 | > HAND VENT SECTION** | ME | 0510** | *A | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | **THERMAL SHIELD Q2 CONNECTOR** | ** | **39 | ** | * | * |
| 5 | | ME | 0515** | \* | * | *2** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | > **THERMAL SHIELD - SHIELD | ** | **39 | ** | * | * |
| 6 | > CONNECTOR** | ME | 0516** | \* | * | *2** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | **THERMAL SHIELD DEFLECTOR** | ** | **39 | ** | * | * |
| 7 | | MB | 0517** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | > **THERMAL SHIELD CENTER BAND | ** | **39 | ** | * | * |
| 8 | > CONNECTOR** | MC | 0518** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 2 | **THERMAL SHIELD FILLER** | ** | **39 | ** | * | * |
| 9 | | MB | 0519** | \* | * | *4** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | **THERMAL SHIELD CENTER BAND** | ** | **39 | ** | * | * |
| 0 | | ME | 0520** | \* | * | *2** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | > **SHIELD MLI INSULATION - | ** | **39 | ** | * | * |
| 1 | > INNER BLANKET** | ME | 0546** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | > **SHIELD MLI INSULATION - | ** | **39 | ** | * | * |
| 2 | > OUTER BLANKET** | ME | 0547** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| [ | | | | | * | |
| ] | | | | | * | |
| { | | | | | | |
| . | | | | | | |
| m | | | | | | |
| a | | | | | | |
| r | | | | | | |
| k | | | | | | |
| } | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | > **THERMAL SHIELD ALUMINUM | ** | **39 | ** | * | * |
| 3 | > SPACER, 12.4 LONG** | MA | 0553** | \* | * | *4** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | **1/4-20 U-BOLT** | ** | **39 | ** | * | * |
| 4 | | MB | 0554** | \* | * | *4** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | > **COOLDOWN / SHIELD LINE | ** | **39 | ** | * | * |
| 5 | > BELLOWS PROTECTOR** | MC | 0578** | \* | * | *6** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | > **Hx OUTER SHELL BELLOWS | ** | **39 | ** | * | * |
| 6 | > PROTECTOR** | ME | 0579** | \* | * | *4** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | > **PUMPING LINE BELLOWS | ** | **39 | ** | * | * |
| 7 | > PROTECTOR** | MD | 0580** | \* | * | *2** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | # PIPING INSULATION MLI BLANKET | ** | **39 | ** | * | * |
| 8 | | ME | 0594** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 3 | > **Hx OUTER TUBE END FLANGE | ** | **39 | ** | * | * |
| 9 | > SPACER RING** | MC | 0600** | \* | * | *2** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | > **COLD MASS SINGLE - BELLOWS | ** | **39 | * | * | * |
| 0 | > OPEN PROTECTOR** | MD | 0603** | *A | * | *4** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | > **COLD MASS DOUBLE - BELLOWS | ** | **39 | ** | * | * |
| 1 | > OPEN PROTECTOR** | ME | 0607** | \* | * | *2** |
| . | | ** | | ** | E | |
| | | | | | A | |
| [ | | | | | * | |
| ] | | | | | * | |
| { | | | | | | |
| . | | | | | | |
| m | | | | | | |
| a | | | | | | |
| r | | | | | | |
| k | | | | | | |
| } | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | > **PUMPING LINE & COLD MASS | ** | **39 | ** | * | * |
| 2 | > END FLANGE SPACER RING** | MB | 0617** | \* | * | *5** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | > **COOLDOWN & SHIELD LINE END | ** | **39 | ** | * | * |
| 3 | > FLANGE SPACER RING** | MB | 0618** | \* | * | *6** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | > **BEAMLINE DRIFT TUBE COOLING | ** | **39 | ** | * | * |
| 4 | > JACKET FLEX HOSE** | MA | 0625** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | > **3.5" PIPE PERSISTENT RING** | ** | **39 | | * | * |
| 5 | | MC | 0640** | | * | *1** |
| . | | ** | | | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | > **INTERCONNECTION BEAM TUBE | ** | **39 | ** | * | * |
| 6 | > SUPPORT ASSEMBLY** | ME | 0779** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | **4.5K CC SUPPLY FLEX HOSE** | ** | **39 | ** | * | * |
| 7 | | MB | 0806** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | > **4.5K INTERCEPT CC SUPPLY | ** | **39 | ** | * | * |
| 8 | > FLEX HOSE RETAINER PLATE** | MA | 0807** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| [ | | | | | * | |
| ] | | | | | * | |
| { | | | | | | |
| . | | | | | | |
| m | | | | | | |
| a | | | | | | |
| r | | | | | | |
| k | | | | | | |
| } | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 4 | **4.5K INTERCEPT TUBE BRACE | ** | **39 | ** | * | * |
| 9 | BAR** | MB | 0816** | \* | * | *2** |
| . | | ** | | ** | E | |
| | | | | | A | |
| [ | | | | | * | |
| ] | | | | | * | |
| { | | | | | | |
| . | | | | | | |
| m | | | | | | |
| a | | | | | | |
| r | | | | | | |
| k | | | | | | |
| } | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | **BEAM SCREEN COOLING SPOOL** | ** | **39 | ** | * | * |
| 0 | | MD | 0819** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | **3.5" Pipe Coldmass Weld | ** | **39 | | * | * |
| 1 | Ring** | MC | 0875** | | * | *2** |
| . | | ** | | | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | **SCREW, M8 x 25** | ** | **39 | ** | * | * |
| 2 | | MA | 3018** | \* | * | *4** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | **M6 LOCK WASHER** | ** | **39 | ** | * | ** |
| 3 | | MA | 3026** | \* | * | 22** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | **M8 LOCK WASHER** | ** | **39 | ** | * | * |
| 4 | | MA | 3027** | \* | * | *4** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | **M5 x 16 CAP SCREW** | ** | **39 | ** | * | **1 |
| 5 | | MA | 3028** | \* | * | 28** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | **SCREW, M6 x 20** | ** | **39 | ** | * | ** |
| 6 | | MA | 3037** | \* | * | 38** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | > **M30 x 3.5 x 2.0m LONG | ** | **39 | ** | * | * |
| 7 | > THREADED ROD** | MA | 3041** | \* | * | *4** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | **M30 SPHERICAL WASHER** | ** | **39 | ** | * | ** |
| 8 | | MA | 3043** | \* | * | 16** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 5 | **M30 HEX NUT** | ** | **39 | ** | * | ** |
| 9 | | MA | 3044** | \* | * | 16** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | **M5 x 25 CAP SCREW** | ** | **39 | ** | * | * |
| 0 | | MA | 3053** | \* | * | *4** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | **1/4-20 HEX NUT** | ** | **39 | ** | * | ** |
| 1 | | MA | 3054** | \* | * | 16** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | **M5 LOCK WASHER** | ** | **39 | ** | * | ** |
| 2 | | MA | 3056** | \* | * | 96** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | **M5 FLAT WASHER** | ** | **39 | ** | * | ** |
| 3 | | MA | 3057** | \* | * | 76** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | **COMMON FASTENERS-#6-32 X .75 | ** | **39 | * | * | ** |
| 4 | LG. (SST)** | MA | 3237** | *A | * | 12** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | > **Q1 CORRECTION COIL SPLICE | ** | **43 | | * | * |
| 5 | > SUPPORT** | MD | 0023** | | * | *1** |
| . | | ** | | | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | > **Q2 MOD.ASSY/Q2 BUS SPIDER | ** | **43 | * | * | * |
| 6 | > ASSEMBLY** | MD | 0044** | *C | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | **BUS SPLICE SEPARATOR** | ** | **43 | | * | * |
| 7 | | MB | 0084** | | * | *1** |
| . | | ** | | | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | **Bus Housing Transition | ** | **43 | ** | * | * |
| 8 | Cover - Q2** | ME | 0153** | \* | * | *1** |
| . | | ** | | ** | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 6 | **Bus Housing Transition Base | ** | **43 | | * | * |
| 9 | -- Q2** | ME | 0154** | | * | *1** |
| . | | ** | | | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | **GLASS TAPE (item #7 on | | | | | **A |
| 0 | ME-430179)** | | | | | /R** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | **Hypertronics Tie-Down Link** | ** | **41 | | * | * |
| 1 | | MA | 8109** | | * | *4** |
| . | | ** | | | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | **M3 Nut** | ** | **41 | | * | * |
| 2 | | MA | 8111** | | * | *8** |
| . | | ** | | | E | |
| | | | | | A | |
| | | | | | * | |
| | | | | | * | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | **Kevlar string** | ** | **36 | | | **A |
| 3 | | MA | 9912** | | | /R** |
| . | | ** | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | **Kapton sleeves (PROVIDED BY | | | | | * |
| 4 | CERN)** | | | | | *4** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| | > **TOOLING:** | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | > **Corrector Wire Bus Splice | ** | **43 | | | * |
| 5 | > Soldering Fixture** | MD | 0016** | | | *1** |
| . | | ** | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | > **Bus Cable Splice Fixture** | ** | **43 | | | * |
| 6 | | MC | 0138** | | | *1** |
| . | | ** | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | **Compression Collar** | | **39 | | | ** |
| 7 | | | 0444** | | | 16** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | **M12 Threaded Rod** | | **39 | | | ** |
| 8 | | | 0449** | | | 24** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 7 | **M12 Flat Washer** | | **39 | | | ** |
| 9 | | | 3331** | | | 96** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | **M12 Hex Nut** | | **39 | | | ** |
| 0 | | | 3039** | | | 96** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | **Collar Screws, M8 X 50mm** | | **39 | | | ** |
| 1 | | | 3020** | | | 16** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | **Compression Collar** | | **39 | | | ** |
| 2 | | | 0442** | | | 24** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | **M10 Threaded Rod** | | **39 | | | ** |
| 3 | | | 0448** | | | 48** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | **M10 Flat Washer** | | **36 | | | **1 |
| 4 | | | 4306** | | | 92** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | **M10 Hex Nut** | | **39 | | | **1 |
| 5 | | | 3038** | | | 92** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | **Collar Screws, M6 X 40mm** | | **39 | | | ** |
| 6 | | | 3047** | | | 48** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | **Compression Collar** | | **39 | | | * |
| 7 | | | 0440** | | | *1** |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | **Splice Fixture Controllers** | | * | | | |
| 8 | | | *N/A** | | | |
| . | | | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| 8 | **Bellows Restraints** | ** | **41 | | | **9 |
| 9 | | MB | 8232** | | | per |
| . | | ** | | | | IR |
| | | | | | | s |
| | | | | | | et** |
+---+---------------------------------+----+--------+----+---+------+
| 9 | **Lead position tool** | ** | **43 | | | |
| 0 | | MB | 0191** | | | |
| . | | ** | | | | |
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
| | | | | | | |
+---+---------------------------------+----+--------+----+---+------+
**[GENERAL NOTES:]{.mark}**
- [All screws installed in the vacuum and cryogenic space must have
some form of additional protection from working themselves loose
during thermal cycling. The use of Loctite 242 or 245, or Stycast is
recommended for this purpose.]{.mark}
**(Complete Above Ground)**
1. [Carefully remove all shrink tubing from cable leads.]{.mark}
2. [If cable labels are place where they will interfere with the
splicing operation (e.g. at the end of the leads), then additional
labels should be applied at a position on the cable where they will
not interfere with the splicing operation. In order to apply new
labels, it may be necessary to remove ground wrap which is holding
the wire bundles together. If this is the case, be sure to remove
only what is necessary. The labels at the ends can be removed in the
tunnel, after the length of the lead is correctly
determined.]{.mark}
3. [All leads should be dressed to remove solder/weld excess.]{.mark}
4. [Verify that the bus leads coming out of the IP-end of the Q2 magnet
are correctly wrapped together. You may find them ground-wrapped
separately, instead of together. If this is the case, remove the
individual ground wraps, and then wrap the two together with one
layer 2/3 lapped of Kapton (MA-292722, or equivalent).]{.mark}
5. Install Vacuum Outer Shell Sleeve (ME-390322) and Vacuum Vessel
Bellows Assembly (Provided by CERN) as per Q1 to Q2 Main Assembly
(ME-390867). Position them so that they do not interfere with
subsequent work.
##### Parts list
- **VACUUM OUTER SHELL SLEEVE (ME-390322)**
- **VACUUM VESSEL BELLOWS ASSEMBLY (PROVIDED BY CERN)**
6. Install Bus Housing (Item Numbers called out below refer to Drawing
No. ME-430155) (also refer to ME-430179).
1. Inspect Q1-Q2 bus housing assembly (ME-430155) to ensure all
parts exist.
2. Place bus housing parts items 5 (ME-430153) and 6 (ME-430154)
around lead and correction coil busses.
3. Attach item 5 (ME-430153) to item 2 (MC-369873) with four screws
item 3 (MA-393237) as shown on Bus Housing Assembly drawing
(ME-430155) and Q1-Q2 Bus and Splice Assembly drawing
(ME-430179). [Be sure to apply Loctite (or equivalent) to the
screws.]{.mark}
4. Attach Bus Housing Transition base item 6 (ME-430154) to bus
housing transition cover item 5 (ME-430155) with screws item 3
(MA-393237) as shown on Bus Housing Assembly drawing
(ME-430155). [Be sure to apply Loctite (or equivalent) to the
screws.]{.mark}
5. Attach item 4 Bus Spider Assembly (MD-430044) to bus housing
assembly as shown on Bus Housing Assembly (ME-430155) and Q1-Q2
Bus and Splice Assembly (ME-430179).
6. Slide the 3.5" Pipe Coldmass Weld Ring (MC-390875), and the Cold
Mass Instrumentation Connector (MD-390346) over the Bus Housing
Assembly.
7. Weld the Cold Mass Instrumentation Connector (MD-390346) to Q2.
Refer to the Q1 to Q2 Piping Connections Installation
(ME-390866), View M-M for details. NOTE: instrumentation wires
need to be protected from the weld heat (e.g. pull them tight
enough so that they are not resting on the tube during welding,
apply protection which can be removed after welding, etc.).
##### Parts list
- **#6-32 X .75 LG. (SST) (MA-393237)**
- **Q2 MOD.ASSY/Q2 BUS SPIDER ASSEMBLY (MD-430044)**
- **Bus Housing Transition Cover - Q2 (ME-430153)**
- **Bus Housing Transition Base - Q2 (ME-430154)**
- **3.5" PIPE COLDMASS WELD RING (MC-390875)**
- **COLD MASS INSTRUMENTATION CONNECTOR (MD-390346)**
7. Install Drift Tube
1. Install Drift Tube (ME-390190) on the Q1 magnet as per Q1 to Q2
Piping Connections Installation (ME-390866), View K-K.
##### Parts list
- **DRIFT TUBE (ME-390190)**
8. Install the CERN-supplied Beam Screen and BPMS assemblies per the
CERN drawings listed below.
##### CERN Drawings
- Cold Beam Vacuum Interconnects Type QQ1 (LHCLVI GG0002 - Right side,
IRs 1, 2, 5 and 8)
- Beam Vacuum Interconnects Assembly Type IT 1 IR Right (LHCLVIGG0002)
- Beam Vacuum Interconnects Assembly Type IT 4 IR Right (LHCLVIGG0007)
- Beam Vacuum Interconnects Assembly Type IT 1 IR Left (LHCLVIGG0009)
- Beam Vacuum Interconnects Assembly Type IT 4 IR Left (LHCLVIGG0010)
**(Complete Below Ground)**
9. Perform Lead Splices
1. Install End Flange Spacer Ring (ME-390617) as per Q1 to Q2
Piping Connections Installation (ME-390866).
2. Compress cold mass bellows.
3. Set the Q1 lead longitudinal position using the supplied tool
(MB-430191), [as per Q1-Q2 Bus and Splice Assembly
(ME-430179).]{.mark}
4. Mark position of end of Q1 lead cable at position at end of Q2
lead.
5. Perform main bus splices.
1. Place main bus leads in configuration needed for splicing,
as per Q1-Q2 Bus and Splice Assembly (ME-430179), sections
B-B and D-D, and on Figure 9.5.1-A below, making sure end of
Q1 lead is at mark on Q2 lead from previous step.
**[Figure 9.5.1-A]{.underline}**
2. Clean all leads with Tech spray and Scotch Brite, or equivalent.
Wipe down with Kay-dry or equivalent.
3. Paint flux (Kester 135, MA-369911 or equivalent) on all surfaces to
be soldered.
4. Add solder strips (MA-369904 or equivalent, 0.2 mm thick) to areas
to be spliced, between each main lead.
5. Place solder fixture (MD-430138) around both lead splices.
6. Screw solder fixture together around splices.
7. [If desired, add an additional temperature measuring device (e.g.
handheld thermocouple).]{.mark}
8. Turn on resistive heaters, and wait for the solder to melt, while
monitoring the temperature. [Tighten screws as the solder is
softening, so that the fixture is completely closed when the solder
is completely melted.]{.mark} When the solder has melted, turn off
the heater [controller]{.mark}. The solder typically melts at about
220°C, [but the temperature should be held at 235°C for one
minute.]{.mark} Do not allow the temperature to exceed 240°C.
9. Monitor the temperature during cool-down, [and let splice cool to \~
40°C]{.mark}. [To monitor the temperature, unplug the heating
element, and then turn the controller back on]{.mark}.
10. After cooling [(to \~ 40°C)]{.mark}, remove the splices from the
fixture. **[NOTE: It is easiest to remove the splices while the
fixture is a little warm, so it is best not to let it cool to room
temperature before removing the leads from the fixture.]{.mark}**
11. Clean exterior of splices with Tech spray and Scotch Brite or
equivalent. Wipe down with Kay-dry or equivalent.
```{=html}
<!-- -->
```
6. Using the tool provided (MB-430191), verify that the Q1 lead
longitudinal position is correct.
7. Insulate Main Bus Splices.
1. There are two main bus splices, positioned vertically, as shown
in section B-B of the Q1-Q2 Bus and Splice Assembly (ME-430179).
Wrap each splice separately, using one wrap of 50 um thick by
9.5mm wide Kapton (MA-292722) with 50% overlap as shown in
detail E.
2. Place one G-11 splice separator (MB-430084) between the two
splices as shown in section B-B.
3. Wrap entire splice bundle with one wrap of 50 um thick by 9.5mm
wide Kapton (MA-292722) with 75% overlap surrounded by one layer
of glass tape (item #7 on ME-430179) with 50% overlap as shown
in detail E.
4. Fuse the ends of the glass tape to prevent the tape from
unraveling. Use soldering iron to burn line over the last couple
of wraps.
5. [much as is possible.]{.mark}
**[[Figure 9.7.5-A]{.underline}]{.mark}**
8. Perform Corrector lead splices
1. Cut corrector wires at an appropriate length to provide for a
splice 60mm long as shown in Q1-Q2 Bus and Splice Assembly
(ME-430179).
2. Cut back "spare" corrector (shown on section A-A of ME-430179)
wire 100mm back from center of splice.
3. Using appropriate means, remove the varnish from the corrector
leads only in the areas to be soldered. See figure 9.8.3-A
below.
**[Figure 9.8.3-A]{.underline}**
4. Pre-tin all corrector leads to be spliced with solder made of 96%
tin/4% silver.
5. [Slide Kapton sleeves over each corrector lead on the Q2 magnet
(CERN part \# XXX).]{.mark}
6. Place corrector wires in configuration needed for splicing, as per
Q1-Q2 Bus and Splice Assembly (ME-430179), section B-B and detail D,
and on Figure 9.8.6-A below.
**[Figure 9.8.6-A]{.underline}**
7. Place Solder Fixture (MD-430016) under the four corrector leads at
area to be spliced according to Figure 9.8.3-A above. **NOTE: The
main bus splices should be protected from the heat applied for the
corrector lead soldering. If necessary, place insulation between the
soldering fixture and the main bus.**
8. Paint flux (Kester 135, MA-369911 or equivalent) on all surfaces to
be soldered.
9. Screw solder fixture together.
10. [If desired, add an additional temperature measuring device (e.g.
handheld thermocouple).]{.mark}
11. Turn on resistive heaters, and wait for the solder to melt, while
monitoring the temperature. [Tighten screws as the solder is
softening, so that the fixture is completely closed when the solder
is completely melted.]{.mark} When the solder has melted, turn off
the heater [controller]{.mark}. The solder typically melts at about
220° C, but the [temperature should be held at 235°C for one
minute]{.mark}. Do not allow the temperature to exceed 240°C.
12. Monitor the temperature during cool-down, [and let splice cool to \~
40°C]{.mark}. [To monitor the temperature, unplug the heating
element, and then turn the controller back on.]{.mark}
13. After cooling [(to \~ 40°C)]{.mark}, remove the splices from the
fixture. **[NOTE: It is easiest to remove the splices while the
fixture is a little warm, so it is best not to let it cool to room
temperature before removing the leads from the fixture.]{.mark}**
14. Clean exterior of splices with Tech spray and Scotch Brite or
equivalent. Wipe down with Kay-dry or equivalent.
15. [Slide the Kapton sleeves over the splices.]{.mark}
16. Install corrector bus housing splice support (MD-430023) as shown on
drawing. [Be sure to apply Loctite (or equivalent) to the
screws.]{.mark}
```{=html}
<!-- -->
```
9. Release and connect Cold Mass Bellows.
###### Parts list
- **Glass tape (item #7 on ME-430179)**
- **Kapton (MA-292722)**
- **Bus Splice Separator (MB-430084)**
- **Flux, Kester 135 (MA-369911)**
- **Solder Strip 96/4 (MA-369904) or CERN equivalent**
- **Q1 Correction Coil Splice Support (MD-430023):**
- **Threaded Tray (MC-430001)**
- **Single Cover (MC-430003)**
- **3mm/.5 X 8 Screw (MA-393246)**
```{=html}
<!-- -->
```
- **[Kapton sleeves (provided by CERN)]{.mark}**
###### Tooling
- **Corrector Wire Bus Splice Soldering Fixture (MD-430016)**
- **Bus Cable Splice Soldering Fixture (MC-430138)**
- **Lead position tool (MB-430191)**
10. Install Cold Mass Connector (MD-390347) on the M2 pipe.
1. Slide the 3.5" Pipe Coldmass Weld Ring (MC-390875) over the
wires and connector.
2. [Wrap a welding blanket around the cables. The blanket should
have a cord attached so that it can be pulled out after the
welding operation.]{.mark}
3. Slide the Cold Mass Connector (MD-390347) over instrumentation
wire and Hypertronics connector, [making sure to have the weld
blanket cord coming out of the end of the pipe.]{.mark}
4. Weld per Q1 to Q2 Piping Connections Installation (ME-390866),
View M-M.
5. [Pull out the welding blanket.]{.mark}
##### Parts list
- **COLD MASS CONNECTOR (MD-390347)**
- **3.5" PIPE COLDMASS WELD RING (MC-3906875)**
11. Connect Hypertronics Connectors (Q1 - MB-418119 & Q2 -- MB-418133;
Assembly drawing MD-430182)
1. Compress the M2 pipe Bellows.
2. Install the End Flange Spacer Ring (MB-390617).
3. Connect the connectors.
4. Using the M3 nuts (MA-418111) install the G11 Tie-Down Links
(MA-418109) per MD-430182. The nuts should have Loctite, or
equivalent, applied prior to installation.
5. Release the Bellows.
6. Weld per Q1 to Q2 Piping Connections Installation (ME-390866),
View C--C.
##### Parts list
- **END FLANGE SPACER RING (MB-390617)**
- **HYPERTRONICS TIE-DOWN LINKS (MA-418109)**
- **M3 Nuts (MA-418111)**
> [Tools]{.underline}
- Bellows Tools.
##### Inspection
- Electrical checkout?
12. Install Heat Exchanger / Cold Mass Connector (MD-390334).
1. Compress the Hx Outer Bellows, both sides.
2. Compress the Cold Mass Bellows.
3. Install the End Flange Spacer Rings (MB-390600) for the Hx
bellows.
4. Install the Persistent Ring (MB-390640) for the M4 pipe (Q2
side).
5. Install the End Flange Spacer Ring (MB-390617) for the M4 pipe
(Q1 side).
6. Position Heat Exchanger/Cold Mass Connector Pipe Assembly
(MD-390334).
7. Position the Hx inner Tube (XB on ME-390866).
8. Weld inner Hx Tube (XB on ME-390866) both sides per Q1 to Q2
Piping Connections Installation (ME-390866), View B--B.
9. Release the Hx outer bellows.
10. Weld outer Hx Tube (L on ME-390866) both sides per Q1 to Q2
Piping Connections Installation (ME-390866), View A--A.
11. Weld M4 Line (M4 on ME-390866) both sides per Q1 to Q2 Piping
Connections Installation (ME-390866), View H--H and C--C.
##### Parts list
- **END FLANGE SPACER RINGS (MB-390600)**
- **PERSISTENT RING (MB-390640)**
- **END FLANGE SPACER RINGS (MB-390617)**
- **HEAT EXCHANGER/COLD MASS CONNECTOR (MD-390334)**
##### Weld Details
- View H--H, Upper Cold Mass Q2 side.
- View C--C, Upper Cold Mass Q1 side.
- View A--A, Hx Outer Shell both sides.
- View B--B, Hx Inner Shell both sides.
13. Install the CERN-supplied Plug-in Module per the CERN drawings
listed below.
##### CERN Drawings
- Cold Beam Vacuum Interconnects Type QQ1 (LHCLVI GG0002 - Right side,
IRs 1, 2, 5 and 8)
- Beam Vacuum Interconnects Assembly Type IT 1 IR Right (LHCLVIGG0002)
- Beam Vacuum Interconnects Assembly Type IT 4 IR Right (LHCLVIGG0007)
- Beam Vacuum Interconnects Assembly Type IT 1 IR Left (LHCLVIGG0009)
```{=html}
<!-- -->
```
- Beam Vacuum Interconnects Assembly Type IT 4 IR Left (LHCLVIGG0010)
14. Install Pumping Line Connector (MD-390345).
1. Compress the Bellows.
2. Install the End Flange Spacer Ring (MB-390617).
3. Position the Pumping Line Connector (MD-390345, XBt on
ME-390866).
4. Release the Bellows.
5. Weld Pumping Line Connector (MD-390345, XBt on ME-390866) per Q1
to Q2 Piping Connections Installation (ME-390866), View C--C and
E--E.
##### Parts list
- **PUMPING LINE CONNECTOR (MD-390345)**
- **END FLANGE SPACER RING (MB-390617)**
##### Weld Details
- View C--C
- View E--E
15. Install Cooldown Line Connector (MD-390344).
1. Compress the Bellows.
2. Install the End Flange Spacer Rings (MB-390618).
3. Position the Cooldown Line Connector (MD-390344).
4. Release the Bellows.
5. Weld Cooldown Line Connector (MD-390344) both ends, per Q1 to Q2
Piping Connections Installation (ME-390866), View D--D.
##### Parts list
- **COOLDOWN LINE CONNECTOR (MD-390344)**
- **END FLANGE SPACER RING (MB-390618)**
16. Install Cooling Jacket Flex Hose (MA-390625).
1. Install the Cooling Jacket Flex Hose (MA-390625) between the
port on the Drift Tube (ME-390190) and the port on the M4 pipe,
as per Q1-Q2 Piping Connections Installation (ME-390866).
2. Weld Cooling Jacket Flex Hose (MA-390625) per Q1-Q2 Piping
Connections Installation (ME-390866), View L--L for both welds.
##### Parts list
- **COOLING JACKET FLEX HOSE (MA-390625)**
17. Install Cooling Spool (MD-390819).
1. Install and weld the Cooling Spool (MD-390819) onto the Beam
Screen Assembly, as per Q1 to Q2 Piping Connections Installation
(ME-390866), View J--J.
##### Parts list
- **BEAM SCREEN COOLING SPOOL (MD-390819)**
18. Install 4.5K CC Supply Flex - Hose (MB-390806).
1. Install 4.5K CC Supply Flex - Hose (MB-390806).
2. Position 4.5K CC Supply Flex - Hose (MB-390806).
3. Weld 4.5K CC Supply Flex - Hose (MB-390806) per Q1 to Q2 Piping
Connections Installation (ME-390866), View G--G.
##### Parts list
- **4.5K CC SUPPLY FLEX - HOSE (MB-390806)**
19. Install 4.5K Intercept Tube Brace Bar (MB-390816).
1. Install 4.5K Intercept Tube Brace Bar (MB-390816), if necessary.
##### Parts list
- **4.5K INTERCEPT TUBE BRACE BAR (MB-390816)**
20. Install Cold Mass Pipe Support Assembly (ME-390820).
1. Install Cold Mass Pipe Support Assembly (ME-390820) as per Q1 to
Q2 Bellows Protectors Installation (ME-390871). [Be sure to
apply Loctite (or equivalent) to the screws.]{.mark}
##### Parts list
- **COLDMASS PIPE SUPPORT (MC-390450)**
- **COLDMASS PIPE SUPPORT CLAMP (MC-390451)**
- **Hx PIPE SUPPORT CLAMP (MC-390453)**
- **FLEX HOSE RETAINER PLATE (MA-390807)**
- **SCREW M6 X 20 (MA-393037)**
- **M6 LOCK WASHER (MA-393026)**
21. Install Beam Tube Support Assembly (ME-390779).
1. Using the Flex Hose Retainer Plate (MA-390807), position Flex -
Hose (MB-390806) in Pipe Support Assembly shown in "Opposite
Side View" on Q1 to Q2 Bellows Protectors Installation
(ME-390871).
2. Install Beam Tube Support Assembly (ME-390779) as per Q1 to Q2
Bellows Protectors Installation (ME-390871).
##### Parts list
- **BEAM TUBE SUPPORT ASSEMBLY (ME-390779)**
- **FLEX HOSE RETAINER PLATE (MA-390807)**
22. Install Upper Pipe Support Assembly (ME-390821).
1. Install Upper Pipe Support Assembly (ME-390821) as per Q1 to Q2
Bellows Protectors Installation (ME-390871). [Be sure to apply
Loctite (or equivalent) to the screws.]{.mark}
##### Parts list
- **COLDMASS PIPE SUPPORT CLAMP (MC-390451)**
- **HEAT EXCHANGER PIPE SUPPORT (MC-390454)**
- **COOLDOWN PIPE SUPPORT CLAMP (MB-390455)**
- **HEAT EXCH. COOLDOWN-PUMPING PIPES SUPPORT (ME-390456)**
- **SHCS M8 X 25.0 (MA-393018) \[NOTE: for the first magnet we sent
MA-393040 M8 X 20\]**
- **M6 LOCK WASHER (MA-393026)**
- **M8 LOCK WASHER (MA-393027)**
- **SCREW M6 X 20 (MA-393037)**
23. Install Shield Line Connectors (FF & EE) (MD-390343).
1. Compress the Bellows.
2. Install the End Flange Spacer Rings (MB-390618).
3. Position the Shield Line Connectors (FF & EE) (MD-390343) (See
Q1 to Q2 Piping Connections Installation ME-390866 for pipe
orientation.)
4. Release the Bellows.
5. Weld Shield Line Connectors per Q1 to Q2 Piping Connections
Installation (ME-390866), View D--D for all connections.
##### Parts list
- **SHIELD LINE CONNECTORS (FF & EE) (MD-390343)**
- **END FLANGE SPACER RINGS (MB-390618)**
24. Leak Check
1. When all assemblies have been installed, perform a Leak Check on
the entire Assembly.
25. Install Bellows Protectors.
> [NOTE:]{.mark} [Be sure to apply Loctite (or equivalent) to the
> screws.]{.mark}
1. Install Cold Mass Electrical Bus (M1) Bellows Protectors (ME-390607)
as per Q1 to Q2 Bellows Protectors Installation (ME-390871).
2. Install Cold Mass Instrumentation (M2) Bellows Protectors
(ME-390603) as per Q1 to Q2 Bellows Protectors Installation
(ME-390871).
3. Install Cold Mass Heat Exchanger (M4) Bellows Protectors (ME-390603)
as per Q1 to Q2 Bellows Protectors Installation (ME-390871).
4. Install Heat Exchanger (L) Bellows Protectors (ME-390579) as per Q1
to Q2 Bellows Protectors Installation (ME-390871).
5. Install Pumping Line (XBt) Bellows Protectors (MD-390580) as per Q1
to Q2 Bellows Protectors Installation (ME-390871).
6. Install Cooldown Line (LD1) Bellows Protectors (MC-390578) as per Q1
to Q2 Bellows Protectors Installation (ME-390871).
7. Install Shield Line (FF) Bellows Protectors (MC-390578) as per Q1 to
Q2 Bellows Protectors Installation (ME-390871).
8. Install Shield Line (EE) Bellows Protectors (MC-390578) as per Q1 to
Q2 Bellows Protectors Installation (ME-390871).
##### Parts list
- **COLD MASS ELECTRICAL BUS (M1) BELLOWS PROTECTORS (ME-390607)**
- **COLD MASS INSTRUMENTATION (M2) BELLOWS PROTECTORS (ME-390603)**
- **COLD MASS HEAT EXCHANGER (M4) BELLOWS PROTECTORS (ME-390603)**
- **HEAT EXCHANGER (L) BELLOWS PROTECTORS (ME-390579)**
- **PUMPING LINE (XBT) BELLOWS PROTECTORS (MD-390580)**
- **COOLDOWN LINE (LD1) BELLOWS PROTECTORS (MC-390578)**
- **SHIELD LINE (FF) BELLOWS PROTECTORS (MC-390578)**
- **SHIELD LINE (EE) BELLOWS PROTECTORS (MC-390578)**
- **SCREW, M6 X 20 (MA-393037)**
26. [Install eight BPM steel jacket cables (CERN supplied).]{.mark}
27. Pipe Insulation
1. Wrap piping with MLI blankets as per Q1 to Q2 Main Assembly
(ME-390867).
##### Parts list
- **PIPING INSULATION MLI BLANKET (ME-390594)**
28. Install Thermal Shield (ME-390503)
1. Install parts listed below as per Q1 to Q2 Main Assembly
(ME-390867). [Be sure to apply Loctite (or equivalent) to all
screws.]{.mark}
##### Parts list
- **THERMAL SHIELD Q1-Q2 LEFT HAND SECTION (ME-390505)**
- **THERMAL SHIELD Q1-Q2 LEFT HAND INSTRUMENTATION SECTION
(ME-390506)**
- **THERMAL SHIELD Q1-Q2 LEFT HAND VENT SECTION (ME-390510)**
- **THERMAL SHIELD Q2 CONNECTOR (ME-390515)**
- **THERMAL SHIELD - SHIELD CONNECTOR (ME-390516)**
- **THERMAL SHIELD DEFLECTOR (MB-390517)**
- **THERMAL SHIELD CENTER BAND CONNECTOR (MC-390518)**
- **THERMAL SHIELD FILLER (MB-390519)**
- **THERMAL SHIELD CENTER BAND (ME-390520)**
```{=html}
<!-- -->
```
- **THERMAL SHIELD ALUMINUM SPACER, 12.4 LONG (MA-390553)**
- **SHIELD ASSEMBLY ALUM SPACER (MA-390373)**
- **SHIELD ASSEMBLY RETAINING WASHER (MA-390378)**
- **Q1-Q2 INTERCONNECT SHIELD INNER BLANKET (ME-390546)**
- **Q1-Q2 INTERCONNECT SHIELD OUTER BLANKET (ME-390547)**
- **INTERCONNECT THERMAL SHIELD, U- BOLT (MB-390554)**
- **M5 X 16 CAP SCREW (MA-393028)**
- **M5 X 25 CAP SCREW (MA-393053)**
- **1/4-20 HEX JAM NUT (MA-393054)**
- **M5 LOCK WASHER (MA-393056)**
- **M5 FLAT WASHER (MA-393057)**
29. Shield Insulation
1. Wrap thermal shielding with MLI blankets as per Q1 to Q2 Main
Assembly (ME-390867).
##### Parts list
- **SHIELD MLI INSULATION -- OUTER BLANKET (ME-390547)**
```{=html}
<!-- -->
```
- **SHIELD MLI INSULATION -- INNER BLANKET (ME-390546)**
30. Connect the vacuum shell sleeve and bellows
1. Reposition the outer vacuum shell and vacuum bellows over the
interconnect region, and attach per Q1 to Q2 Main Assembly
(ME-390867).
##### Parts list
- Claw Clamps (MA-393337, **PROVIDED BY CERN**)
31. Install Threaded Rods
1. Install Threaded Rods (Qty. 4) (MA-393041) as per Q1 to Q2 Main
Assembly (ME-390867).
##### Parts list
- **THREADED RODS (MA-393041)**
- **M30 X 3.5 HEX NUT (MA-393044)**
- **M30 SPHERICAL WASHER (MA-393043)**
|
en
|
converted_docs
|
524653
|
BILLING CODE: 4150-04M
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of the Secretary
45 CFR Parts 160 through 164
Rin: 0991-AB08
Standards for Privacy of Individually Identifiable Health Information
AGENCY: Office of the Assistant Secretary for Planning and Evaluation,
DHHS.
ACTION: Final rule.
SUMMARY: This rule includes standards to protect the privacy of
individually identifiable health information. The rules below, which
apply to health plans, health care clearinghouses, and certain health
care providers, present standards with respect to the rights of
individuals who are the subjects of this information, procedures for the
exercise of those rights, and the authorized and required uses and
disclosures of this information.
The use of these standards will improve the efficiency and effectiveness
of public and private health programs and health care services by
providing enhanced protections for individually identifiable health
information. These protections will begin to address growing public
concerns that advances in electronic technology and evolution in the
health care industry are resulting, or may result, in a substantial
erosion of the privacy surrounding individually identifiable health
information maintained by health care providers, health plans and their
administrative contractors. This rule implements the privacy
requirements of the Administrative Simplification subtitle of the Health
Insurance Portability and Accountability Act of 1996.
DATES: The final rule is effective on \[INSERT DATE 60 DAYS FOLLOWING
PUBLICATION IN THE FEDERAL REGISTER\].
FOR FURTHER INFORMATION CONTACT: Kimberly Coleman, 1-866-OCR-PRIV
(1-866-627-7748) or TTY 1-866-788-4989.
SUPPLEMENTARY INFORMATION: Availability of copies, and electronic
access.
Copies: To order copies of the [Federal Register]{.underline} containing
this document, send your request to: New Orders, Superintendent of
Documents, P.O. Box 371954, Pittsburgh, PA 15250-7954. Specify the date
of the issue requested and enclose a check or money order payable to the
Superintendent of Documents, or enclose your Visa or Master Card number
and expiration date. Credit card orders can also be placed by calling
the order desk at (202) 512-1800 or by fax to (202) 512-2250. The cost
for each copy is \$8.00. As an alternative, you can view and photocopy
the [Federal Register]{.underline} document at most libraries designated
as Federal Depository Libraries and at many other public and academic
libraries throughout the country that receive the [Federal
Register]{.underline}.
Electronic Access: This document is available electronically at
http://aspe.hhs.gov/admnsimp/ as well as at the web site of the
Government Printing Office at
http://www.access.gpo.gov/su_docs/aces/aces140.html.
**I. BACKGROUND**
**Table of Contents**
§ 160.101 Statutory basis and purpose.
§ 160.102 Applicability.
§ 160.103 Definitions.
§ 160.104 Modifications.
§ 160.201 Applicability
§ 160.202 Definitions.
§ 160.203 General rule and exceptions.
§ 160.204 Process for requesting exception determinations.
§ 160.205 Duration of effectiveness of exception determinations.
§ 160.300 Applicability.
§ 160.302 Definitions.
§ 160.304 Principles for achieving compliance.
\(a\) Cooperation.
\(b\) Assistance.
§ 160.306 Complaints to the Secretary.
\(a\) Right to file a complaint.
\(b\) Requirements for filing complaints.
\(c\) Investigation.
§ 160.308 Compliance reviews.
§ 160.310 Responsibilities of covered entities.
\(a\) Provide records and compliance reports.
\(b\) Cooperate with complaint investigations and compliance reviews.
\(c\) Permit access to information.
§ 160.312 Secretarial action regarding complaints and compliance
reviews.
\(a\) Resolution where noncompliance is indicated.
\(b\) Resolution when no violation is found.
§ 164.102 Statutory basis.
§ 164.104 Applicability.
§ 164.106 Relationship to other parts.
§ 164.500 Applicability.
§ 164.501 Definitions.
§ 164.502 Uses and disclosures of protected health information: general
rules.
\(a\) Standard.
\(b\) Standard: minimum necessary.
\(c\) Standard: uses and disclosures of protected health information
subject to an agreed upon restriction.
\(d\) Standard: uses and disclosures of de-identified protected health
information.
\(e\) Standard: disclosures to business associates.
\(f\) Standard: deceased individuals.
\(g\) Standard: personal representatives.
\(h\) Standard: confidential communications.
\(i\) Standard: uses and disclosures consistent with notice.
\(j\) Standard: disclosures by whistleblowers and workforce member crime
victims.
§ 164.504 Uses and disclosures: organizational requirements.
\(a\) Definitions.
\(b\) Standard: health care component.
\(c\) Implementation specification: application of other provisions.
\(d\) Standard: affiliated covered entities.
\(e\) Standard: business associate contracts.
(f)Standard: requirements for group health plans.
\(g\) Standard: requirements for a covered entity with multiple covered
functions.
§ 164.506 Consent for uses or disclosures to carry out treatment,
payment, or health care operations.
\(a\) Standard: consent requirement.
\(b\) Implementation specifications: general requirements.
\(c\) Implementation specifications: content requirements.
\(d\) Implementation specifications: defective consents.
\(e\) Standard: resolving conflicting consents and authorizations.
\(f\) Standard: joint consents.
§164.508 Uses and disclosures for which an authorization is required.
\(a\) Standard: authorizations for uses and disclosures.
\(b\) Implementation specifications: general requirements.
\(c\) Implementation specifications: core elements and requirements.
\(d\) Implementation specifications: authorizations requested by a
covered entity for its own uses and disclosures.
\(e\) Implementation specifications: authorizations requested by a
covered entity for disclosures by others.
\(f\) Implementation specifications: authorizations for uses and
disclosures of protected health information created for research that
includes treatment of the individual.
§ 164.510 Uses and disclosures requiring an opportunity for the
individual to agree or to object.
\(a\) Standard: use and disclosure for facility directories.
\(b\) Standard: uses and disclosures for involvement in the individual's
care and notification purposes.
§ 164.512 Uses and disclosures for which consent, an authorization, or
opportunity to agree or object is not required.
\(a\) Standard: uses and disclosures required by law.
\(b\) Standard: uses and disclosures for public health activities.
\(c\) Standard: disclosures about victims of abuse, neglect or domestic
violence.
\(d\) Standard: uses and disclosures for health oversight activities.
\(e\) Standard: disclosures for judicial and administrative proceedings.
\(f\) Standard: disclosures for law enforcement purposes.
\(g\) Standard: uses and disclosures about decedents.
\(h\) Standard: uses and disclosures for cadaveric organ, eye or tissue
donation purposes.
\(i\) Standard: uses and disclosures for research purposes.
\(j\) Standard: uses and disclosures to avert a serious threat to health
or safety.
\(k\) Standard: uses and disclosures for specialized government
functions.
\(l\) Standard: disclosures for workers' compensation.
§ 164.514 Other requirements relating to uses and disclosures of
protected health information.
\(a\) Standard: de-identification of protected health information.
\(b\) Implementation specifications: requirements for de-identification
of protected health information.
\(c\) Implementation specifications: re-identification.
\(d\) Standard: minimum necessary requirements.
\(e\) Standard: uses and disclosures of protected health information for
marketing.
\(f\) Standard: uses and disclosures for fundraising.
\(g\) Standard: uses and disclosures for underwriting and related
purposes.
\(h\) Standard: verification requirements
§ 164.520 Notice of privacy practices for protected health information.
\(a\) Standard: notice of privacy practices.
\(b\) Implementation specifications: content of notice.
\(c\) Implementation specifications: provision of notice.
\(d\) Implementation specifications: joint notice by separate covered
entities.
\(e\) Implementation specifications: documentation.
§ 164.522 Rights to request privacy protection for protected health
information.
\(a\) Standard: right of an individual to request restriction of uses
and disclosures.
\(b\) Standard: confidential communications requirements.
§ 164.524 Access of individuals to protected health information.
\(a\) Standard: access to protected health information.
\(b\) Implementation specifications: requests for access and timely
action.
\(c\) Implementation specifications: provision of access.
\(d\) Implementation specifications: denial of access.
\(e\) Implementation specification: documentation.
§ 164.526 Amendment of protected health information.
\(a\) Standard: right to amend.
\(b\) Implementation specifications: requests for amendment and timely
action.
\(c\) Implementation specifications: accepting the amendment.
\(d\) Implementation specifications: denying the amendment.
\(e\) Implementation specification: actions on notices of amendment.
\(f\) Implementation specification: documentation.
§ 164.528 Accounting of disclosures of protected health information.
\(a\) Standard: right to an accounting of disclosures of protected
health information.
\(b\) Implementation specifications: content of the accounting.
\(c\) Implementation specifications: provision of the accounting.
\(d\) Implementation specification: documentation.
§ 164.530 Administrative requirements.
\(a\) Standard: personnel designations.
\(b\) Standard: training.
\(c\) Standard: safeguards.
\(d\) Standard: complaints to the covered entity.
\(e\) Standard: sanctions
\(f\) Standard: mitigation.
\(g\) Standard: refraining from intimidating or retaliatory acts.
\(h\) Standard: waiver of rights.
\(i\) Standard: policies and procedures.
\(j\) Standard: documentation.
\(k\) Standard: group health plans.
§ 164.532 Transition provisions.
\(a\) Standard: effect of prior consents and authorizations.
\(b\) Implementation specification: requirements for retaining
effectiveness of prior consents and authorizations.
§ 164.534 Compliance dates for initial implementation of the privacy
standards.
\(a\) Health care providers.
\(b\) Health plans.
\(c\) Health care clearinghouses.
**Purpose of the Administrative Simplification Regulations**
This regulation has three major purposes: (1) to protect and enhance the
rights of consumers by providing them access to their health information
and controlling the inappropriate use of that information; (2) to
improve the quality of health care in the U.S. by restoring trust in the
health care system among consumers, health care professionals, and the
multitude of organizations and individuals committed to the delivery of
care; and (3) to improve the efficiency and effectiveness of health care
delivery by creating a national framework for health privacy protection
that builds on efforts by states, health systems, and individual
organizations and individuals.
This regulation is the second final regulation to be issued in the
package of rules mandated under Title II Subtitle F Section 261-264 of
the Health Insurance Portability and Accountability Act of 1996 (HIPAA),
Public Law 104-191, titled "Administrative Simplification." Congress
called for steps to improve "the efficiency and effectiveness of the
health care system by encouraging the development of a health
information system through the establishment of standards and
requirements for the electronic transmission of certain health
information." To achieve that end, Congress required the Department to
promulgate a set of interlocking regulations establishing standards and
protections for health information systems. The first regulation in this
set, Standards for Electronic Transactions 65 FR 50312, was published on
August 17, 2000 (the "Transactions Rule"). This regulation establishing
Standards for Privacy of Individually Identifiable Health Information is
the second final rule in the package. A rule establishing a unique
identifier for employers to use in electronic health care transactions,
a rule establishing a unique identifier for providers for such
transactions, and a rule establishing standards for the security of
electronic information systems have been proposed. See 63 FR 25272 and
25320 (May 7, 1998); 63 FR 32784 (June 16, 1998); 63 FR 43242 (August
12, 1998). Still to be proposed are rules establishing a unique
identifier for health plans for electronic transactions, standards for
claims attachments, and standards for transferring among health plans
appropriate standard data elements needed for coordination of benefits.
(See section C, below, for a more detailed explanation of the statutory
mandate for these regulations.)
In enacting HIPAA, Congress recognized the fact that administrative
simplification cannot succeed if we do not also protect the privacy and
confidentiality of personal health information. The provision of
high-quality health care requires the exchange of personal,
often-sensitive information between an individual and a skilled
practitioner. Vital to that interaction is the patient's ability to
trust that the information shared will be protected and kept
confidential. Yet many patients are concerned that their information is
not protected. Among the factors adding to this concern are the growth
of the number of organizations involved in the provision of care and the
processing of claims, the growing use of electronic information
technology, increased efforts to market health care and other products
to consumers, and the increasing ability to collect highly sensitive
information about a person's current and future health status as a
result of advances in scientific research.
Rules requiring the protection of health privacy in the United States
have been enacted primarily by the states. While virtually every state
has enacted one or more laws to safeguard privacy, these laws vary
significantly from state to state and typically apply to only part of
the health care system. Many states have adopted laws that protect the
health information relating to certain health conditions such as mental
illness, communicable diseases, cancer, HIV/AIDS, and other stigmatized
conditions. An examination of state health privacy laws and regulations,
however, found that "state laws, with a few notable exceptions, do not
extend comprehensive protections to people's medical records." Many
state rules fail to provide such basic protections as ensuring a
patient's legal right to see a copy of his or her medical record. See
Health Privacy Project, "The State of Health Privacy: An Uneven
Terrain," Institute for Health Care Research and Policy, Georgetown
University (July 1999) (http://www.healthprivacy.org) (the "Georgetown
Study").
Until now, virtually no federal rules existed to protect the privacy of
health information and guarantee patient access to such information.
This final rule establishes, for the first time, a set of basic national
privacy standards and fair information practices that provides all
Americans with a basic level of protection and peace of mind that is
essential to their full participation in their care. The rule sets a
floor of ground rules for health care providers, health plans, and
health care clearinghouses to follow, in order to protect patients and
encourage them to seek needed care. The rule seeks to balance the needs
of the individual with the needs of the society. It creates a framework
of protection that can be strengthened by both the federal government
and by states as health information systems continue to evolve.
**Need for a National Health Privacy Framework**
***The Importance of Privacy***
Privacy is a fundamental right. As such, it must be viewed differently
than any ordinary economic good. The costs and benefits of a regulation
must, of course, be considered as a means of identifying and weighing
options. At the same time, it is important not to lose sight of the
inherent meaning of privacy: it speaks to our individual and collective
freedom.
A right to privacy in personal information has historically found
expression in American law. All fifty states today recognize in tort law
a common law or statutory right to privacy. Many states specifically
provide a remedy for public revelation of private facts. Some states,
such as California and Tennessee, have a right to privacy as a matter of
state constitutional law. The multiple historical sources for legal
rights to privacy are traced in many places, including Chapter 13 of
Alan Westin\'s *Privacy and Freedom* and in Ellen Alderman & Caroline
Kennedy, *The Right to Privacy* (1995).
Throughout our nation's history, we have placed the rights of the
individual at the forefront of our democracy. In the Declaration of
Independence, we asserted the "unalienable right" to "life, liberty and
the pursuit of happiness." Many of the most basic protections in the
Constitution of the United States are imbued with an attempt to protect
individual privacy while balancing it against the larger social purposes
of the nation.
To take but one example, the Fourth Amendment to the United States
Constitution guarantees that \"the right of the people to be secure in
their persons, houses, papers and effects, against unreasonable searches
and seizures, shall not be violated.\" By referring to the need for
security of \"persons\" as well as \"papers and effects\" the Fourth
Amendment suggests enduring values in American law that relate to
privacy. The need for security of \"persons\" is consistent with
obtaining patient consent before performing invasive medical procedures.
The need for security in \"papers and effects\" underscores the
importance of protecting information about the person, contained in
sources such as personal diaries, medical records, or elsewhere. As is
generally true for the right of privacy in information, the right is not
absolute. The test instead is what constitutes an \"unreasonable\"
search of the papers and effects.
The United States Supreme Court has upheld the constitutional protection
of personal health information. In *Whalen v. Roe*, 429 U.S. 589 (1977),
the Court analyzed a New York statute that created a database of persons
who obtained drugs for which there was both a lawful and unlawful
market. The Court, in upholding the statute, recognized at least two
different kinds of interests within the constitutionally protected
\"zone of privacy.\" \"One is the individual interest in avoiding
disclosure of personal matters,\" such as this regulation principally
addresses. This interest in avoiding disclosure, discussed in *Whalen*
in the context of medical information, was found to be distinct from a
different line of cases concerning \"the interest in independence in
making certain kinds of important decisions.\"
Individuals\' right to privacy in information about themselves is not
absolute. It does not, for instance, prevent reporting of public health
information on communicable diseases or stop law enforcement from
getting information when due process has been observed. But many people
believe that individuals should have some right to control personal and
sensitive information about themselves. Among different sorts of
personal information, health information is among the most sensitive.
Many people believe that details about their physical self should not
generally be put on display for neighbors, employers, and government
officials to see. Informed consent laws place limits on the ability of
other persons to intrude physically on a person\'s body. Similar
concerns apply to intrusions on information about the person.
Moving beyond these facts of physical treatment, there is also
significant intrusion when records reveal details about a person\'s
mental state, such as during treatment for mental health. If, in Justice
Brandeis\' words, the \"right to be let alone\" means anything, then it
likely applies to having outsiders have access to one\'s intimate
thoughts, words, and emotions. In the recent case of *Jaffee v.
Redmond*, 116 S.Ct. 1923 (1996), the Supreme Court held that statements
made to a therapist during a counseling session were protected against
civil discovery under the Federal Rules of Evidence. The Court noted
that all fifty states have adopted some form of the
psychotherapist-patient privilege. In upholding the federal privilege,
the Supreme Court stated that it \"serves the public interest by
facilitating the appropriate treatment for individuals suffering the
effects of a mental or emotional problem. The mental health of our
citizenry, no less than its physical health, is a public good of
transcendent importance.\"
Many writers have urged a philosophical or common-sense right to privacy
in one\'s personal information. Examples include Alan Westin, *Privacy
and Freedom* (1967) and Janna Malamud Smith, *Private Matters: In
Defense of the Personal Life* (1997). These writings emphasize the link
between privacy and freedom and privacy and the \"personal life,\" or
the ability to develop one\'s own personality and self-expression.
Smith, for instance, states:
> The bottom line is clear. If we continually, gratuitously, reveal
> other people\'s privacies, we harm them and ourselves, we undermine
> the richness of the personal life, and we fuel a social atmosphere of
> mutual exploitation. Let me put it another way: Little in life is as
> precious as the freedom to say and do things with people you love that
> you would not say or do if someone else were present. And few
> experiences are as fundamental to liberty and autonomy as maintaining
> control over when, how, to whom, and where you disclose personal
> material. Id. at 240-241.
In 1890, Louis D. Brandeis and Samuel D. Warren defined the right to
privacy as "the right to be let alone." See L. Brandeis, S. Warren, "The
Right To Privacy," 4 Harv.L.Rev. 193. More than a century later, privacy
continues to play an important role in Americans' lives. In their book,
*The Right to Privacy,* (Alfred A. Knopf, New York, 1995) Ellen Alderman
and Caroline Kennedy describe the importance of privacy in this way:
> Privacy covers many things. It protects the solitude necessary for
> creative thought. It allows us the independence that is part of
> raising a family. It protects our right to be secure in our own homes
> and possessions, assured that the government cannot come barging in.
> Privacy also encompasses our right to self-determination and to define
> who we are. Although we live in a world of noisy self-confession,
> privacy allows us to keep certain facts to ourselves if we so choose.
> The right to privacy, it seems, is what makes us civilized.
Or, as Cavoukian and Tapscott observed the right of privacy is: "the
claim of individuals, groups, or institutions to determine for
themselves when, how, and to what extent information about them is
communicated." See A. Cavoukian, D. Tapscott, "Who Knows: Safeguarding
Your Privacy in a Networked World," Random House (1995).
***Increasing Public Concern About Loss of Privacy***
Today, it is virtually impossible for any person to be truly "let
alone." The average American is inundated with requests for information
from potential employers, retail shops, telephone marketing firms,
electronic marketers, banks, insurance companies, hospitals, physicians,
health plans, and others. In a 1998 national survey, 88 percent of
consumers said they were "concerned" by the amount of information being
requested, including 55 percent who said they were "very concerned." See
Privacy and American Business*, 1998 Privacy Concerns & Consumer Choice
Survey* (http://www.pandab.org) These worries are not just theoretical.
Consumers who use the Internet to make purchases or request "free"
information often are asked for personal and financial information.
Companies making such requests routinely promise to protect the
confidentiality of that information. Yet several firms have tried to
sell this information to other companies even after promising not to do
so.
Americans' concern about the privacy of their health information is part
of a broader anxiety about their lack of privacy in an array of areas. A
series of national public opinion polls conducted by Louis Harris &
Associates documents a rising level of public concern about privacy,
growing from 64 percent in 1978 to 82 percent in 1995. Over 80 percent
of persons surveyed in 1999 agreed with the statement that they had
\"lost all control over their personal information.\" See Harris
Equifax, *Health Information Privacy Study* (1993)
(http://www.epic.org/privacy/medical/polls.html). A Wall Street
Journal/ABC poll on September 16, 1999 asked Americans what concerned
them most in the coming century. "Loss of personal privacy" was the
first or second concern of 29 percent of respondents. All other issues,
such a terrorism, world war, and global warming had scores of 23 percent
or less.
This growing concern stems from several trends, including the growing
use of interconnected electronic media for business and personal
activities, our increasing ability to know an individual's genetic
make-up, and, in health care, the increasing complexity of the system.
Each of these trends brings the potential for tremendous benefits to
individuals and society generally. At the same time, each also brings
new potential for invasions of our privacy.
***Increasing Use of Interconnected Electronic Information Systems***
Until recently, health information was recorded and maintained on paper
and stored in the offices of community-based physicians, nurses,
hospitals, and other health care professionals and institutions. In some
ways, this imperfect system of record keeping created a false sense of
privacy among patients, providers, and others. Patients' health
information has never remained completely confidential. Until recently,
however, a breach of confidentiality involved a physical exchange of
paper records or a verbal exchange of information. Today, however, more
and more health care providers, plans, and others are utilizing
electronic means of storing and transmitting health information. In
1996, the health care industry invested an estimated \$10 billion to
\$15 billion on information technology. See National Research Council,
Computer Science and Telecommunications Board, "For the Record:
Protecting Electronic Health Information," (1997). The electronic
information revolution is transforming the recording of health
information so that the disclosure of information may require only a
push of a button. In a matter of seconds, a person's most profoundly
private information can be shared with hundreds, thousands, even
millions of individuals and organizations at a time. While the majority
of medical records still are in paper form, information from those
records is often copied and transmitted through electronic means.
This ease of information collection, organization, retention, and
exchange made possible by the advances in computer and other electronic
technology affords many benefits to individuals and to the health care
industry. Use of electronic information has helped to speed the delivery
of effective care and the processing of billions of dollars worth of
health care claims. Greater use of electronic data has also increased
our ability to identify and treat those who are at risk for disease,
conduct vital research, detect fraud and abuse, and measure and improve
the quality of care delivered in the U.S. The National Research Council
recently reported that "the Internet has great potential to improve
Americans' health by enhancing communications and improving access to
information for care providers, patients, health plan administrators,
public health officials, biomedical researchers, and other health
professionals." See "Networking Health: Prescriptions for the Internet,"
National Academy of Sciences (2000).
At the same time, these advances have reduced or eliminated many of the
financial and logistical obstacles that previously served to protect the
confidentiality of health information and the privacy interests of
individuals. And they have made our information available to many more
people. The shift from paper to electronic records, with the
accompanying greater flows of sensitive health information, thus
strengthens the arguments for giving legal protection to the right to
privacy in health information. In an earlier period where it was far
more expensive to access and use medical records, the risk of harm to
individuals was relatively low. In the potential near future, when
technology makes it almost free to send lifetime medical records over
the Internet, the risks may grow rapidly. It may become cost-effective,
for instance, for companies to offer services that allow purchasers to
obtain details of a person\'s physical and mental treatments. In
addition to legitimate possible uses for such services, malicious or
inquisitive persons may download medical records for purposes ranging
from identity theft to embarrassment to prurient interest in the life of
a celebrity or neighbor. The comments to the proposed privacy rule
indicate that many persons believe that they have a right to live in
society without having these details of their lives laid open to unknown
and possibly hostile eyes. These technological changes, in short, may
provide a reason for institutionalizing privacy protections in
situations where the risk of harm did not previously justify writing
such protections into law.
The growing level of trepidation about privacy in general, noted above,
has tracked the rise in electronic information technology. Americans
have embraced the use of the Internet and other forms of electronic
information as a way to provide greater access to information, save
time, and save money. For example, 60 percent of Americans surveyed in
1999 reported that they have a computer in their home; 82 percent
reported that they have used a computer; 64 percent say they have used
the Internet; and 58 percent have sent an e-mail. Among those who are
under the age of 60, these percentages are even higher. See "National
Survey of Adults on Technology," Henry J. Kaiser Family Foundation
(February, 2000). But 59 percent of Americans reported that they worry
that an unauthorized person will gain access to their information. A
recent survey suggests that 75 percent of consumers seeking health
information on the Internet are concerned or very concerned about the
health sites they visit sharing their personal health information with a
third party without their permission. Ethics Survey of Consumer
Attitudes about Health Web Sites, California Health Care Foundation, at
3 (January, 2000).
Unless public fears are allayed, we will be unable to obtain the full
benefits of electronic technologies. The absence of national standards
for the confidentiality of health information has made the health care
industry and the population in general uncomfortable about this
primarily financially-driven expansion in the use of electronic data.
Many plans, providers, and clearinghouses have taken steps to safeguard
the privacy of individually identifiable health information. Yet they
must currently rely on a patchwork of State laws and regulations that
are incomplete and, at times, inconsistent. States have, to varying
degrees, attempted to enhance confidentiality by establishing laws
governing at least some aspects of medical record privacy. This
approach, though a step in the right direction, is inadequate. These
laws fail to provide a consistent or comprehensive legal foundation of
health information privacy. For example, there is considerable variation
among the states in the type of information protected and the scope of
the protections provided. See Georgetown Study, at Executive Summary;
Lawrence O. Gostin, Zita Lazzarrini, Kathleen M. Flaherty, *Legislative
Survey of State Confidentiality Laws, with Specific Emphasis on HIV and
Immunization*, Report to Centers for Disease Control, Council of State
and Territorial Epidemiologists, and Task Force for Child Survival and
Development, Carter Presidential Center (1996) (Gostin Study).
Moreover, electronic health data is becoming increasingly "national"; as
more information becomes available in electronic form, it can have value
far beyond the immediate community where the patient resides. Neither
private action nor state laws provide a sufficiently comprehensive and
rigorous legal structure to allay public concerns, protect the right to
privacy, and correct the market failures caused by the absence of
privacy protections (see discussion below of market failure under
section V.C). Hence, a national policy with consistent rules is
necessary to encourage the increased and proper use of electronic
information while also protecting the very real needs of patients to
safeguard their privacy.
***Advances in Genetic Sciences***
Recently, scientists completed nearly a decade of work unlocking the
mysteries of the human genome, creating tremendous new opportunities to
identify and prevent many of the leading causes of death and disability
in this country and around the world. Yet the absence of privacy
protections for health information endanger these efforts by creating a
barrier of distrust and suspicion among consumers. A 1995 national poll
found that more than 85 percent of those surveyed were either "very
concerned" or "somewhat concerned" that insurers and employers might
gain access to and use genetic information. See Harris Poll, 1995 #34.
Sixty-three percent of the 1,000 participants in a 1997 national survey
said they would not take genetic tests if insurers and employers could
gain access to the results. See "Genetic Information and the Workplace,"
Department of Labor, Department of Health and Human Services, Equal
Employment Opportunity Commission, January 20, 1998. "In genetic testing
studies at the National Institutes of Health, thirty-two percent of
eligible people who were offered a test for breast cancer risk declined
to take it, citing concerns about loss of privacy and the potential for
discrimination in health insurance." Sen. Leahy's comments for March 10,
1999 Introduction of the Medical Information Privacy and Security Act.
***The Changing Health Care System***
The number of entities who are maintaining and transmitting individually
identifiable health information has increased significantly over the
last 10 years. In addition, the rapid growth of integrated health care
delivery systems requires greater use of integrated health information
systems. The health care industry has been transformed from one that
relied primarily on one-on-one interactions between patients and
clinicians to a system of integrated health care delivery networks and
managed care providers. Such a system requires the processing and
collection of information about patients and plan enrollees (for
example, in claims files or enrollment records), resulting in the
creation of databases that can be easily transmitted. This dramatic
change in the practice of medicine brings with it important prospects
for the improvement of the quality of care and reducing the cost of that
care. It also, however, means that increasing numbers of people have
access to health information. And, as health plan functions are
increasingly outsourced, a growing number of organizations not
affiliated with our physicians or health plans also have access to
health information.
According to the American Health Information Management Association
(AHIMA), an average of 150 people "from nursing staff to x-ray
technicians, to billing clerks" have access to a patient's medical
records during the course of a typical hospitalization. While many of
these individuals have a legitimate need to see all or part of a
patient's records, no laws govern who those people are, what information
they are able to see, and what they are and are not allowed to do with
that information once they have access to it. According to the National
Research Council, individually identifiable health information
frequently is shared with:
· Consulting physicians;
· Managed care organizations;
· Health insurance companies
· Life insurance companies;
· Self-insured employers;
· Pharmacies;
· Pharmacy benefit managers;
· Clinical laboratories;
· Accrediting organizations;
· State and Federal statistical agencies; and
· Medical information bureaus.
Much of this sharing of information is done without the knowledge of the
patient involved. While many of these functions are important for smooth
functioning of the health care system, there are no rules governing how
that information is used by secondary and tertiary users. For example, a
pharmacy benefit manager could receive information to determine whether
an insurance plan or HMO should cover a prescription, but then use the
information to market other products to the same patient. Similarly,
many of us obtain health insurance coverage though our employer and, in
some instances, the employer itself acts as the insurer. In these cases,
the employer will obtain identifiable health information about its
employees as part of the legitimate health insurance functions such as
claims processing, quality improvement, and fraud detection activities.
At the same time, there is no comprehensive protection prohibiting the
employer from using that information to make decisions about promotions
or job retention.
Public concerns reflect these developments. A 1993 Lou Harris poll found
that 75 percent of those surveyed worry that medical information from a
computerized national health information system will be used for many
non-health reasons, and 38 percent are very concerned. This poll, taken
during the health reform efforts of 1993, showed that 85 percent of
respondents believed that protecting the confidentiality of medical
records is "absolutely essential" or "very essential" in health care
reform. An ACLU Poll in 1994 also found that 75 percent of those
surveyed are concerned a "great deal" or a "fair amount"' about
insurance companies putting medical information about them into a
computer information bank to which others have access. Harris Equifax,
Health Information Privacy Study 2,33 (1993)
http://www.epic.org/privacy/medical/poll.html. Another survey found that
35 percent of Fortune 500 companies look at people's medical records
before making hiring and promotion decisions. Starr, Paul. "Health and
the Right to Privacy," American Journal of Law and Medicine, 1999. Vol
25, pp. 193-201.
Concerns about the lack of attention to information privacy in the
health care industry are not merely theoretical. In the absence of a
national legal framework of health privacy protections, consumers are
increasingly vulnerable to the exposure of their personal health
information. Disclosure of individually identifiable information can
occur deliberately or accidentally and can occur within an organization
or be the result of an external breach of security. Examples of recent
privacy breaches include:
· A Michigan-based health system accidentally posted the medical records
of thousands of patients on the Internet (The Ann Arbor News, February
10, 1999).
· A Utah-based pharmaceutical benefits management firm used patient data
to solicit business for its owner, a drug store (Kiplingers, February
2000).
· An employee of the Tampa, Florida, health department took a computer
disk containing the names of 4,000 people who had tested positive for
HIV, the virus that causes AIDS (USA Today, October 10, 1996).
· The health insurance claims forms of thousands of patients blew out of
a truck on its way to a recycling center in East Hartford, Connecticut
(The Hartford Courant, May 14, 1999).
· A patient in a Boston-area hospital discovered that her medical record
had been read by more than 200 of the hospital's employees (The Boston
Globe, August 1, 2000).
· A Nevada woman who purchased a used computer discovered that the
computer still contained the prescription records of the customers of
the pharmacy that had previously owned the computer. The pharmacy data
base included names, addresses, social security numbers, and a list of
all the medicines the customers had purchased. (The New York Times,
April 4, 1997 and April 12, 1997).
· A speculator bid \$4000 for the patient records of a family practice
in South Carolina. Among the businessman's uses of the purchased records
was selling them back to the former patients. (New York Times, August
14, 1991).
· In 1993, the Boston Globe reported that Johnson and Johnson marketed a
list of 5 million names and addresses of elderly incontinent women.
(ACLU Legislative Update, April 1998).
· A few weeks after an Orlando woman had her doctor perform some routine
tests, she received a letter from a drug company promoting a treatment
for her high cholesterol. (Orlando Sentinel, November 30, 1997).
No matter how or why a disclosure of personal information is made, the
harm to the individual is the same. In the face of industry evolution,
the potential benefits of our changing health care system, and the real
risks and occurrences of harm, protection of privacy must be built into
the routine operations of our health care system.
***Privacy is Necessary to Secure Effective, High Quality Health Care***
While privacy is one of the key values on which our society is built, it
is more than an end in itself. It is also necessary for the effective
delivery of health care, both to individuals and to populations. The
market failures caused by the lack of effective privacy protections for
health information are discussed below (see section V.C below). Here, we
discuss how privacy is a necessary foundation for delivery of high
quality health care. In short, the entire health care system is built
upon the willingness of individuals to share the most intimate details
of their lives with their health care providers.
The need for privacy of health information, in particular, has long been
recognized as critical to the delivery of needed medical care. More than
anything else, the relationship between a patient and a clinician is
based on trust. The clinician must trust the patient to give full and
truthful information about their health, symptoms, and medical history.
The patient must trust the clinician to use that information to improve
his or her health and to respect the need to keep such information
private. In order to receive accurate and reliable diagnosis and
treatment, patients must provide health care professionals with
accurate, detailed information about their personal health, behavior,
and other aspects of their lives. The provision of health information
assists in the diagnosis of an illness or condition, in the development
of a treatment plan, and in the evaluation of the effectiveness of that
treatment. In the absence of full and accurate information, there is a
serious risk that the treatment plan will be inappropriate to the
patient's situation.
Patients also benefit from the disclosure of such information to the
health plans that pay for and can help them gain access to needed care.
Health plans and health care clearinghouses rely on the provision of
such information to accurately and promptly process claims for payment
and for other administrative functions that directly affect a patient's
ability to receive needed care, the quality of that care, and the
efficiency with which it is delivered.
Accurate medical records assist communities in identifying troubling
public health trends and in evaluating the effectiveness of various
public health efforts. Accurate information helps public and private
payers make correct payments for care received and lower costs by
identifying fraud. Accurate information provides scientists with data
they need to conduct research. We cannot improve the quality of health
care without information about which treatments work, and which do not.
Individuals cannot be expected to share the most intimate details of
their lives unless they have confidence that such information will not
be used or shared inappropriately. Privacy violations reduce consumers'
trust in the health care system and institutions that serve them. Such a
loss of faith can impede the quality of the health care they receive,
and can harm the financial health of health care institutions.
Patients who are worried about the possible misuse of their information
often take steps to protect their privacy. Recent studies show that a
person who does not believe his privacy will be protected is much less
likely to participate fully in the diagnosis and treatment of his
medical condition. A national survey conducted in January 1999 found
that one in five Americans believe their health information is being
used inappropriately. See California HealthCare Foundation, "National
Survey: Confidentiality of Medical Records"(January, 1999)
(http://www.chcf.org). More troubling is the fact that one in six
Americans reported that they have taken some sort of evasive action to
avoid the inappropriate use of their information by providing inaccurate
information to a health care provider, changing physicians, or avoiding
care altogether. Similarly, in its comments on our proposed rule, the
Association of American Physicians and Surgeons reported 78 percent of
its members reported withholding information from a patient's record due
to privacy concerns and another 87 percent reported having had a patient
request to withhold information from their records. For an example of
this phenomenon in a particular demographic group, see Drs. Bearman,
Ford, and Moody, "Foregone Health Care among Adolescents," *JAMA*, vol.
282, no. 23 (999); Cheng, T.L., et al., "Confidentiality in Health Care:
A Survey of Knowledge, Perceptions, and Attitudes among High School
Students," *JAMA*, vol. 269, no. 11 (1993), at 1404-1407.
The absence of strong national standards for medical privacy has
widespread consequences. Health care professionals who lose the trust of
their patients cannot deliver high-quality care. In 1999, a coalition of
organizations representing various stakeholders including health plans,
physicians, nurses, employers, disability and mental health advocates,
accreditation organizations as well as experts in public health, medical
ethics, information systems, and health policy adopted a set of "best
principles" for health care privacy that are consistent with the
standards we lay out here. (See the Health Privacy Working Group, "Best
Principles for Health Privacy" (July, 1999) (Best Principles Study). The
Best Principles Study states that -
> To protect their privacy and avoid embarrassment, stigma, and
> discrimination, some people withhold information from their health
> care providers, provide inaccurate information, doctor-hop to avoid a
> consolidated medical record, pay out-of-pocket for care that is
> covered by insurance, and - in some cases - avoid care altogether.
Best Principles Study, at 9. In their comments on our proposed rule,
numerous organizations representing health plans, health providers,
employers, and others acknowledged the value of a set of national
privacy standards to the efficient operation of their practices and
businesses.
***Breaches of Health Privacy Harm More than Our Health Status***
A breach of a person's health privacy can have significant implications
well beyond the physical health of that person, including the loss of a
job, alienation of family and friends, the loss of health insurance, and
public humiliation. For example:
· A banker who also sat on a county health board gained access to
patients' records and identified several people with cancer and called
in their mortgages. See the National Law Journal, May 30, 1994.
· A physician was diagnosed with AIDS at the hospital in which he
practiced medicine. His surgical privileges were suspended. See *Estate
of Behringer v. Medical Center at Princeton,* 249 N.J. Super. 597.
· A candidate for Congress nearly saw her campaign derailed when
newspapers published the fact that she had sought psychiatric treatment
after a suicide attempt. See *New York Times*, October 10, 1992, Section
1, page 25.
· A 30-year FBI veteran was put on administrative leave when, without
his permission, his pharmacy released information about his treatment
for depression. (Los Angeles Times, September 1, 1998)
Consumer Reports found that 40 percent of insurers disclose personal
health information to lenders, employers, or marketers without customer
permission. "Who's reading your Medical Records," Consumer Reports,
October 1994, at 628, paraphrasing Sweeny, Latanya, "Weaving Technology
and Policy Together to Maintain Confidentiality," The Journal Of Law
Medicine and Ethics (Summer & Fall 1997) Vol. 25, Numbers 2,3.
The answer to these concerns is not for consumers to withdraw from
society and the health care system, but for society to establish a clear
national legal framework for privacy. By spelling out what is and what
is not an allowable use of a person's identifiable health information,
such standards can help to restore and preserve trust in the health care
system and the individuals and institutions that comprise that system.
As medical historian Paul Starr wrote: "Patients have a strong interest
in preserving the privacy of their personal health information but they
also have an interest in medical research and other efforts by health
care organizations to improve the medical care they receive. As members
of the wider community, they have an interest in public health measures
that require the collection of personal data." (P. Starr, "Health and
the Right to Privacy," American Journal of Law & Medicine, 25, nos. 2&3
(1999) 193-201). The task of society and its government is to create a
balance in which the individual's needs and rights are balanced against
the needs and rights of society as a whole.
National standards for medical privacy must recognize the sometimes
competing goals of improving individual and public health, advancing
scientific knowledge, enforcing the laws of the land, and processing and
paying claims for health care services. This need for balance has been
recognized by many of the experts in this field. Cavoukian and Tapscott
described it this way: "An individual's right to privacy may conflict
with the collective rights of the public. . .We do not suggest that
privacy is an absolute right that reigns supreme over all other rights.
It does not. However, the case for privacy will depend on a number of
factors that can influence the balance -- the level of harm to the
individual involved versus the needs of the public."
***The Federal Response***
There have been numerous federal initiatives aimed at protecting the
privacy of especially sensitive personal information over the past
several years \-- and several decades. While the rules below are likely
the largest single federal initiative to protect privacy, they are by no
means alone in the field. Rather, the rules arrive in the context of
recent legislative activity to grapple with advances in technology, in
addition to an already established body of law granting federal
protections for personal privacy.
In 1965, the House of Representatives created a Special Subcommittee on
Invasion of Privacy. In 1973, this Department's predecessor agency, the
Department of Health, Education and Welfare issued *The Code of Fair
Information Practice Principles* establishing an important baseline for
information privacy in the U.S. These principles formed the basis for
the federal Privacy Act of 1974, which regulates the government's use of
personal information by limiting the disclosure of
personally-identifiable information, allows consumers access to
information about them, requires federal agencies to specify the
purposes for collecting personal information, and provides civil and
criminal penalties for misuse of information.
In the last several years, with the rapid expansion in electronic
technology \-- and accompanying concerns about individual privacy \--
laws, regulations, and legislative proposals have been developed in
areas ranging from financial privacy to genetic privacy to the
safeguarding of children on-line. For example, the Children's Online
Privacy Protection Act was enacted in 1998, providing protection for
children when interacting at web-sites. In February, 2000, President
Clinton signed Executive Order 13145, banning the use of genetic
information in federal hiring and promotion decisions. The landmark
financial modernization bill, signed by the President in November, 1999,
likewise contained financial privacy protections for consumers. There
also has been recent legislative activity on establishing legal
safeguards for the privacy of individuals' Social Security numbers, and
calls for regulation of on-line privacy in general.
These most recent laws, regulations, and legislative proposals come
against the backdrop of decades of privacy-enhancing statutes passed at
the federal level to enact safeguards in fields ranging from government
data files to video rental records. In the 1970s, individual privacy was
paramount in the passage of the Fair Credit Reporting Act (1970), the
Privacy Act (1974), the Family Educational Rights and Privacy Act
(1974), and the Right to Financial Privacy Act (1978). These key laws
were followed in the next decade by another series of statutes,
including the Privacy Protection Act (1980), the Electronic
Communications Privacy Act (1986), the Video Privacy Protection Act
(1988), and the Employee Polygraph Protection Act (1988). In the last
ten years, Congress and the President have passed additional legal
privacy protection through, among others, the Telephone Consumer
Protection Act (1991), the Driver's Privacy Protection Act (1994), the
Telecommunications Act (1996), the Children\'s Online Privacy Protection
Act (1998), the Identity Theft and Assumption Deterrence Act (1998), and
Title V of the Gramm-Leach-Bliley Act (1999) governing financial
privacy.
In 1997, a Presidential advisory commission, the Advisory Commission on
Consumer Protection and Quality in the Health Care Industry, recognized
the need for patient privacy protection in its recommendations for a
Consumer Bill of Rights and Responsibilities (November 1997). In 1997,
Congress enacted the Balanced Budget Act (Public Law 105-34), which
added language to the Social Security Act (18 U.S.C. 1852) to require
Medicare+Choice organizations to establish safeguards for the privacy of
individually identifiable patient information. Similarly, the Veterans
Benefits section of the U.S. Code provides for confidentiality of
medical records in cases involving drug abuse, alcoholism or alcohol
abuse, HIV infection, or sickle cell anemia (38 U.S.C. 7332).
As described in more detail in the next section, Congress recognized the
importance of protecting the privacy of health information by enacting
the Health Insurance Portability and Accountability Act of 1996. The Act
called on Congress to enact a medical privacy statute and asked the
Secretary of Health and Human Services to provide Congress with
recommendations for protecting the confidentiality of health care
information. The Congress further recognized the importance of such
standards by providing the Secretary with authority to promulgate
regulations on health care privacy in the event that lawmakers were
unable to act within the allotted three years.
Finally, it also is important for the U.S. to join the rest of the
developed world in establishing basic medical privacy protections. In
1995, the European Union (EU) adopted a Data Privacy Directive requiring
its 15 member states to adopt consistent privacy laws by October 1998.
The EU urged all other nations to do the same or face the potential loss
of access to information from EU countries.
**Statutory Background**
***History of the Privacy Component of the Administrative Simplification
Provisions***
The Congress addressed the opportunities and challenges presented by the
rapid evolution of health information systems in the Health Insurance
Portability and Accountability Act of 1996 (HIPAA), Public Law 104-191,
which was enacted on August 21, 1996. Sections 261 through 264 of HIPAA
are known as the Administrative Simplification provisions. The major
part of these Administrative Simplification provisions are found at
section 262 of HIPAA, which enacted a new part C of title XI of the
Social Security Act (hereinafter we refer to the Social Security Act as
the "Act" and we refer to all other laws cited in this document by their
names).
In section 262, Congress primarily sought to facilitate the efficiencies
and cost savings for the health care industry that the increasing use of
electronic technology affords. Thus, section 262 directs HHS to issue
standards to facilitate the electronic exchange of information with
respect to financial and administrative transactions carried out by
health plans, health care clearinghouses, and health care providers who
transmit information electronically in connection with such
transactions.
At the same time, Congress recognized the challenges to the
confidentiality of health information presented by the increasing
complexity of the health care industry, and by advances in health
information systems technology and communications. Section 262 thus also
directs HHS to develop standards to protect the security, including the
confidentiality and integrity, of health information.
Congress has long recognized the need for protection of health
information privacy generally, as well as the privacy implications of
electronic data interchange and the increased ease of transmitting and
sharing individually identifiable health information. Congress has been
working on broad health privacy legislation for many years and, as
evidenced by the self-imposed three year deadline included in the HIPAA,
discussed below, believes it can and should enact such legislation. A
significant portion of the first Administrative Simplification section
debated on the floor of the Senate in 1994 (as part of the Health
Security Act) consisted of privacy provisions. In the version of the
HIPAA passed by the House of Representatives in 1996, the requirement
for the issuance of privacy standards was located in the same section of
the bill (section 1173) as the requirements for issuance of the other
HIPAA Administrative Simplification standards. In conference, the
requirement for privacy standards was moved to a separate section in the
same part of HIPAA, section 264, so that Congress could link the Privacy
standards to Congressional action.
Section 264(b) requires the Secretary of HHS to develop and submit to
the Congress recommendations for:
· The rights that an individual who is a subject of individually
identifiable health information should have.
· The procedures that should be established for the exercise of such
rights.
· The uses and disclosures of such information that should be authorized
or required.
The Secretary's Recommendations were submitted to the Congress on
September 11, 1997. Section 264(c)(1) provides that:
> If legislation governing standards with respect to the privacy of
> individually identifiable health information transmitted in connection
> with the transactions described in section 1173(a) of the Social
> Security Act (as added by section 262) is not enacted by \[August 21,
> 1999\], the Secretary of Health and Human Services shall promulgate
> final regulations containing such standards not later than \[February
> 21, 2000\]. Such regulations shall address at least the subjects
> described in subsection (b).
As the Congress did not enact legislation regarding the privacy of
individually identifiable health information prior to August 21, 1999,
HHS published proposed rules setting forth such standards on November 3,
1999, 64 FR 59918, and is now publishing the mandated final regulation.
These privacy standards have been, and continue to be, an integral part
of the suite of Administrative Simplification standards intended to
simplify and improve the efficiency of the administration of our health
care system.
***The Administrative Simplification Provisions, and Regulatory Actions
To Date***
Part C of title XI consists of sections 1171 through 1179 of the Act.
These sections define various terms and impose several requirements on
HHS, health plans, health care clearinghouses, and health care providers
who conduct the identified transactions electronically.
The first section, section 1171 of the Act, establishes definitions for
purposes of part C of title XI for the following terms: code set, health
care clearinghouse, health care provider, health information, health
plan, individually identifiable health information, standard, and
standard setting organization.
Section 1172 of the Act makes the standard adopted under part C
applicable to: (1) health plans, (2) health care clearinghouses, and (3)
health care providers who transmit health information in electronic form
in connection with transactions referred to in section 1173(a)(1) of the
Act (hereinafter referred to as the "covered entities"). Section 1172
also contains procedural requirements concerning the adoption of
standards, including the role of standard setting organizations and
required consultations, summarized in subsection F and section VI,
below.
Section 1173 of the Act requires the Secretary to adopt standards for
transactions, and data elements for such transactions, to enable health
information to be exchanged electronically. Section 1173(a)(1) describes
the transactions to be promulgated, which include the nine transactions
listed in section 1173(a)(2) and other transactions determined
appropriate by the Secretary. The remainder of section 1173 sets out
requirements for the specific standards the Secretary is to adopt:
unique health identifiers, code sets, security standards, electronic
signatures, and transfer of information among health plans. Of
particular relevance to this proposed rule is section 1173(d), the
security standard provision. The security standard authority applies to
both the transmission and the maintenance of health information, and
requires the entities described in section 1172(a) to maintain
reasonable and appropriate safeguards to ensure the integrity and
confidentiality of the information, protect against reasonably
anticipated threats or hazards to the security or integrity of the
information or unauthorized uses or disclosures of the information, and
to ensure compliance with part C by the entity's officers and employees.
In section 1174 of the Act, the Secretary is required to establish
standards for all of the above transactions, except claims attachments,
by February 21, 1998. The statutory deadline for the claims attachment
standard is February 21, 1999.
As noted above, a proposed rule for most of the transactions was
published on May 7, 1998, and the final Transactions Rule was
promulgated on August 17, 2000. The delay was caused by the deliberate
consensus building process, working with industry, and the large number
of comments received (about 17,000). In addition, in a series of Notices
of Proposed Rulemakings, HHS published other proposed standards, as
described above. Each of these steps was taken in concert with the
affected professions and industries, to ensure rapid adoption and
compliance.
Generally, after a standard is established, it may not be changed during
the first year after adoption except for changes that are necessary to
permit compliance with the standard. Modifications to any of these
standards may be made after the first year, but not more frequently than
once every 12 months. The Secretary also must ensure that procedures
exist for the routine maintenance, testing, enhancement, and expansion
of code sets and that there are crosswalks from prior versions.
Section 1175 of the Act prohibits health plans from refusing to process,
or from delaying processing of, a transaction that is presented in
standard format. It also establishes a timetable for compliance: each
person to whom a standard or implementation specification applies is
required to comply with the standard within 24 months (or 36 months for
small health plans) of its adoption. A health plan or other entity may,
of course, comply voluntarily before the effective date. The section
also provides that compliance with modifications to standards or
implementation specifications must be accomplished by a date designated
by the Secretary, which date may not be earlier than 180 days from the
notice of change.
Section 1176 of the Act establishes civil monetary penalties for
violation of the provisions in part C of title XI of the Act, subject to
several limitations. Penalties may not be more than \$100 per person per
violation and not more than \$25,000 per person for violations of a
single standard for a calendar year. The procedural provisions of
section 1128A of the Act apply to actions taken to obtain civil monetary
penalties under this section.
Section 1177 establishes penalties for any person that knowingly uses a
unique health identifier, or obtains or discloses individually
identifiable health information in violation of the part. The penalties
include: (1) a fine of not more than \$50,000 and/or imprisonment of not
more than 1 year; (2) if the offense is "under false pretenses," a fine
of not more than \$100,000 and/or imprisonment of not more than 5 years;
and (3) if the offense is with intent to sell, transfer, or use
individually identifiable health information for commercial advantage,
personal gain, or malicious harm, a fine of not more than \$250,000
and/or imprisonment of not more than 10 years.
Under section 1178 of the Act, the requirements of part C, as well as
any standards or implementation specifications adopted thereunder,
preempt contrary state law. There are three exceptions to this general
rule of preemption: state laws that the Secretary determines are
necessary for certain purposes set forth in the statute; state laws that
the Secretary determines address controlled substances; and state laws
relating to the privacy of individually identifiable health information
that are contrary to and more stringent than the federal requirements.
There also are certain areas of state law (generally relating to public
health and oversight of health plans) that are explicitly carved out of
the general rule of preemption and addressed separately.
Section 1179 of the Act makes the above provisions inapplicable to
financial institutions (as defined by section 1101 of the Right to
Financial Privacy Act of 1978) or anyone acting on behalf of a financial
institution when "authorizing, processing, clearing, settling, billing,
transferring, reconciling, or collecting payments for a financial
institution."
Finally, as explained above, section 264 requires the Secretary to issue
standards with respect to the privacy of individually identifiable
health information. Section 264 also contains a preemption provision
that provides that contrary provisions of state laws that are more
stringent than the federal standards, requirements, or implementation
specifications will not be preempted.
**Our Approach to This Regulation**
***Balance***
A number of facts informed our approach to this regulation. Determining
the best approach to protecting privacy depends on where we start, both
with respect to existing legal expectations and also with respect to the
expectations of individuals, health care providers, payers and other
stakeholders. From the comments we received on the proposed rule, and
from the extensive fact finding in which we engaged, a confused picture
developed. We learned that stakeholders in the system have very
different ideas about the extent and nature of the privacy protections
that exist today, and very different ideas about appropriate uses of
health information. This leads us to seek to balance the views of the
different stakeholders, weighing the varying interests on each
particular issue with a view to creating balance in the regulation as a
whole.
For example, we received hundreds of comments explaining the legitimacy
of various uses and disclosure of health information. We agree that many
uses and disclosures of health information are "legitimate," but that is
not the end of the inquiry. Neither privacy, nor the important social
goals described by the commenters, are absolutes. In this regulation, we
are asking health providers and institutions to add privacy into the
balance, and we are asking individuals to add social goals into the
balance.
The vast difference among regulated entities also informed our approach
in significant ways. This regulation applies to solo practitioners, and
multi-national health plans. It applies to pharmacies and information
clearinghouses. These entities differ not only in the nature and scope
of their businesses, but also in the degree of sophistication of their
information systems and information needs. We therefore designed the
core requirements of this regulation to be flexible and "scalable." This
is reflected throughout the rule, particularly in the implementation
specifications for making the 'minimum necessary' uses and disclosures,
and in the administrative policies and procedures requirements.
We also are informed by the rapid evolution in industry organization and
practice. Our goal is to enhance privacy protections in ways that do not
impede this evolution. For example, we received many comments asking us
to assign a status under this regulation based on a label or title. For
example, many commenters asked whether "disease management" is a "health
care operation," or whether a "pharmacy benefits manager" is a covered
entity. From the comments and our fact-finding, however, we learned that
these terms do not have consistent meanings today; rather, they
encompass diverse activities and information practices. Further, the
statutory definitions of key terms such as 'health care provider' and
'health care clearinghouse' describe functions, not specific types of
persons or entities. To respect both the Congressional approach and
industry evolution, we design the rule to follow activities and
functions, not titles and labels.
Similarly, many comments asked whether a particular person would be a
"business associate" under the rule, based on the nature of the person's
business. Whether a business associate arrangement must exist under the
rule, however, depends on the relationship between the entities and the
services being performed, not on the type of persons or companies
involved.
Our approach is also significantly informed by the limited jurisdiction
conferred by HIPAA. In large part, we have the authority to regulate
those who create and disclose health information, but not many key
stakeholders who receive that health information from a covered entity.
Again, this led us to look to the balance between the burden on covered
entities and need to protect privacy in determining our approach to such
disclosures. In some instances, we approach this dilemma by requiring
covered entities to obtain a representation or documentation of purpose
from the person requesting information. While there would be advantages
to legislation regulating such third persons directly, we cannot justify
abandoning any effort to enhance privacy.
It also became clear from the comments and our fact-finding that we have
expectations as a society that conflict with individuals' views about
the privacy of health information. We expect the health care industry to
develop treatment protocols for the delivery of high quality health
care. We expect insurers and the government to reduce fraud in the
health care system. We expect to be protected from epidemics, and we
expect medical research to produce miracles. We expect the police to
apprehend suspects, and we expect to pay for our care by credit card.
All of these activities involve disclosure of health information to
someone other than our physician.
While most commenters support the concept of health privacy in general,
many go on to describe activities that depend on the disclosure of
health information and urge us to protect those information flows.
Section III, in which we respond to the comments, describes our approach
to balancing these conflicting expectations.
Finally, we note that many commenters were concerned that this
regulation would lessen current privacy protections. It is important to
understand this regulation as a new federal floor of privacy protections
that does not disturb more protective rules or practices. Nor do we
intend this regulation to describe a set of a "best practices." Rather,
this regulation describes a set of basic consumer protections and a
series of regulatory permissions for use and disclosure of health
information. The protections are a mandatory floor, which other
governments and any covered entity may exceed. The permissions are just
that, permissive \-- the only disclosures of health information required
under this rule are to the individual who is the subject of the
information or to the Secretary for enforcement of this rule. We expect
covered entities to rely on their professional ethics and use their own
best judgements in deciding which of these permissions they will use.
***Combining Workability with New Protections***
This rule establishes national minimum standards to protect the privacy
of individually identifiable health information in prescribed settings.
The standards address the many varied uses and disclosures of
individually identifiable health information by health plans, certain
health care providers and health care clearinghouses. The complexity of
the standards reflects the complexity of the health care marketplace to
which they apply and the variety of subjects that must be addressed. The
rule applies not only to the core health care functions relating to
treating patients and reimbursing health care providers, but also to
activities that range from when individually identifiable health
information should be available for research without authorization to
whether a health care provider may release protected health information
about a patient for law enforcement purposes. The number of discrete
provisions, and the number of commenters requesting that the rule
recognize particular activities, is evidence of the significant role
that individually identifiable health information plays in many vital
public and private concerns.
At the same time, the large number of comments from individuals and
groups representing individuals demonstrate the deep public concern
about the need to protect the privacy of individually identifiable
health information. The discussion above is rich with evidence about the
importance of protecting privacy and the potential adverse consequences
to individuals and their health if such protections are not extended.
The need to balance these competing interests -- the necessity of
protecting privacy and the public interest in using identifiable health
information for vital public and private purposes -- in a way that is
also workable for the varied stakeholders causes much of the complexity
in the rule. Achieving workability without sacrificing protection means
some level of complexity, because the rule must track current practices
and current practices are complex. We believe that the complexity
entailed in reflecting those practices is better public policy than a
perhaps simpler rule that disturbed important information flows.
Although the rule taken as a whole is complicated, we believe that the
standards are much less complex as they apply to particular actors. What
a health plan or covered health care provider must do to comply with the
rule is clear, and the two-year delayed implementation provides a
substantial period for trade and professional associations, working with
their members, to assess the effects of the standards and develop
policies and procedures to come into compliance with them. For
individuals, the system may look substantially more complicated because,
for the first time, we are ensuring that individuals will receive
detailed information about how their individually identifiable health
information may be used and disclosed. We also provide individuals with
additional tools to exercise some control over those uses and
disclosures. The additional complexity for individuals is the price of
expanding their understanding and their rights.
The Department will work actively with members of the health care
industry, representatives of individuals and others during the
implementation of this rule. As stated elsewhere, our focus is to
develop broader understanding of how the standards work and to
facilitate compliance. We intend to provide guidance and check lists as
appropriate, particularly to small businesses affected by the rule. We
also will work with trade and professional associations to develop
guidance and provide technical assistance so that they can help their
members understand and comply with these new standards. If this effort
is to succeed, the various public and private participants inside and
outside of the health care system will need to work together to assure
that the competing interests described above remain in balance and that
an ethic that recognizes their importance is established.
***Enforcement***
The Secretary has decided to delegate her responsibility under this
regulation to the Department\'s Office for Civil Rights (OCR). OCR will
be responsible for enforcement of this regulation. Enforcement
activities will include working with covered entities to secure
voluntary compliance through the provision of technical assistance and
other means; responding to questions regarding the regulation and
providing interpretations and guidance; responding to state requests for
exception determinations; investigating complaints and conducting
compliance reviews; and, where voluntary compliance cannot be achieved,
seeking civil monetary penalties and making referrals for criminal
prosecution.
***Consent***
*Current law and practice*
The issue that drew the most comments overall is the question of when
individuals' permission should be obtained prior to use or disclosure of
their health information. We learned that individuals' views and the
legal view of 'consent' for use and disclosure of health information are
different and in many ways incompatible. Comments from individuals
revealed a common belief that, today, people must be asked permission
for each and every release of their health information. Many believe
that they "own" the health records about them. However, current law and
practice do not support this view.
Current privacy protection practices are determined in part by the
standards and practices that the professional associations have adopted
for their members. Professional codes of conduct for ethical behavior
generally can be found as opinions and guidelines developed by
organizations such as the American Medical Association, American Nurses'
Association, the American Hospital Association, the American Psychiatric
Association, and the American Dental Association. These are generally
issued though an organization's governing body. The codes do not have
the force of law, but providers often recognize them as binding rules.
Our review of professional codes of ethics revealed partial, but loose,
support for individuals' expectations of privacy. For example, the
American Medical Association's Code of Ethics recognizes both the right
to privacy and the need to balance it against societal needs. It reads
in part: "conflicts between a patient\'s right to privacy and a third
party\'s need to know should be resolved in favor of the patient, except
where that would result in serious health hazard or harm to the patient
or others." AMA Policy No 140.989. See also, Mass. Med. Society,
*Patient Privacy and Confidentiality* (1996), at 14:
> Patients enter treatment with the expectation that the information
> they share will be used exclusively for their clinical care.
> Protection of our patients' confidences is an integral part of our
> ethical training.
These codes, however, do not apply to many who obtain information from
providers. For example, the National Association of Insurance
Commissioners model code, "Health Information Privacy Model Act"(1998),
applies to insurers but has not been widely adopted. Codes of ethics are
also often written in general terms that do not provide guidance to
providers and plans confronted with specific questions about protecting
health information.
State laws are a crucial means of protecting health information, and
today state laws vary dramatically. Some states defer to the
professional codes of conduct, others provide general guidelines for
privacy protection, and others provide detailed requirements relating to
the protection of information relating to specific diseases or to entire
classes of information. Cf., D.C. Code Ann. §2-3305.14(16) and Haw. Rev.
Stat. 323C, et seq. In general, state statutes and case law addressing
consent to use of health information do not support the public's strong
expectations regarding consent for use and disclosure of health
information. Only about half of the states have a general law that
prohibits disclosure of health information without patient authorization
and some of these are limited to hospital medical records.
Even when a state has a law limiting disclosure of health information,
the law typically exempts many types of disclosure from the
authorization requirement. Georgetown Study, Key Findings; Lisa Dahm,
"50-State Survey on Patient Health Care Record Confidentiality,"
American Health Lawyers Association (1999). One of the most common
exemptions from a consent requirement is disclosure of health
information for treatment and related purposes. See, e.g., Wis.Stat. §
164.82; Cal. Civ. Code 56:10; National Conference of Commissioners on
Uniform State Laws, [Uniform Health-Care Information Act, Minneapolis,
MN, August 9, 1985]{.underline}. Some states include utilization review
and similar activities in the exemption. See, e.g., Ariz. Rev. Stat. §
12-2294. Another common exemption from consent is disclosure of health
information for purposes of obtaining payment. See, e.g., Fla. Stat.
Ann. § 455.667; Tex. Rev. Civ. Stat. Art. 4495, § 5.08(h); 410 Ill.
Comp. Stat. 50/3(d). Other common exemptions include disclosures for
emergency care, and for disclosures to government authorities (such as a
department of public health). See Gostin Study, at 1-2; 48-51. Some
states also exempt disclosure to law enforcement officials (e.g.,
Massachusetts, Ch. 254 of the Acts of 2000), coroners (Wis. Stat. §
146.82), and for such purposes as business operations, oversight,
research, and for directory information. Under these exceptions,
providers can disclose health information without any consent or
authorization from the patient. When states require specific, written
authorization for disclosure of health information, the authorizations
are usually only required for certain types of disclosures or certain
types of information, and one authorization can suffice for multiple
disclosures over time.
The states that do not have laws prohibiting disclosure of health
information impose no specific requirements for consent or authorization
prior to release of health information. There may, however, be other
controls on release of health information. For instance, most health
care professional licensure laws include general prohibitions against
'breaches of confidentiality.' In some states, patients can hold
providers accountable for some unauthorized disclosures of health
information about them under various tort theories, such as invasion of
privacy and breach of a confidential relationship. While these controls
may affect certain disclosure practices, they do not amount to a
requirement that a provider obtain authorization for each and every
disclosure of health information.
Further, patients are typically not given a choice; they must sign the
"consent" in order to receive care. As the Georgetown Study points out,
"In effect, the authorization may function more as a waiver of consent
\-- the patient may not have an opportunity to object to any
disclosures." Georgetown Study, Key Findings.
In the many cases where neither state law nor professional ethical
standards exist, the only privacy protection individuals have is limited
to the policies and procedures that the health care entity adopts.
Corporate privacy policies are often proprietary. While several
professional associations attached their privacy principles to their
comments, health care entities did not. One study we found indicates
that these policies are not adequate to provide appropriate privacy
protections and alleviate public concern. The Committee on Maintaining
Privacy and Security in Health Care Applications of the National
Information Infrastructure made multiple findings highlighting the need
for heightened privacy and security, including:
> Finding 5: The greatest concerns regarding the privacy of health
> information derives from widespread sharing of patient information
> throughout the health care industry and the inadequate federal and
> state regulatory framework for systematic protection of health
> information.
[For the Record: Protecting Electronic Health Information]{.underline},
National Academy Press, Washington DC, 1997.
*Consent under this rule*
In the NPRM, we expressed concern about the coercive nature of consents
currently obtained by providers and plans relating to the use and
disclosure of health information. We also expressed concern about the
lack of information available to the patient during the process, and the
fact that patients often were not even presented with a copy of the
consent that they have signed. These and other concerns led us to
propose that covered entities be permitted to use and disclose protected
health information for treatment, payment and health care operations
without the express consent of the subject individual.
In the final rule, we alter our proposed approach and require, in most
instances, that health care providers who have a direct treatment
relationship with their patients obtain the consent of their patients to
use and disclose protected health information for treatment, payment and
health care operations. While our concern about the coerced nature of
these consents remains, many comments that we received from individuals,
health care professionals, and organizations that represent them
indicated that both patients and practitioners believe that patient
consent is an important part of the current health care system and
should be retained.
Providing and obtaining consent clearly has meaning for patients and
practitioners. Patient advocates argued that the act of signing focuses
the patient's attention on the substance of the transaction and provides
an opportunity for the patient to ask questions about or seek
modifications in the provider's practices. Many health care
practitioners and their representatives argued that seeking a patient's
consent to disclose confidential information is an ethical requirement
that strengthens the physician-patient relationship. Both practitioners
and patients argued that the approach proposed in the NPRM actually
reduced patient protections by eliminating the opportunity for patients
to agree to how their confidential information would be used and
disclosed.
While we believe that the provisions in the NPRM that provided for
detailed notice to the patient and the right to request restrictions
would have provided an opportunity for patients and providers to discuss
and negotiate over information practices, it is clear from the comments
that many practitioners and patients believe the approach proposed in
the NPRM is not an acceptable replacement for the patient providing
consent. To encourage a more informed interaction between the patient
and the provider during the consent process, the final rule requires
that the consent form that is presented to the patient be accompanied by
a notice that contains a detailed discussion of the provider's health
information practices. The consent form must reference the notice and
also must inform the patient that he or she has the right to ask the
health care provider to request certain restrictions as to how the
information of the patient will be used or disclosed. Our goal is to
provide an opportunity for and to encourage more informed discussions
between patients and providers about how protected health information
will be used and disclosed within the health care system.
We considered and rejected other approaches to consent, including those
that involved individuals providing a global consent to uses and
disclosures when they sign up for insurance. While such approaches do
require the patient to provide consent, it is not really an informed one
or a voluntary one. It is also unclear how a consent obtained at the
enrollment stage would be meaningfully communicated to the many
providers who create the health information in the first instance. The
ability to negotiate restrictions or otherwise have a meaningful
discussion with the front-line provider would be independent of, and
potentially in conflict with, the consent obtained at the enrollment
stage. In addition, employers today are moving toward simplified
enrollment forms, using check-off boxes and similar devices. The
opportunity for any meaningful consideration or interaction at that
point is slight. For these and other reasons, we decided that, to the
extent a consent can accomplish the goal sought by individuals and
providers, it must be focused on the direct interaction between an
individual and provider.
The comments and fact-finding indicate that our approach will not
significantly change the administrative aspect of consent as it exists
today. Most direct treatment providers today obtain some type of consent
for some uses and disclosures of health information. Our regulation will
ensure that those consents cover the routine uses and disclosures of
health information, and provide an opportunity for individuals to obtain
further information and have further discussion, should they so desire.
***Administrative Costs***
Section 1172(b) of the Act provides that \"\[a\]ny standard adopted
under this part \[part C of title XI of the Act\] shall be consistent
with the objective of reducing the administrative costs of providing and
paying for health care.\" The privacy and security standards are the
platform on which the remaining standards rest; indeed, the design of
part C of title XI makes clear that the various standards are intended
to function together. Thus, the costs of privacy and security are
properly attributable to the suite of administrative simplification
regulations as a whole, and the cost savings realized should likewise be
calculated on an aggregated basis, as is done below. Because the privacy
standards are an integral and necessary part of the suite of
Administrative Simplification standards, and because that suite of
standards will result in substantial administrative cost savings, the
privacy standards are "consistent with the objective of reducing the
administrative costs of providing and paying for health care.\"
As more fully discussed in the Regulatory Impact and Regulatory
Flexibility analyses below, we recognize that these privacy standards
will entail substantial initial and ongoing administrative costs for
entities subject to the rules. It is also the case that the privacy
standards, like the security standards authorized by section 1173(d) of
the Act, are necessitated by the technological advances in information
exchange that the remaining Administrative Simplification standards
facilitate for the health care industry. The same technological advances
that make possible enormous administrative cost savings for the industry
as a whole have also made it possible to breach the security and privacy
of health information on a scale that was previously inconceivable. The
Congress recognized that adequate protection of the security and privacy
of health information is a [sine qua non]{.underline} of the increased
efficiency of information exchange brought about by the electronic
revolution, by enacting the security and privacy provisions of the law.
Thus, as a matter of policy as well as law, the administrative standards
should be viewed as a whole in determining whether they are \"consistent
with\" the objective of reducing administrative costs.
***Consultations***
The Congress required the Secretary to consult with specified groups in
developing the standards under sections 262 and 264. Section 264(d) of
HIPAA specifically requires the Secretary to consult with the National
Committee on Vital and Health Statistics (NCVHS) and the Attorney
General in carrying out her responsibilities under the section. Section
1172(b)(3) of the Act, which was enacted by section 262, requires that,
in developing a standard under section 1172 for which no standard
setting organization has already developed a standard, the Secretary
must, before adopting the standard, consult with the National Uniform
Billing Committee (NUBC), the National Uniform Claim Committee (NUCC),
the Workgroup for Electronic Data Interchange (WEDI), and the American
Dental Association (ADA). Section 1172(f) also requires the Secretary to
rely on the recommendations of the NCVHS and consult with other
appropriate federal and state agencies and private organizations.
We engaged in the required consultations including the Attorney General,
NUBC, NUCC, WEDI and the ADA. We consulted with the NCVHS in developing
the Recommendations, upon which this proposed rule is based. We
continued to consult with this committee by requesting the committee to
review the proposed rule and provide comments prior to its publication,
and by reviewing transcripts of its public meeting on privacy and
related topics. We consulted with representatives of the National
Congress of American Indians, the National Indian Health Board, and the
self governance tribes. We also met with representatives of the National
Governors' Association, the National Conference of State Legislatures,
the National Association of Public Health Statistics and Information
Systems, and a number of other state organizations to discuss the
framework for the proposed rule, issues of special interests to the
states, and the process for providing comments on the proposed rule.
Many of these groups submitted comments to the proposed rule, and those
were taken into account in developing the final regulation.
In addition to the required consultations, we met with numerous
individuals, entities, and agencies regarding the regulation, with the
goal of making these standards as compatible as possible with current
business practices, while still enhancing privacy protection. During the
open comment period, we met with dozens of groups.
Relevant federal agencies participated in the interagency working groups
that developed the NPRM and the final regulation, with additional
representatives from all operating divisions and many staff offices of
HHS. The following federal agencies and offices were represented on the
interagency working groups: the Department of Justice, the Department of
Commerce, the Social Security Administration, the Department of Defense,
the Department of Veterans Affairs, the Department of Labor, the Office
of Personnel Management, and the Office of Management and Budget.
1. SECTION-BY-SECTION DESCRIPTION OF RULE PROVISIONS
**PART 160 -- SUBPART A -- GENERAL PROVISIONS**
Part 160 applies to all the administrative simplification regulations.
We include the entire regulation text in this rule, not just those
provisions relevant to this Privacy regulation. For example, the term
"trading partner" is defined here, for use in the Health Insurance
Reform: Standards for Electronic Transactions regulation, published at
65 FR 50312, August 17, 2000 (the "Transactions Rule"). It does not
appear in the remainder of this Privacy rule.
Sections 160.101 and 160.104 of Subpart A of part 160 were promulgated
in the Transactions Rule, and we do not change them here. We do,
however, make changes and additions to § 160.103, the definitions
section of Subpart A. The definitions that were promulgated in the
Transactions Rule and that remain unchanged here are: Act, ANSI, covered
entity, compliance date, group health plan, HCFA, HHS, health care
provider, health information, health insurance issuer, health
maintenance organization, modify or modification, Secretary, small
health plan, standard setting organization, and trading partner
agreement. Of these terms, we discuss further in this preamble only
covered entity and health care provider.
**SECTION 160.102 - APPLICABILITY**
The proposed rule stated that the subchapter (Parts 160, 162, and 164)
applies to the entities set out at section 1172(a) of the Act: health
plans, health care clearinghouses, and health care providers who
transmit any health information in electronic form in connection with a
transaction covered by the subchapter. The final rule adds a provision
(§ 160.102(b)) clarifying that to the extent required under section
201(a)(5) of HIPAA, nothing in the subchapter is to be construed to
diminish the authority of any Inspector General. This was done in
response to comment, to clarify that the administrative simplification
rules, including the rules below, do not conflict with the cited
provision of HIPAA.
**SECTION 160.103 - DEFINITIONS**
***Business Associate.***
We proposed to define the term "business partner" to mean, with respect
to a covered entity, a person to whom the covered entity discloses
protected health information so that the person can carry out, assist
with the performance of, or perform on behalf of, a function or activity
for the covered entity. "Business partner" would have included
contractors or other persons who receive protected health information
from the covered entity (or from another business partner of the covered
entity) for the purposes described in the previous sentence, including
lawyers, auditors, consultants, third-party administrators, health care
clearinghouses, data processing firms, billing firms, and other covered
entities. "Business partner" would have excluded persons who are within
the covered entity's workforce, as defined in this section.
This rule reflects the change in the name from "business partner" to
"business associate," included in the Transactions Rule.
In the final rule, we change the definition of "business associate" to
clarify the circumstances in which a person is acting as a business
associate of a covered entity. The changes clarify that the business
association occurs when the right to use or disclose the protected
health information belongs to the covered entity, and another person is
using or disclosing the protected health information (or creating,
obtaining and using the protected health information) to perform a
function or activity on behalf of the covered entity. We also clarify
that providing specified services to a covered entity creates a business
associate relationship if the provision of the service involves the
disclosure of protected health information to the service provider. In
the proposed rule, we had included a list of persons that were
considered to be business partners of the covered entity. However, it is
not always clear whether the provision of certain services to a covered
entity is "for" the covered entity or whether the service provider is
acting "on behalf of" the covered entity. For example, a person
providing management consulting services may need protected health
information to perform those services, but may not be acting "on behalf
of" the covered entity. This we believe led to some general confusion
among the commenters as to whether certain arrangements fell within the
definition of a business partner under the proposed rule. The
construction of the final rule clarifies that the provision of the
specified services gives rise to a business associate relationship if
the performance of the service involves disclosure of protected health
information by the covered entity to the business associate. The
specified services are legal, actuarial, accounting, consulting,
management, administrative accreditation, data aggregation, and
financial services. The list is intended to include the types of
services commonly provided to covered entities where the disclosure of
protected health information is routine to the performance of the
service, but when the person providing the service may not always be
acting "on behalf of" the covered entity.
In the final rule, we reorganize the list of examples of the functions
or activities that may be conducted by business associates. We place a
part of the proposed list in the portion of the definition that
addresses when a person is providing functions or activities for or on
behalf of a covered entity. We place other parts of the list in the
portion of the definition that specifies the services that give rise to
a business associate relationship, as discussed above. We also have
expanded the examples to provide additional guidance and in response to
questions from commenters.
We have added data aggregation to the list of services that give rise to
a business associate relationship. Data aggregation, as discussed below,
is where a business associate in its capacity as the business associate
of one covered entity combines the protected health information of such
covered entity with protected health information received by the
business associate in its capacity as a business associate of another
covered entity in order to permit the creation of data for analyses that
relate to the health care operations of the respective covered entities.
Adding this service to the business associate definition clarifies the
ability of covered entities to contract with business associates to
undertake quality assurance and comparative analyses that involve the
protected health information of more than one contracting covered
entity. For example, a state hospital association could act as a
business associate of its member hospitals and could combine data
provided to it to assist the hospitals in evaluating their relative
performance in areas such as quality, efficiency and other patient care
issues. As discussed below, however, the business associate contracts of
each of the hospitals would have to permit the activity, and the
protected health information of one hospital could not be disclosed to
another hospital unless the disclosure is otherwise permitted by the
rule.
The definition also states that a business associate may be a covered
entity, and that business associate excludes a person who is part of the
covered entity's workforce.
We also clarify in the final rule that a business association arises
with respect to a covered entity when a person performs functions or
activities on behalf of, or provides the specified services to or for,
an organized health care health care arrangement in which the covered
entity participates. This change recognizes that where covered entities
participate in certain joint arrangements for the financing or delivery
of health care, they often contract with persons to perform functions or
to provide services for the joint arrangement. This change is consistent
with changes made in the final rule to the definition of health care
operations, which permits covered entities to use or disclose protected
health information not only for their own health care operations, but
also for the operations of an organized health care arrangement in which
the covered entity participates. By making these changes, we avoid the
confusion that could arise in trying to determine whether a function or
activity is being provided on behalf of (or if a specified service is
being provided to or for) a covered entity or on behalf of or for a
joint enterprise involving the covered entity. The change clarifies that
in either instance the person performing the function or activity (or
providing the specified service) is a business associate.
We also add language to the final rule that clarifies that the mere fact
that two covered entities participate in an organized health care
arrangement does not make either of the covered entities a business
associate of the other covered entity. The fact that the entities
participate in joint health care operations or other joint activities,
or pursue common goals through a joint activity, does not mean that one
party is performing a function or activity on behalf of the other party
(or is providing a specified services to or for the other party).
In general under this provision, actions relating to the protected
health information of an individual undertaken by a business associate
are considered, for the purposes of this rule, to be actions of the
covered entity, although the covered entity is subject to sanctions
under this rule only if it has knowledge of the wrongful activity and
fails to take the required actions to address the wrongdoing. For
example, if a business associate maintains the medical records or
manages the claims system of a covered entity, the covered entity is
considered to have protected health information and the covered entity
must ensure that individuals who are the subject of the information can
have access to it pursuant to § 164.524.
The business associate relationship does not describe all relationships
between covered entities and other persons or organizations. While we
permit uses or disclosures of protected health information for a variety
of purposes, business associate contracts or other arrangements are only
required for those cases in which the covered entity is disclosing
information to someone or some organization that will use the
information on behalf of the covered entity, when the other person will
be creating or obtaining protected health information on behalf of the
covered entity, or when the business associate is providing the
specified services to the covered entity and the provision of those
services involves the disclosure of protected health information by the
covered entity to the business associate. For example, when a health
care provider discloses protected health information to health plans for
payment purposes, no business associate relationship is established.
While the covered provider may have an agreement to accept discounted
fees as reimbursement for services provided to health plan members,
neither entity is acting on behalf of or providing a service to the
other.
Similarly, where a physician or other provider has staff privileges at
an institution, neither party to the relationship is a business
associate based solely on the staff privileges because neither party is
providing functions or activities on behalf of the other. However, if a
party provides services to or for the other, such as where a hospital
provides billing services for physicians with staff privileges, a
business associate relationship may arise with respect to those
services. Likewise, where a group health plan purchases insurance or
coverage from a health insurance issuer or HMO, the provision of
insurance by the health insurance issuer or HMO to the group health plan
does not make the issuer a business associate. In such case, the
activities of the health insurance issuer or HMO are on their own behalf
and not on the behalf of the group health plan. We note that where a
group health plan contracts with a health insurance issuer or HMO to
perform functions or activities or to provide services that are in
addition to or not directly related to the provision of insurance, the
health insurance issuer or HMO may be a business associate with respect
to those additional functions, activities or services. We also note that
covered entities are permitted to disclose protected health information
to oversight agencies that act to provide oversight of federal programs
and the health care system. These oversight agencies are not performing
services for or on behalf of the covered entities and so are not
business associates of the covered entities. Therefore HCFA, the federal
agency that administers Medicare, is not required to enter into a
business associate contract in order to disclose protected health
information to the Department\'s Office of Inspector General.
We do not require a covered entity to enter into a business associate
contract with a person or organization that acts merely as a conduit for
protected health information (e.g., the US Postal Service, certain
private couriers and their electronic equivalents). A conduit transports
information but does not access it other than on a random or infrequent
basis as may be necessary for the performance of the transportation
service, or as required by law. Since no disclosure is intended by the
covered entity and the probability of exposure of any particular
protected health information to a conduit is very small, we do not
consider a conduit to be a business associate of the covered entity.
We do not consider a financial institution to be acting on behalf of a
covered entity, and therefore no business associate contract is
required, when it processes consumer-conducted financial transactions by
debit, credit or other payment card, clears checks, initiates or
processes electronic funds transfers, or conducts any other activity
that directly facilitates or effects the transfer of funds for
compensation for health care. A typical consumer-conducted payment
transaction is when a consumer pays for health care or health insurance
premiums using a check or credit card. In these cases the identity of
the consumer is always included and some health information (e.g.,
diagnosis or procedure) may be implied through the name of the health
care provider or health plan being paid. Covered entities that initiate
such payment activities must meet the minimum necessary disclosure
requirements described in the preamble to § 164.514.
***Covered Entity*.**
We provided this definition in the NPRM for convenience of reference and
proposed it to mean the entities to which part C of title XI of the Act
applies. These are the entities described in section 1172(a)(1): health
plans, health care clearinghouses, and health care providers who
transmit any health information in electronic form in connection with a
transaction referred to in section 1173(a)(1) of the Act (a "standard
transaction").
We note that health care providers who do not submit HIPAA transactions
in standard form become covered by this rule when other entities, such
as a billing service or a hospital, transmit standard electronic
transactions on their behalf. A provider could not circumvent these
requirements by assigning the task to its business associate since the
business associate would be considered to be acting on behalf of the
provider. See the definition of "business associate."
Where a public agency is required or authorized by law to administer a
health plan jointly with another entity, we consider each agency to be a
covered entity with respect to the health plan functions it performs.
Unlike private sector health plans, public plans are often required by
or expressly authorized by law to jointly administer health programs
that meet the definition of "health plan" under this regulation. In some
instances the public entity is required or authorized to administer the
program with another public agency. In other instances, the public
entity is required or authorized to administer the program with a
private entity. In either circumstance, we note that joint
administration does not meet the definition of "business associate" in §
164.501. Examples of joint administration include state and federal
administration of the Medicaid and SCHIP program, or joint
administration of a Medicare+Choice plan by the Health Care Financing
Administration and the issuer offering the plan.
***Health Care*.**
We proposed to define "health care" to mean the provision of care,
services, or supplies to a patient and to include any: (1) preventive,
diagnostic, therapeutic, rehabilitative, maintenance, or palliative
care, counseling, service, or procedure with respect to the physical or
mental condition, or functional status, of a patient or affecting the
structure or function of the body; (2) sale or dispensing of a drug,
device, equipment, or other item pursuant to a prescription; or (3)
procurement or banking of blood, sperm, organs, or any other tissue for
administration to patients.
The final rule revises both the NPRM definition and the definition as
provided in the Transactions Rule, to now mean "care, services, or
supplies related to the health of an individual. *Health care* includes
the following:
\(1\) Preventive, diagnostic, therapeutic, rehabilitative, maintenance,
or palliative care, and counseling, service, assessment, or procedure
with respect to the physical or mental condition, or functional status,
of an individual or that affects the structure or function of the body;
and
\(2\) Sale or dispensing of a drug, device, equipment, or other item in
accordance with a prescription.
We delete the term "providing" from the definition to delineate more
clearly the relationship between "treatment,"as the term is defined in §
164.501, and "health care." Other key revisions include adding the term
"assessment" in subparagraph (1) and deleting proposed subparagraph (3)
from the rule. Therefore the procurement or banking of organs, blood
(including autologous blood), sperm, eyes or any other tissue or human
product is not considered to be health care under this rule and the
organizations that perform such activities would not be considered
health care providers when conducting these functions. As described in §
164.512(h), covered entities are permitted to disclose protected health
information without individual authorization, consent, or agreement (see
below for explanation of authorizations, consents, and agreements) as
necessary to facilitate cadaveric donation.
***Health Care Clearinghouse*.**
In the NPRM, we defined "health care clearinghouse" as a public or
private entity that processes or facilitates the processing of
nonstandard data elements of health information into standard data
elements. The entity receives health care transactions from health care
providers or other entities, translates the data from a given format
into one acceptable to the intended payor or payors, and forwards the
processed transaction to appropriate payors and clearinghouses. Billing
services, repricing companies, community health management information
systems, community health information systems, and "value-added"
networks and switches would have been considered to be health care
clearinghouses for purposes of this part, if they perform the functions
of health care clearinghouses as described in the preceding sentences.
In the final regulation, we modify the definition of health care
clearinghouse to reflect changes in the definition published in the
Transactions Rule. The definition in the final rule is:
Health care clearinghouse means a public or private entity, including
billing services, repricing companies, community health management
information systems or community health information systems, and
"value-added" networks and switches, that does either of the following
functions:
\(1\) Processes or facilitates the processing of health information
received from another entity in a nonstandard format or containing
nonstandard data content into standard data elements or a standard
transaction.
\(2\) Receives a standard transaction from another entity and processes
or facilitates the processing of health information into nonstandard
format or nonstandard data content for the receiving entity.
We note here that the term health care clearinghouse may have other
meanings and connotations in other contexts, but the regulation defines
it specifically, and an entity is considered a health care clearinghouse
only to the extent that it meets the criteria in this definition.
Telecommunications entities that provide connectivity or mechanisms to
convey information, such as telephone companies and Internet Service
Providers, are not health care clearinghouses as defined in the rule
unless they actually carry out the functions outlined in our definition.
Value added networks and switches are not health care clearinghouses
unless they carry out the functions outlined in the definition. The
examples of entities in our proposed definition we continue to consider
to be health care clearinghouses, as well as any other entities that
meet that definition, to the extent that they perform the functions in
the definition.
In order to fall within this definition of clearinghouse, the covered
entity must perform the clearinghouse function on health information
received from some other entity. A department or component of a health
plan or health care provider that transforms nonstandard information
into standard data elements or standard transactions (or vice versa) is
not a clearinghouse for purposes of this rule, unless it also performs
these functions for another entity. As described in more detail in §
164.504(d), we allow affiliates to perform clearinghouse functions for
each other without triggering the definition of "clearinghouse" if the
conditions in § 164.504(d) are met.
***Health Care Provider*.**
We proposed to define health care provider to mean a provider of
services as defined in section 1861(u) of the Act, a provider of medical
or health services as defined in section 1861(s) of the Act, and any
other person or organization who furnishes, bills, or is paid for health
care services or supplies in the normal course of business.
In the final rule, we delete the term "services and supplies," in order
to eliminate redundancy within the definition. The definition also
reflects the addition of the applicable U.S.C. citations (42 U.S.C.
1395x(u) and 42 U.S.C. 1395x(s), respectively) for the referenced
provisions of the Act that were promulgated in the Transactions Rule.
To assist the reader, we also provide here excerpts from the relevant
sections of the Act. (Refer to the U.S.C. sections cited above for
complete definitions in sections 1861(u) and 1861(s).) Section 1861(u)
of the Act defines a "provider of services," to include, for example,
> a hospital, critical access hospital, skilled nursing facility,
> comprehensive outpatient rehabilitation facility, home health agency,
> hospice program, or, for purposes of section 1814(g) \[42 U.S.C.
> 1395f(g)\] and section 1835(e) \[42 U.S.C. 1395n(e)\], a fund."
> Section 1861(s) of the Act defines the term, "medical and other health
> services," and includes a list of covered items or services, as
> illustrated by the following excerpt:
>
> \(s\) Medical and other health services. The term \"medical and other
> health services\" means any of the following items or services:
>
> \(1\) physicians\' services;
>
> \(2\) (A) services and supplies...furnished as an incident to a
> physician\'s professional service, or kinds which are commonly
> furnished in physicians\' offices and are commonly either rendered
> without charge or included in the physicians\' bills;
>
> \(B\) hospital services...incident to physicians\' services rendered
> to outpatients and partial hospitalization services incident to such
> services;
>
> (C)diagnostic services which are--
>
> \(i\) furnished to an individual as an outpatient by a hospital or by
> others under arrangements with them made by a hospital, and
>
> \(ii\) ordinarily furnished by such hospital (or by others under such
> arrangements) to its outpatients for the purpose of diagnostic study;
>
> \(D\) outpatient physical therapy services and outpatient occupational
> therapy services;
>
> \(E\) rural health clinic services and federally qualified health
> center services;
>
> \(F\) home dialysis supplies and equipment, self-care home dialysis
> support services, and institutional dialysis services and supplies;
>
> \(G\) antigens...prepared by a physician...for a particular patient,
> including antigens so prepared which are forwarded to another
> qualified person...for administration to such patient,...by or under
> the supervision of another such physician;
>
> \(H\) (i) services furnished pursuant to a contract under section 1876
> \[42 U.S.C. 1395mm\] to a member of an eligible organization by a
> physician assistant or by a nurse practitioner...and such services and
> supplies furnished as an incident to his service to such a
> member...and
>
> \(ii\) services furnished pursuant to a risk-sharing contract under
> section 1876(g) \[42 U.S.C. 1395mm(g)\] to a member of an eligible
> organization by a clinical psychologist...or by a clinical social
> worker...\[and\] furnished as an incident to such clinical
> psychologist\'s services or clinical social worker\'s services...;
>
> \(I\) blood clotting factors, for hemophilia patients...;
>
> \(J\) prescription drugs used in immunosuppressive therapy furnished,
> to an individual who receives an organ transplant for which payment is
> made under this title \[42 U.S.C. 1395 et seq.\], but only in the case
> of \[certain\] drugs furnished...
>
> \(K\) (i) services which would be physicians\' services if furnished
> by a physician...and which are performed by a physician
> assistant...;and
>
> \(ii\) services which would be physicians\' services if furnished by a
> physician...and which are performed by a nurse...;
>
> \(L\) certified nurse-midwife services;
>
> \(M\) qualified psychologist services;
>
> \(N\) clinical social worker services...;
>
> \(O\) erythropoietin for dialysis patients...;
>
> \(P\) prostate cancer screening tests...;
>
> \(Q\) an oral drug (which is approved by the federal Food and Drug
> Administration) prescribed for use as an anti-cancer chemotherapeutic
> agent for a given indication, and containing an active ingredient (or
> ingredients)...;
>
> \(R\) colorectal cancer screening tests...;
>
> \(S\) diabetes outpatient self-management training services...; and
>
> \(T\) an oral drug (which is approved by the federal Food and Drug
> Administration) prescribed for use as an acute anti-emetic used as
> part of an anti-cancer chemotherapeutic regimen...
>
> \(3\) diagnostic X-ray tests...furnished in a place of residence used
> as the patient\'s home...;
>
> \(4\) X-ray, radium, and radioactive isotope therapy, including
> materials and services of technicians;
>
> \(5\) surgical dressings, and splints, casts, and other devices used
> for reduction of fractures and dislocations;
>
> \(6\) durable medical equipment;
>
> \(7\) ambulance service where the use of other methods of
> transportation is contraindicated by the individual\'s condition...;
>
> \(8\) prosthetic devices (other than dental) which replace all or part
> of an internal body organ (including colostomy bags and supplies
> directly related to colostomy care),...and including one pair of
> conventional eyeglasses or contact lenses furnished subsequent to each
> cataract surgery...\[;\]
>
> \(9\) leg, arm, back, and neck braces, and artificial legs, arms, and
> eyes, including replacements if required...;
>
> \(10\) (A) pneumococcal vaccine and its administration...; and
>
> \(B\) hepatitis B vaccine and its administration..., and
>
> \(11\) services of a certified registered nurse anesthetist...;
>
> \(12\) ...extra-depth shoes with inserts or custom molded shoes with
> inserts for an individual with diabetes, if...;
>
> \(13\) screening mammography...;
>
> \(14\) screening pap smear and screening pelvic exam; and
>
> \(15\) bone mass measurement.... (etc.)
***Health Plan*.**
We proposed to define "health plan" essentially as section 1171(5) of
the Act defines it. Section 1171 of the Act refers to several
definitions in section 2791 of the Public Health Service Act, 42 U.S.C.
300gg-91, as added by Public Law 104-191.
As defined in section 1171(5), a "health plan" is an individual plan or
group health plan that provides, or pays the cost of, medical care. We
proposed that this definition include, but not be limited to the 15
types of plans (e.g., group health plan, health insurance issuer, health
maintenance organization) listed in the statute, as well as any
combination of them. Such term would have included, when applied to
public benefit programs, the component of the government agency that
administers the program. Church plans and government plans would have
been included to the extent that they fall into one or more of the
listed categories.
In the proposed rule, "health plan" included the following, singly or in
combination:
\(1\) A group health plan, defined as an employee welfare benefit plan
(as currently defined in section 3(1) of the Employee Retirement Income
and Security Act of 1974, 29 U.S.C. 1002(1)), including insured and
self-insured plans, to the extent that the plan provides medical care
(as defined in section 2791(a)(2) of the Public Health Service Act, 42
U.S.C. 300gg-91(a)(2)), including items and services paid for as medical
care, to employees or their dependents directly or through insurance or
otherwise, that:
\(i\) Has 50 or more participants; or
\(ii\) Is administered by an entity other than the employer that
established and maintains the plan.
\(2\) A health insurance issuer, defined as an insurance company,
insurance service, or insurance organization that is licensed to engage
in the business of insurance in a state and is subject to state or other
law that regulates insurance.
\(3\) A health maintenance organization, defined as a federally
qualified health maintenance organization, an organization recognized as
a health maintenance organization under state law, or a similar
organization regulated for solvency under state law in the same manner
and to the same extent as such a health maintenance organization.
\(4\) Part A or Part B of the Medicare program under title XVIII of the
Act.
\(5\) The Medicaid program under title XIX of the Act.
\(6\) A Medicare supplemental policy (as defined in section 1882(g)(1)
of the Act, 42 U.S.C. 1395ss).
\(7\) A long-term care policy, including a nursing home fixed-indemnity
policy.
\(8\) An employee welfare benefit plan or any other arrangement that is
established or maintained for the purpose of offering or providing
health benefits to the employees of two or more employers.
\(9\) The health care program for active military personnel under title
10 of the United States Code.
\(10\) The veterans health care program under 38 U.S.C. chapter 17.
\(11\) The Civilian Health and Medical Program of the Uniformed Services
(CHAMPUS), as defined in 10 U.S.C. 1072(4).
\(12\) The Indian Health Service program under the Indian Health Care
Improvement Act (25 U.S.C. 1601, et seq.).
\(13\) The Federal Employees Health Benefits Program under 5 U.S.C.
chapter 89.
\(14\) An approved state child health plan for child health assistance
that meets the requirements of section 2103 of the Act.
\(15\) A Medicare Plus Choice organization as defined in 42 CFR 422.2,
with a contract under 42 CFR part 422, subpart K.
In addition to the 15 specific categories, we proposed that the list
include any other individual plan or group health plan, or combination
thereof, that provides or pays for the cost of medical care. The
Secretary would determine which plans that meet these criteria would to
be considered health plans for the purposes of this rule.
Consistent with the other titles of HIPAA, our proposed definition did
not include certain types of insurance entities, such as workers'
compensation and automobile insurance carriers, other property and
casualty insurers, and certain forms of limited benefits coverage, even
when such arrangements provide coverage for health care services.
In the final rule, we add two provisions to clarify the types of
policies or programs that we do not consider to be a health plan. First,
the rule excepts any policy, plan or program to the extent that it
provides, or pays for the cost of, excepted benefits, as defined in
section 2791(c)(1) of the PHS Act, 42 U.S.C. 300gg-91(c)(1). We note
that, while coverage for on-site medical clinics is excluded from
definition of "health plans," such clinics may meet the definition of
"health care provider" and persons who work in the clinic may also meet
the definition of health care provider." Second, many commenters were
confused by the statutory inclusion as a health plan of any "other
individual or group plan that provides or pays the cost of medical
care;" they questioned how the provision applied to many government
programs. We therefore clarify that while many government programs
(other than the programs specified in the statute) provide or pay the
cost of medical care, we do not consider them to be individual or group
plans and therefore, do not consider them to be health plans. Government
funded programs that do not have as their principal purpose the
provision of, or payment for, the cost of health care but which do
incidentally provide such services are not health plans (for example,
programs such as the Special Supplemental Nutrition Program for Women,
Infants and Children (WIC) and the Food Stamp Program, which provide or
pay for nutritional services, are not considered to be health plans).
Government funded programs that have as their principal purpose the
provision of health care, either directly or by grant, are also not
considered to be health plans. Examples include the Ryan White
Comprehensive AIDS Resources Emergency Act, government funded health
centers and immunization programs. We note that some of these may meet
the rule's definition of health care provider.
We note that in certain instances eligibility for or enrollment in a
health plan that is a government program providing public benefits, such
as Medicaid or SCHIP, is determined by an agency other than the agency
that administers the program, or individually identifiable health
information used to determine enrollment or eligibility in such a health
plan is collected by an agency other than the agency that administers
the health plan. In these cases, we do not consider an agency that is
not otherwise a covered entity, such as a local welfare agency, to be a
covered entity because it determines eligibility or enrollment or
collects enrollment information as authorized by law. We also do not
consider the agency to be a business associate when conducting these
functions, as we describe further in the business associate discussion
above.
The definition in the final rule also reflects the following changes
promulgated in the Transactions Rule:
\(1\) Exclusion of nursing home fixed-indemnity policies;
\(2\) Addition of the word "issuer" to Medicare supplemental policy, and
long-term care policy;
\(3\) Addition or revision of the relevant statutory cites where
appropriate;
\(4\) Deletion of the term "or assisted" when referring to government
programs;
\(5\) Replacement of the word "organization" with "program" when
referring to Medicare + Choice;
\(6\) Deletion of the term "health" when referring to a group plan in
subparagraph (xvi);
\(7\) Extraction of the definitions of "group health plan," "health
insurance issuer," and "health maintenance organization" into Part 160
as distinct definitions;
\(8\) In the definition of "group health plan," deletion of the term
"currently" from the reference to the statutory cite of ERISA, addition
of the relevant statutory cite for the term "participant," and addition
of the term "reimbursement;"
\(9\) In the definition of "health insurance issuer," addition of the
relevant statutory cite, deletion of the term "or other law" after
"state law," addition of health maintenance organizations for
consistency with the statute, and clarification that the term does not
include a group health plan; and
\(10\) In the definition of "health maintenance organization," addition
of the relevant statutory cite.
Finally, we add to this definition a high risk pool that is a mechanism
established under state law to provide health insurance coverage or
comparable coverage to eligible individuals. High risk pools are
designed mainly to provide health insurance coverage for individuals
who, due to health status or pre-existing conditions, cannot obtain
insurance through the individual market or who can do so only at very
high premiums. Some states use their high risk pool as an alternative
mechanism under section 2744 of HIPAA. We do not reference the
definition of "qualified high risk pool" in HIPAA because that
definition includes the requirements for a state to use its risk pool as
its alternative mechanism under HIPAA. Some states may have high risk
pools, but do not use them as their alternative mechanism and therefore
may not meet the definition in HIPAA. We want to make clear that state
high risk pools are covered entities under this rule whether or not they
meet the definition of a qualified high risk pool under section 2744.
High risk pools, as described in this rule, do not include any program
established under state law solely to provide excepted benefits. For
example, a state program established to provide workers' compensation
coverage is not considered to be a high risk pool under the rule.
***Implementation specification***
This definition was adopted in the Transactions Rule and is minimally
revised here. We add the words "requirements or" before the word
"instructions." The word "instructions" is appropriate in the context of
the implementation specifications adopted in the Transactions Rule,
which are generally a series of instructions as to how to use particular
electronic forms. However, that word is not apropos in the context of
the rules below. In the rules below, the implementation specifications
are specific requirements for how to comply with a given standard. The
change to this definition thus ties in to this regulatory framework.
***Standard***
This definition was adopted in the Transactions Rule and we have
modified it to make it clearer. We also add language reflecting section
264 of the statute, to clarify that the standards adopted by this rule
meet this definition.
***State***
We modify the definition of state as adopted in the Transactions Rule to
clarify that this term refers to any of the several states.
***Transaction***
We change the term "exchange" to the term "transmission" in the
definition of Transaction to clarify that these transactions may be
one-way communications.
***Workforce***
We proposed in the NPRM to define workforce to mean employees,
volunteers, trainees, and other persons under the direct control of a
covered entity, including persons providing labor on an unpaid basis.
The definition in the final rule reflects one revision established in
the Transactions Rule, which replaces the term "including persons
providing labor on an unpaid basis" with the term "whether or not they
are paid by the covered entity." In addition, we clarify that if the
assigned work station of persons under contract is on the covered
entity's premises and such persons perform a substantial proportion of
their activities at that location, the covered entity may choose to
treat them either as business associates or as part of the workforce, as
explained in the discussion of the definition of business associate. If
there is no business associate contract, we assume the person is a
member of the covered entity's workforce. We note that independent
contractors may or may not be workforce members. However, for compliance
purposes we will assume that such personnel are members of the workforce
if no business associate contract exists.
**PART 160 -- SUBPART B -- PREEMPTION OF STATE LAWS**
***Statutory Background***
Section 1178 of the Act establishes a "general rule" that state law
provisions that are contrary to the provisions or requirements of part C
of title XI or the standards or implementation specifications adopted or
established thereunder are preempted by the federal requirements. The
statute provides three exceptions to this general rule: (1) in section
1178(a)(2)(A)(i), for state laws that the Secretary determines are
necessary to prevent fraud and abuse, ensure appropriate state
regulation of insurance and health plans, for state reporting on health
care delivery, and other purposes; (2) in section 1178(a)(2)(A)(ii), for
state laws that address controlled substances; and (3) in section
1178(a)(2)(B), for state laws relating to the privacy of individually
identifiable health information that as provided for by the related
provision of section 264(c)(2) of HIPAA, are contrary to and more
stringent than the federal requirements. Section 1178 also carves out,
in sections 1178(b) and 1178(c), certain areas of state authority that
are not limited or invalidated by the provisions of part C of title XI:
these areas relate to public health and state regulation of health
plans.
The NPRM proposed a new Subpart B of the proposed part 160. The new
Subpart B, which would apply to all standards, implementation
specifications, and requirements adopted under HIPAA, would consist of
four sections. Proposed § 160.201 provided that the provisions of
Subpart B applied to exception determinations and advisory opinions
issued by the Secretary under section 1178. Proposed § 160.202 set out
proposed definitions for four terms: (1) "contrary," (2) "more
stringent," (3) "relates to the privacy of individually identifiable
health information," and (4) "state law." The definition of "contrary"
was drawn from case law concerning preemption. A seven-part set of
specific criteria, drawn from fair information principles, was proposed
for the definition of "more stringent." The definition of "relates to
the privacy of individually identifiable health information" was also
based on case law. The definition of "state law" was drawn from the
statutory definition of this term elsewhere in HIPAA. We note that state
action having the force and effect of law may include common law. We
eliminate the term "decision" from the proposed rule because it is
redundant.
Proposed § 160.203 proposed a general rule reflecting the statutory
general rule and exceptions that generally mirrored the statutory
language of the exceptions. The one substantive addition to the
statutory exception language was with respect to the statutory
exception, "for other purposes." The following language was added: "for
other purposes related to improving the Medicare program, the Medicaid
program, or the efficiency and effectiveness of the health care system."
Proposed § 160.204 proposed two processes, one for the making of
exception determinations, relating to determinations under section
1178(a)(2)(A) of the Act, the other for the rendering of advisory
opinions, with respect to section 1178(a)(2)(B) of the Act. The
processes proposed were similar in the following respects: (1) only the
state could request an exception determination or advisory opinion, as
applicable; (2) both required the request to contain the same
information, except that a request for an exception determination also
had to set out the length of time the requested exception would be in
effect, if less than three years; (3) both sets of requirements provided
that requests had to be submitted to the Secretary as required by the
Secretary, and until the Secretary's determination was made, the federal
standard, requirement or implementation specification remained in
effect; (4) both sets of requirements provided that the Secretary's
decision would be effective intrastate only; (5) both sets of
requirements provided that any change to either the federal or state
basis for the Secretary's decision would require a new request, and the
federal standard, implementation specification, or requirement would
remain in effect until the Secretary acted favorably on the new request;
(6) both sets of requirements provided that the Secretary could seek
changes to the federal rules or urge states or other organizations to
seek changes; and (7) both sets of requirements provided for annual
publication of Secretarial decisions. In addition, the process for
exception determinations provided for a maximum effective period of
three years for such determinations.
The following changes have been made to Subpart B in the final rules.
First, § 160.201 now expressly implements section 1178. Second, the
definition of "more stringent" has been changed by eliminating the
criterion relating to penalties and by framing the criterion under
paragraph (1) more generally. Also, we have clarified that the term
"individual" means the person who is the subject of the individually
identifiable health information, since the term "individual" is defined
this way only in Subpart E of Part 164, not in Part 160. Third, the
definition of "state law" has been changed by substituting the words
"statute, constitutional provision" for the word "law," the words
"common law" for the word "decision," and adding the words "force and"
before the word "effect" in the proposed definition. Fourth, in §
160.203, several criteria relating to the statutory grounds for
exception determinations have been further spelled out: (1) the words "
related to the provision of or payment for health care" have been added
to the exception for fraud and abuse; (2) the words " to the extent
expressly authorized by statute or regulation" have been added to the
exception for state regulation of health plans; (3) the words "of
serving a compelling need related to public health, safety, or welfare,
and, where a standard, requirement, or implementation specification
under part 164 of this subchapter is at issue, where the Secretary
determines that the intrusion into privacy is warranted when balanced
against the need to be served" have been added to the general exception
"for other purposes"; and (4) the statutory provision regarding
controlled substances has been elaborated on as follows: "Has as its
principal purpose the regulation of the manufacture, registration,
distribution, dispensing, or other control of any controlled substance,
as defined at 21 U.S.C. 802, or which is deemed a controlled substance
by state law."
The most extensive changes have been made to proposed § 160.204. The
provision for advisory opinions has been eliminated. Section 160.204 now
sets out only a process for requesting exception determinations. In most
respects, this process is the same as proposed. However, the proposed
restriction of the effect of exception determinations to wholly
intrastate transactions has been eliminated. Section 160.204(a) has been
modified to allow any person, not just a state, to submit a request for
an exception determination, and clarifies that requests from states may
be made by the state's chief elected official or his or her designee.
Proposed § 160.204(a)(3) stated that if it is determined that the
federal standard, requirement, or implementation specification in
question meets the exception criteria as well as or better than the
state law for which the exception is requested, the request will be
denied; this language has been deleted. Thus, the criterion for granting
or denying an exception request is whether the applicable exception
criterion or criteria are met.
A new § 160.205 is also adopted, replacing part of what was proposed at
proposed § 160.204. The new § 160.205 sets out the rules relating to the
effectiveness of exception determinations. Exception determinations are
effective until either the underlying federal or state laws change or
the exception is revoked, by the Secretary, based on a determination
that the grounds supporting the exception no longer exist. The proposed
maximum of three years has been eliminated.
***Relationship to Other Federal Laws***
Covered entities subject to these rules are also subject to other
federal statutes and regulations. For example, federal programs must
comply with the statutes and regulations that govern them. Pursuant to
their contracts, Medicare providers must comply with the requirements of
the Privacy Act of 1974. Substance abuse treatment facilities are
subject to the Substance Abuse Confidentiality provisions of the Public
Health Service Act, section 543 and its regulations. And, health care
providers in schools, colleges, and universities may come within the
purview of the Family Educational Rights and Privacy Act. Thus, covered
entities will need to determine how the privacy regulation will affect
their ability to comply with these other federal laws.
Many commenters raised questions about how different federal statutes
and regulations intersect with the privacy regulation. While we address
specific concerns in the response to comments later in the preamble, in
this section, we explore some of the general interaction issues. These
summaries do not identify all possible conflicts or overlaps of the
privacy regulation and other federal laws, but should provide general
guidance for complying with both the privacy regulation and other
federal laws. The summaries also provide examples of how covered
entities can analyze other federal laws when specific questions arise.
HHS may consult with other agencies concerning the interpretation of
other federal laws as necessary.
***Implied Repeal Analysis***
When faced with the need to determine how different federal laws
interact with one another, we turn to the judiciary's approach. Courts
apply the implied repeal analysis to resolve tensions that appear to
exist between two or more statutes. While the implication of a
regulation-on-regulation conflict is unclear, courts agree that
administrative rules and regulations that do not conflict with express
statutory provisions have the force and effect of law. Thus, we believe
courts would apply the standard rules of interpretation that apply to
statutes to address questions of interpretation with regard to
regulatory conflicts.
When faced with two potentially conflicting statutes, courts attempt to
construe them so that both are given effect. If this construction is not
possible, courts will look for express language in the later statute, or
an intent in its legislative history, indicating that Congress intended
the later statute to repeal the earlier one. If there is no expressed
intent to repeal the earlier statute, courts will characterize the
statutes as either general or specific. Ordinarily, later, general
statutes will not repeal the special provisions of an earlier, specific
statute. In some cases, when a later, general statute creates an
irreconcilable conflict or is manifestly inconsistent with the earlier,
specific statute in a manner that indicates a clear and manifest
Congressional intent to repeal the earlier statute, courts will find
that the later statute repeals the earlier statute by implication. In
these cases, the latest legislative action may prevail and repeal the
prior law, but only to the extent of the conflict.
There should be few instances in which conflicts exist between a statute
or regulation and the rules below. For example, if a statute permits a
covered entity to disclose protected health information and the rules
below permit such a disclosure, no conflict arises; the covered entity
could comply with both and choose whether or not to disclose the
information. In instances in which a potential conflict appears, we
would attempt to resolve it so that both laws applied. For example, if a
statute or regulation permits dissemination of protected health
information, but the rules below prohibit the use or disclosure without
an authorization, we believe a covered entity would be able to comply
with both because it could obtain an authorization under § 164.508
before disseminating the information under the other law.
Many apparent conflicts will not be true conflicts. For example, if a
conflict appears to exist because a previous statute or regulation
requires a specific use or disclosure of protected health information
that the rules below appear to prohibit, the use or disclosure pursuant
to that statute or regulation would not be a violation of the privacy
regulation because § 164.512(a) permits covered entities to use or
disclose protected health information as required by law.
If a statute or regulation prohibits dissemination of protected health
information, but the privacy regulation requires that an individual have
access to that information, the earlier, more specific statute would
apply. The interaction between the Clinical Laboratory Improvement
Amendments regulation is an example of this type of conflict. From our
review of several federal laws, it appears that Congress did not intend
for the privacy regulation to overrule existing statutory requirements
in these instances.
***Examples of Interaction***
We have summarized how certain federal laws interact with the privacy
regulation to provide specific guidance in areas deserving special
attention and to serve as examples of the analysis involved. In the
Response to Comment section, we have provided our responses to specific
questions raised during the comment period.
*The Privacy Act.*
The Privacy Act of 1974, 5 U.S.C. 552a, prohibits disclosures of records
contained in a system of records maintained by a federal agency (or its
contractors) without the written request or consent of the individual to
whom the record pertains. This general rule is subject to various
statutory exceptions. In addition to the disclosures explicitly
permitted in the statute, the Privacy Act permits agencies to disclose
information for other purposes compatible with the purpose for which the
information was collected by identifying the disclosure as a "routine
use" and publishing notice of it in the Federal Register. The Act
applies to all federal agencies and certain federal contractors who
operate Privacy Act systems of records on behalf of federal agencies.
Some federal agencies and contractors of federal agencies that are
covered entities under the privacy rules are subject to the Privacy Act.
These entities must comply with all applicable federal statutes and
regulations. For example, if the privacy regulation permits a
disclosure, but the disclosure is not permitted under the Privacy Act,
the federal agency may not make the disclosure. If, however, the Privacy
Act allows a federal agency the discretion to make a routine use
disclosure, but the privacy regulation prohibits the disclosure, the
federal agency will have to apply its discretion in a way that complies
with the regulation. This means not making the particular disclosure.
*The Freedom of Information Act.*
FOIA, 5 U.S.C. 552, provides for public disclosure, upon the request of
any person, of many types of information in the possession of the
federal government, subject to nine exemptions and three exclusions. For
example, Exemption 6 permits federal agencies to withhold "personnel and
medical files and similar files the disclosure of which would constitute
a clearly unwarranted invasion of personal privacy." 5 U.S.C. 552(b)(6).
Uses and disclosures required by FOIA come within § 164.512(a) of the
privacy regulation that permits uses or disclosures required by law if
the uses or disclosures meet the relevant requirements of the law. Thus,
a federal agency must determine whether it may apply an exemption or
exclusion to redact the protected health information when responding to
a FOIA request. When a FOIA request asks for documents that include
protected health information, we believe the agency, when appropriate,
must apply Exemption 6 to preclude the release of medical files or
otherwise redact identifying details before disclosing the remaining
information.
We offer the following analysis for federal agencies and federal
contractors who operate Privacy Act systems of records on behalf of
federal agencies and must comply with FOIA and the privacy regulation.
If presented with a FOIA request that would result in the disclosure of
protected health information, a federal agency must first determine if
FOIA requires the disclosure or if an exemption or exclusion would be
appropriate. We believe that generally a disclosure of protected health
information, when requested under FOIA, would come within FOIA Exemption
6. We recognize, however, that the application of this exemption to
information about deceased individuals requires a different analysis
than that applicable to living individuals because, as a general rule,
under the Privacy Act, privacy rights are extinguished at death.
However, under FOIA, it is entirely appropriate to consider the privacy
interests of a decedent's survivors under Exemption 6. *See* Department
of Justice FOIA Guide 2000, Exemption 6: Privacy Considerations. Covered
entities subject to FOIA must evaluate each disclosure on a case-by-case
basis, as they do now under current FOIA procedures.
*Federal Substance Abuse Confidentiality Requirements.*
The federal confidentiality of substance abuse patient records statute,
section 543 of the Public Health Service Act, 42 U.S.C. 290dd-2, and its
implementing regulation, 42 CFR Part 2, establish confidentiality
requirements for patient records that are maintained in connection with
the performance of any federally-assisted specialized alcohol or drug
abuse program. Substance abuse programs are generally programs or
personnel that provide alcohol or drug abuse treatment, diagnosis, or
referral for treatment. The term \"federally-assisted\" is broadly
defined and includes federally conducted or funded programs, federally
licensed or certified programs, and programs that are tax exempt.
Certain exceptions apply to information held by the Veterans
Administration and the Armed Forces.
There are a number of health care providers that are subject to both
these rules and the substance abuse statute and regulations. In most
cases, a conflict will not exist between these rules. These privacy
rules permit a health care provider to disclose information in a number
of situations that are not permitted under the substance abuse
regulation. For example, disclosures allowed, without patient
authorization, under the privacy rule for law enforcement, judicial and
administrative proceedings, public health, health oversight, directory
assistance, and as required by other laws would generally be prohibited
under the substance abuse statute and regulation. However, because these
disclosures are permissive and not mandatory, there is no conflict. An
entity would not be in violation of the privacy rules for failing to
make these disclosures.
Similarly, provisions in the substance abuse regulation provide for
permissive disclosures in case of medical emergencies, to the FDA, for
research activities, for audit and evaluation activities, and in
response to certain court orders. Because these are permissive
disclosures, programs subject to both the privacy rules and the
substance abuse rule are able to comply with both rules even if the
privacy rules restrict these types of disclosures. In addition, the
privacy rules generally require that an individual be given access to
his or her own health information. Under the substance abuse regulation,
programs may provide such access, so there is no conflict.
The substance abuse regulation requires notice to patients of the
substance abuse confidentiality requirements and provides for written
consent for disclosure. While the privacy rules have requirements that
are somewhat different, the program may use notice and authorization
forms that include all the elements required by both regulations. The
substance abuse rule provides a sample notice and a sample authorization
form and states that the use of these forms would be sufficient. While
these forms do not satisfy all of the requirements of the privacy
regulation, there is no conflict because the substance abuse regulation
does not mandate the use of these forms.
*Employee Retirement Income Security Act of 1974.*
ERISA was enacted in 1974 to regulate pension and welfare employee
benefit plans established by private sector employers, unions, or both,
to provide benefits to their workers and dependents. Under ERISA, plans
that provide \"through the purchase of insurance or otherwise \...
medical, surgical, or hospital care or benefits, or benefits in the
event of sickness, accident, disability, \[or\] death\" are defined as
employee welfare benefit plans. 29 U.S.C. 1002(1). In 1996, HIPAA
amended ERISA to require portability, nondiscrimination, and
renewability of health benefits provided by group health plans and group
health insurance issuers. Numerous, although not all, ERISA plans are
covered under the rules proposed below as "health plans."
Section 514(a) of ERISA, 29 U.S.C. 1144(a), preempts all state laws that
\"relate to\" any employee benefit plan. However, section 514(b) of
ERISA, 29 U.S.C. 1144(b)(2)(A), expressly saves from preemption state
laws that regulate insurance. Section 514(b)(2)(B) of ERISA, 29 U.S.C.
1144(b)(2)(B), provides that an ERISA plan is deemed not to be an
insurer for the purpose of regulating the plan under the state insurance
laws. Thus, under the deemer clause, states may not treat ERISA plans as
insurers subject to direct regulation by state law. Finally, section
514(d) of ERISA, 29 U.S.C. 1144(d), provides that ERISA does not "alter,
amend, modify, invalidate, impair, or supersede any law of the United
States."
We considered whether the preemption provision of section 264(c)(2) of
HIPAA would give effect to state laws that would otherwise be preempted
by section 514(a) of ERISA. As discussed above, our reading of the
statutes together is that the effect of section 264(c)(2) is only to
leave in place state privacy protections that would otherwise apply and
that are more stringent than the federal privacy protections.
Many health plans covered by the privacy regulation are also subject to
ERISA requirements. Our discussions and consultations have not uncovered
any particular ERISA requirements that would conflict with the rules.
*The Family Educational Rights and Privacy Act.*
FERPA, as amended, 20 U.S.C. 1232g, provides parents of students and
eligible students (students who are 18 or older) with privacy
protections and rights for the records of students maintained by
federally funded educational agencies or institutions or persons acting
for these agencies or institutions. We have excluded education records
covered by FERPA, including those education records designated as
education records under Parts B, C, and D of the Individuals with
Disabilities Education Act Amendments of 1997, from the definition of
protected health information. For example, individually identifiable
health information of students under the age of 18 created by a nurse in
a primary or secondary school that receives federal funds and that is
subject to FERPA is an education record, but not protected health
information. Therefore, the privacy regulation does not apply. We
followed this course because Congress specifically addressed how
information in education records should be protected in FERPA.
We have also excluded certain records, those described at 20 U.S.C.
1232g(a)(4)(B)(iv), from the definition of protected health information
because FERPA also provided a specific structure for the maintenance of
these records. These are records (1) of students who are 18 years or
older or are attending post-secondary educational institutions, (2)
maintained by a physician, psychiatrist, psychologist, or recognized
professional or paraprofessional acting or assisting in that capacity,
(3) that are made, maintained, or used only in connection with the
provision of treatment to the student, and (4) that are not available to
anyone, except a physician or appropriate professional reviewing the
record as designated by the student. Because FERPA excludes these
records from its protections only to the extent they are not available
to anyone other than persons providing treatment to students, any use or
disclosure of the record for other purposes, including providing access
to the individual student who is the subject of the information, would
turn the record into an education record. As education records, they
would be subject to the protections of FERPA.
These exclusions are not applicable to all schools, however. If a school
does not receive federal funds, it is not an educational agency or
institution as defined by FERPA. Therefore, its records that contain
individually identifiable health information are not education records.
These records may be protected health information. The educational
institution or agency that employs a school nurse is subject to our
regulation as a health care provider if the school nurse or the school
engages in a HIPAA transaction.
While we strongly believe every individual should have the same level of
privacy protection for his/her individually identifiable health
information, Congress did not provide us with authority to disturb the
scheme it had devised for records maintained by educational institutions
and agencies under FERPA. We do not believe Congress intended to amend
or preempt FERPA when it enacted HIPAA.
With regard to the records described at 20 U.S.C. 1232g(a)(4)(b)(iv), we
considered requiring health care providers engaged in HIPAA transactions
to comply with the privacy regulation up to the point these records were
used or disclosed for purposes other than treatment. At that point, the
records would be converted from protected health information into
education records. This conversion would occur any time a student sought
to exercise his/her access rights. The provider, then, would need to
treat the record in accordance with FERPA's requirements and be relieved
from its obligations under the privacy regulation. We chose not to adopt
this approach because it would be unduly burdensome to require providers
to comply with two different, yet similar, sets of regulations and
inconsistent with the policy in FERPA that these records be exempt from
regulation to the extent the records were used only to treat the
student.
*Gramm-Leach-Bliley.*
In 1999, Congress passed Gramm-Leach-Bliley (GLB), Pub. L. 106-102,
which included provisions, section 501 *et seq.*, that limit the ability
of financial institutions to disclose "nonpublic personal information"
about consumers to non-affiliated third parties and require financial
institutions to provide customers with their privacy policies and
practices with respect to nonpublic personal information. In addition,
Congress required seven agencies with jurisdiction over financial
institutions to promulgate regulations as necessary to implement these
provisions. GLB and its accompanying regulations define "financial
institutions" as including institutions engaged in the financial
activities of bank holding companies, which may include the business of
insuring. *See* 15 U.S.C. 6809(3); 12 U.S.C. 1843(k). However, Congress
did not provide the designated federal agencies with the authority to
regulate health insurers. Instead, it provided states with an incentive
to adopt and have their state insurance authorities enforce these rules.
*See* 15 U.S.C. 6805. If a state were to adopt laws consistent with GLB,
health insurers would have to determine how to comply with both sets of
rules.
Thus, GLB has caused concern and confusion among health plans that are
subject to our privacy regulation. Although Congress remained silent as
to its understanding of the interaction of GLB and HIPAA's privacy
provisions, the Federal Trade Commission and other agencies implementing
the GLB privacy provisions noted in the preamble to their GLB
regulations that they "would consult with HHS to avoid the imposition of
duplicative or inconsistent requirements." 65 Fed. Reg. 33646, 33648
(2000). Additionally, the FTC also noted that "persons engaged in
providing insurance" would be within the enforcement jurisdiction of
state insurance authorities and not within the jurisdiction of the FTC.
*Id.*
Because the FTC has clearly stated that it will not enforce the GLB
privacy provisions against persons engaged in providing insurance,
health plans will not be subject to dual federal agency jurisdiction for
information that is both nonpublic personal information and protected
health information. If states choose to adopt GLB-like laws or
regulations, which may or may not track the federal rules completely,
health plans would need to evaluate these laws under the preemption
analysis described in subpart B of Part 160.
*Federally Funded Health Programs.*
These rules will affect various federal programs, some of which may have
requirements that are, or appear to be, inconsistent with the
requirements of these regulations. These programs include those operated
directly by the federal government (such as health programs for military
personnel and veterans) as well as programs in which health services or
benefits are provided by the private sector or by state or local
governments, but which are governed by various federal laws (such as
Medicare, Medicaid, and ERISA).
Congress explicitly included some of these programs in HIPAA, subjecting
them directly to the privacy regulation. Section 1171 of the Act defines
the term "health plan" to include the following federally conducted,
regulated, or funded programs: group plans under ERISA that either have
50 or more participants or are administered by an entity other than the
employer who established and maintains the plan; federally qualified
health maintenance organizations; Medicare; Medicaid; Medicare
supplemental policies; the health care program for active military
personnel; the health care program for veterans; the Civilian Health and
Medical Program of the Uniformed Services (CHAMPUS); the Indian health
service program under the Indian Health Care Improvement Act, 25 U.S.C.
1601, et seq.; and the Federal Employees Health Benefits Program. There
also are many other federally conducted, regulated, or funded programs
in which individually identifiable health information is created or
maintained, but which do not come within the statutory definition of
"health plan." While these latter types of federally conducted,
regulated, or assisted programs are not explicitly covered by part C of
title XI in the same way that the programs listed in the statutory
definition of "health plan" are covered, the statute may nonetheless
apply to transactions and other activities conducted under such
programs. This is likely to be the case when the federal entity or
federally regulated or funded entity provides health services; the
requirements of part C may apply to such an entity as a "health care
provider." Thus, the issue of how different federal requirements apply
is likely to arise in numerous contexts.
There are a number of authorities under the Public Health Service Act
and other legislation that contain explicit confidentiality
requirements, either in the enabling legislation or in the implementing
regulations. Many of these are so general that there would appear to be
no problem of inconsistency, in that nothing in those laws or
regulations would appear to restrict the provider's ability to comply
with the privacy regulation's requirements.
There may, however, be authorities under which either the requirements
of the enabling legislation or of the program regulations would impose
requirements that differ from these rules.
For example, regulations applicable to the substance abuse block grant
program funded under section 1943(b) of the Public Health Service Act
require compliance with 42 CFR part 2, and, thus, raise the issues
identified above in the substance abuse confidentiality regulations
discussion. There are a number of federal programs which, either by
statute or by regulation, restrict the disclosure of patient information
to, with minor exceptions, disclosures "required by law." See, for
example, the program of projects for prevention and control of sexually
transmitted diseases funded under section 318(e)(5) of the Public Health
Service Act (42 CFR 51b.404); the regulations implementing the community
health center program funded under section 330 of the Public Health
Service Act (42 CFR 51c.110); the regulations implementing the program
of grants for family planning services under title X of the Public
Health Service Act (42 CFR 59.15); the regulations implementing the
program of grants for black lung clinics funded under 30 U.S.C. 437(a)
(42 CFR 55a.104); the regulations implementing the program of maternal
and child health projects funded under section 501 of the Act (42 CFR
51a.6); the regulations implementing the program of medical examinations
of coal miners (42 CFR 37.80(a)). These legal requirements would
restrict the grantees or other entities providing services under the
programs involved from making many of the disclosures that §§ 164.510 or
164.512 would permit. In some cases, permissive disclosures for
treatment, payment, or health care operations would also be limited.
Because §§ 164.510 and 164.512 are merely permissive, there would not be
a conflict between the program requirements, because it would be
possible to comply with both. However, entities subject to both sets of
requirements would not have the total range of discretion that they
would have if they were subject only to this regulation.
*Food, Drug, and Cosmetic Act.*
The Food, Drug, and Cosmetic Act, 21 U.S.C. 301, *et seq.*, and its
accompanying regulations outline the responsibilities of the Food and
Drug Administration with regard to monitoring the safety and
effectiveness of drugs and devices. Part of the agency's responsibility
is to obtain reports about adverse events, track medical devices, and
engage in other types of post marketing surveillance. Because many of
these reports contain protected health information, the information
within them may come within the purview of the privacy rules. Although
some of these reports are required by the Food, Drug, and Cosmetic Act
or its accompanying regulations, other types of reporting are voluntary.
We believe that these reports, while not mandated, play a critical role
in ensuring that individuals receive safe and effective drugs and
devices. Therefore, in § 164.512(b)(1)(iii), we have provided that
covered entities may disclose protected health information to a person
subject to the jurisdiction of the Food and Drug Administration for
specified purposes, such as reporting adverse events, tracking medical
devices, or engaging in other post marketing surveillance. We describe
the scope and conditions of such disclosures in more detail in §
164.512(b).
*Clinical Laboratory Improvement Amendments.*
CLIA, 42 U.S.C. 263a, and the accompanying regulations, 42 CFR part 493,
require clinical laboratories to comply with standards regarding the
testing of human specimens. This law requires clinical laboratories to
disclose test results or reports only to authorized persons, as defined
by state law. If a state does not define the term, the federal law
defines it as the person who orders the test.
We realize that the person ordering the test is most likely a health
care provider and not the individual who is the subject of the protected
health information included within the result or report. Under this
requirement, therefore, a clinical laboratory may be prohibited by law
from providing the individual who is the subject of the test result or
report with access to this information.
Although we believe individuals should be able to have access to their
individually identifiable health information, we recognize that in the
specific area of clinical laboratory testing and reporting, the Health
Care Financing Administration, through regulation, has provided that
access may be more limited. To accommodate this requirement, we have
provided at § 164.524(1)(iii) that covered entities maintaining
protected health information that is subject to the CLIA requirements do
not have to provide individuals with a right of access to or a right to
inspect and obtain a copy of this information if the disclosure of the
information to the individual would be prohibited by CLIA.
Not all clinical laboratories, however, will be exempted from providing
individuals with these rights. If a clinical laboratory operates in a
state in which the term "authorized person" is defined to include the
individual, the clinical laboratory would have to provide the individual
with these rights. Similarly, if the individual was the person who
ordered the test and an authorized person included such a person, the
laboratory would be required to provide the individual with these
rights.
Additionally, CLIA regulations exempt the components or functions of
"research laboratories that test human specimens but do not report
patient specific results for the diagnosis, prevention or treatment of
any disease or impairment of, or the assessment of the health of
individual patients" from the CLIA regulatory scheme. 42 CFR
493.3(a)(2). If subject to the access requirements of this regulation,
such entities would be forced to meet the requirements of CLIA from
which they are currently exempt. To eliminate this additional regulatory
burden, we have also excluded covered entities that are exempt from CLIA
under that rule from the access requirement of this regulation.
Although we are concerned about the lack of immediate access by the
individual, we believe that, in most cases, individuals who receive
clinical tests will be able to receive their test results or reports
through the health care provider who ordered the test for them. The
provider will receive the information from the clinical laboratory.
Assuming that the provider is a covered entity, the individual will have
the right of access and right to inspect and copy this protected health
information through his or her provider.
*Other Mandatory Federal or State Laws.*
Many federal laws require covered entities to provide specific
information to specific entities in specific circumstances. If a federal
law requires a covered entity to disclose a specific type of
information, the covered entity would not need an authorization under §
164.508 to make the disclosure because the final rule permits covered
entities to make disclosures that are required by law under §
164.512(a). Other laws, such as the Social Security Act (including its
Medicare and Medicaid provisions), the Family and Medical Leave Act, the
Public Health Service Act, Department of Transportation regulations, the
Environmental Protection Act and its accompanying regulations, the
National Labor Relations Act, the Federal Aviation Administration, and
the Federal Highway Administration rules, may also contain provisions
that require covered entities or others to use or disclose protected
health information for specific purposes.
When a covered entity is faced with a question as to whether the privacy
regulation would prohibit the disclosure of protected health information
that it seeks to disclose pursuant to a federal law, the covered entity
should determine if the disclosure is required by that law. In other
words, it must determine if the disclosure is mandatory rather than
merely permissible. If it is mandatory, a covered entity may disclose
the protected health information pursuant to § 164.512(a), which permits
covered entities to disclose protected health information without an
authorization when the disclosure is required by law. If the disclosure
is not required (but only permitted) by the federal law, the covered
entity must determine if the disclosure comes within one of the other
permissible disclosures. If the disclosure does not come within one of
the provisions for permissible disclosures, the covered entity must
obtain an authorization from the individual who is the subject of the
information or de-identify the information before disclosing it.
If another federal law prohibits a covered entity from using or
disclosing information that is also protected health information, but
the privacy regulation permits the use or disclosure, a covered entity
will need to comply with the other federal law and not use or disclose
the information.
*Federal Disability Nondiscrimination Laws*.
The federal laws barring discrimination on the basis of disability
protect the confidentiality of certain medical information. The
information protected by these laws falls within the larger definition
of "health information" under this privacy regulation. The two primary
disability nondiscrimination laws are the Americans with Disabilities
Act (ADA), 42 U.S.C. 12101 *et seq.*, and the Rehabilitation Act of
1973, as amended, 29 U.S.C. 701 *et seq.*, although other laws barring
discrimination on the basis of disability (such as the nondiscrimination
provisions of the Workforce Investment Act of 1988, 29 U.S.C. 2938) may
also apply. Federal disability nondiscrimination laws cover two general
categories of entities relevant to this discussion: employers and
entities that receive federal financial assistance.
Employers are not covered entities under the privacy regulation. Many
employers, however, are subject to the federal disability
nondiscrimination laws and, therefore, must protect the confidentiality
of all medical information concerning their applicants and employees.
The employment provisions of the ADA, 42 U.S.C. 12111 *et seq.*,
expressly cover employers of 15 or more employees, employment agencies,
labor organizations, and joint labor-management committees. Since 1992,
employment discrimination complaints arising under sections 501, 503,
and 504 of the Rehabilitation Act also have been subject to the ADA's
employment nondiscrimination standards. *See* "Rehabilitation Act
Amendments," Pub. L. No. 102-569, 106 Stat. 4344. Employers subject to
ADA nondiscrimination standards have confidentiality obligations
regarding applicant and employee medical information. Employers must
treat such medical information, including medical information from
voluntary health or wellness programs and any medical information that
is voluntarily disclosed as a confidential medical record, subject to
limited exceptions.
Transmission of health information by an employer to a covered entity,
such as a group health plan, is governed by the ADA confidentiality
restrictions. The ADA, however, has been interpreted to permit an
employer to use medical information for insurance purposes. *See* 29 CFR
1630 App. at § 1630.14(b) (describing such use with reference to 29 CFR
1630.16(f), which in turn explains that the ADA regulation "is not
intended to disrupt the current regulatory structure for self-insured
employers . . . or current industry practices in sales, underwriting,
pricing, administrative and other services, claims and similar insurance
related activities based on classification of risks as regulated by the
states"). *See also*, "Enforcement Guidance on Disability-Related
Inquiries and Medical Examinations of Employees under the Americans with
Disabilities Act," 4, n.10 (July 26, 2000), \_\_ FEP Manual (BNA) \_\_
("Enforcement Guidance on Employees"). *See generally*, "ADA Enforcement
Guidance on Preemployment Disability-Related Questions and Medical
Examinations" (October 10, 1995), 8 FEP Manual (BNA) 405:7191 (1995)
(also available at [http://www.eeoc.gov).]{.underline} Thus, use of
medical information for insurance purposes may include transmission of
health information to a covered entity.
If an employer-sponsored group health plan is closely linked to an
employer, the group health plan may be subject to ADA confidentiality
restrictions, as well as this privacy regulation. *See* *Carparts
Distribution Center, Inc. v. Automotive Wholesaler's Association of New
England, Inc.*, 37 F.3d 12 (1^st^ Cir. 1994)(setting forth three bases
for ADA Title I jurisdiction over an employer-provided medical
reimbursement plan, in a discrimination challenge to the plan's HIV/AIDS
cap). Transmission of applicant or employee health information by the
employer's management to the group health plan may be permitted under
the ADA standards as the use of medical information for insurance
purposes. Similarly, disclosure of such medical information by the group
health plan, under the limited circumstances permitted by this privacy
regulation, may involve use of the information for insurance purposes as
broadly described in the ADA discussion above.
Entities that receive federal financial assistance, which may also be
covered entities under the privacy regulation, are subject to section
504 of the Rehabilitation Act (29 U.S.C. 794) and its implementing
regulations. Each federal agency has promulgated such regulations that
apply to entities that receive financial assistance from that agency
("recipients"). These regulations may limit the disclosure of medical
information about persons who apply to or participate in a federal
financially assisted program or activity. For example, the Department of
Labor's section 504 regulation (found at 29 CFR part 32), consistent
with the ADA standards, requires recipients that conduct
employment-related programs, including employment training programs, to
maintain confidentiality regarding any information about the medical
condition or history of applicants to or participants in the program or
activity. Such information must be kept separate from other information
about the applicant or participant and may be provided to certain
specified individuals and entities, but only under certain limited
circumstances described in the regulation. *See* 29 CFR 32.15(d). Apart
from those circumstances, the information must be afforded the same
confidential treatment as medical records, *id*. Also, recipients of
federal financial assistance from the Department of Health and Human
Services, such as hospitals, are subject to the ADA's employment
nondiscrimination standards. They must, accordingly, maintain
confidentiality regarding the medical condition or history of applicants
for employment and employees.
The statutes and implementing regulations under which the federal
financial assistance is provided may contain additional provisions
regulating collection and disclosure of medical, health, and
disability-related information. *See, e.g.*, section 188 of the
Workforce Investment Act of 1988 (29 U.S.C. 2938) and 29 CFR 37.3(b).
Thus, covered entities that are subject to this privacy regulation, may
also be subject to the restrictions in these laws as well.
*U.S. Safe Harbor Privacy Principles (European Union Directive on Data
Protection).*
The E.U. Directive became effective in October 1998 and prohibits
European Union Countries from permitting the transfer of personal data
to another country without ensuring that an "adequate level of
protection," as determined by the European Commission, exists in the
other country or pursuant to one of the Directive's derogations of this
rule, such as pursuant to unambiguous consent or to fulfill a contract
with the individual. In July 2000, the European Commission concluded
that the U.S. Safe Harbor Privacy Principles[^1] constituted "adequate
protection." Adherence to the Principles is voluntary. Organizations
wishing to engage in the exchange of personal data with E.U. countries
may assert compliance with the Principles as one means of obtaining data
from E.U. countries.
The Department of Commerce, which negotiated these Principles with the
European Commission, has provided guidance for U.S. organizations
seeking to adhere to the guidelines and comply with U.S. law. We believe
this guidance addresses the concerns covered entities seeking to
transfer personal data from E.U. countries may have. When "U.S. law
imposes a conflicting obligation, U.S. organizations whether in the safe
harbor or not must comply with the law." An organization does not need
to comply with the Principles if a conflicting U.S. law "explicitly
authorizes" the particular conduct. The organization's non-compliance is
"limited to the extent necessary to meet the overriding legitimate
interests further\[ed\] by such authorization." However, if only a
difference exists such that an "option is allowable under the Principles
and/or U.S. law, organizations are expected to opt for the higher
protection where possible." Questions regarding compliance and
interpretation will be decided based on U.S. law. *See* Department of
Commerce, Memorandum on Damages for Breaches of Privacy, Legal
Authorizations and Mergers and Takeovers in U.S. Law 5 (July 17, 2000);
Department of Commerce, Safe Harbor Privacy Principles Issued by the
U.S. Department of Commerce on July 21, 2000, 65 Fed. Reg. 45666 (2000).
The Principles and our privacy regulation are based on common principles
of fair information practices. We believe they are essentially
consistent and that an organization complying with our privacy
regulation can fairly and correctly self-certify that it complies with
the Principles. If a true conflict arises between the privacy regulation
and the Principles, the Department of Commerce's guidance provides that
an entity must comply with the U.S. law.
**PART 160--SUBPART C--COMPLIANCE AND ENFORCEMENT**
Proposed § 164.522 included five paragraphs addressing activities
related to the Secretary's enforcement of the rule. These provisions
were based on procedures and requirements in various civil rights
regulations. Proposed § 164.522(a) provided that the Secretary would, to
the extent practicable, seek the cooperation of covered entities in
obtaining compliance, and could provide technical assistance to covered
entities to help them comply voluntarily. Proposed § 164.522(b) provided
that individuals could file complaints with the Secretary. However,
where the complaint related to the alleged failure of a covered entity
to amend or correct protected health information as proposed in the
rule, the Secretary would not make certain determinations such as
whether protected health information was accurate or complete. This
paragraph also listed the requirements for filing complaints and
indicated that the Secretary may investigate such complaints and what
might be reviewed as part of such investigation.
Under proposed § 164.522(c), the Secretary would be able to conduct
compliance reviews. Proposed § 164.522(d) described the responsibilities
that covered entities keep records and reports as prescribed by the
Secretary, cooperate with compliance reviews, permit the Secretary to
have access to their facilities, books, records, and other sources of
information during normal business hours, and seek records held by other
persons. This paragraph also stated that the Secretary would maintain
the confidentiality of protected health information she collected and
prohibit covered entities from taking retaliatory action against
individuals for filing complaints or for other activities. Proposed §
164.522(e) provided that the Secretary would inform the covered entity
and the individual complainant if an investigation or review indicated a
failure to comply and would seek to resolve the matter informally if
possible. If the matter could not be resolved informally, the Secretary
would be able to issue written findings, be required to inform the
covered entity and the complainant, and be able to pursue civil
enforcement action or make a criminal referral. The Secretary would also
be required to inform the covered entity and the individual complainant
if no violation was found.
We make the following changes and additions to proposed § 164.522 in the
final rule. First, we have moved this section to part 160, as a new
subpart C, "Compliance and Enforcement." Second, we add new sections
that explain the applicability of these provisions and incorporate
certain definitions. Accordingly, we change the proposed references to
violations to "this subpart" to violations of "the applicable
requirements of part 160 and the applicable standards, requirements, and
implementation specifications of subpart E of part 164 of this
subchapter." Third, the final rule at § 160.306(a) provides that any
person, not just an "individual" (the person who is the subject of the
individually identifiable health information) may file a complaint with
the Secretary. Other references in this subpart to an individual have
been changed accordingly. Fourth, we delete the proposed § 164.522(a)
language that indicated that the Secretary would not determine whether
information was accurate or complete, or whether errors or omissions
might have an adverse effect on the individual. While the policy is not
changed in that the Secretary will not make such determinations, we
believe the language is unnecessary and may suggest that we would make
all other types of determinations, such as all determinations in which
the regulation defers to the professional judgment of the covered
entity. Fifth, § 160.306(b)(3) requires that complaints be filed within
180 days of when the complainant knew or should have known that the act
or omission complained of occurred, unless this time limit is waived by
the Secretary for good cause shown. Sixth, § 160.310(b) requires
cooperation with investigations as well as compliance reviews. Seventh,
§ 160.310 (c)(1) provides that the Secretary must be provided access to
a covered entity's facilities, books, records, accounts, and other
sources of information, including protected health information, at any
time and without notice where exigent circumstances exist, such as where
documents might be hidden or destroyed. Eighth, the provision proposed
at § 164.522(d) that would prohibit covered entities from taking
retaliatory action against individuals for filing a complaint with the
Secretary or for certain other actions has been changed and moved to §
164.530. Ninth, § 160. 312(a)(2) deletes the reference in the proposed
rule to using violation findings as a basis for initiating action to
secure penalties. This deletion is not a substantive change. This
language was removed because penalties will be addressed in the
enforcement regulation. As in the NPRM, the Secretary may promulgate
alternative procedures for complaints relating to national security. For
example, to protect classified information, we may promulgate rules that
would allow an intelligence community agency to create a separate body
within that agency to receive complaints.
The Department plans to issue an Enforcement Rule that applies to all of
the regulations that the Department issues under the Administrative
Simplification provisions of HIPAA. This regulation will address the
imposition of civil monetary penalties and the referral of criminal
cases where there has been a violation of this rule. Penalties are
provided for under section 262 of HIPAA. The Enforcement Rule would also
address the topics covered by Subpart C below. It is expected that this
Enforcement Rule would replace Subpart C.
**PART 164 -- SUBPART A -- GENERAL PROVISIONS**
**SECTION 164.102 -- STATUTORY BASIS**
In the NPRM, we provided that the provisions of this part are adopted
pursuant to the Secretary\'s authority to prescribe standards,
requirements, and implementation standards under part C of title XI of
the Act and section 264 of Public Law 104-191. The final rule adopts
this language.
**SECTION 164.104 -- APPLICABILITY**
In the NPRM, we provided that except as otherwise provided, the
provisions of this part apply to covered entities: health plans, health
care clearinghouses, and health care providers who transmit health
information in electronic form in connection with any transaction
referred to in section 1173(a)(1) of the Act. The final rule adopts this
language.
**SECTION 164.106 -- RELATIONSHIP TO OTHER PARTS**
The final rule adds a new provision stating that in complying with the
requirements of this part, covered entities are required to comply with
the applicable provisions of parts 160 and 162 of this subchapter. This
language references Subchapter C in this regulation, Administrative Data
Standards and Related Requirements; Part 160, General Administrative
Requirements; and Part 162, Administrative Requirements. Part 160
includes requirements such as keeping records and submitting compliance
reports to the Secretary and cooperating with the Secretary's complaint
investigations and compliance reviews. Part 162 includes requirements
such as requiring a covered entity that conducts an electronic
transaction, adopted under this part, with another covered entity to
conduct the transaction as a standard transaction as adopted by the
Secretary.
**PART 164 -- SUBPART B-D -- RESERVED**
**PART 164 -- SUBPART E -- PRIVACY**
**SECTION 164.500 -- APPLICABILITY**
The discussion below describes the entities and the information that are
subject to the final regulation.
Many of the provisions of the regulation are presented as "standards."
Generally, the standards indicate what must be accomplished under the
regulation and implementation specifications describe how the standards
must be achieved.
***Covered Entities***
We proposed in the NPRM to apply the standards in the regulation to
health plans, health care clearinghouses, and to any health care
provider who transmits health information in electronic form in
connection with transactions referred to in section 1173(a)(1) of the
Act. The proposal referred to these entities as "covered entities."
We have revised § 164.500 to clarify the applicability of the rule to
health care clearinghouses. As we stated in the preamble to the NPRM, we
believe that in most instances health care clearinghouses will receive
protected health information as a business associate to another covered
entity. This understanding was confirmed by the comments and by our fact
finding. Clearinghouses rarely have direct contact with individuals, and
usually will not be in a position to create protected health information
or to receive it directly from them. Unlike health plans and providers,
clearinghouses usually convey and repackage information and do not add
materially to the substance of protected health information of an
individual.
The revised language provides that clearinghouses are not subject to
certain requirements in the rule when acting as business associates of
other covered entities. As revised, a clearinghouse acting as a business
associate is subject only to the provisions of this section, to the
definitions, to the general rules for uses and disclosures of protected
health information (subject to limitations), to the provision relating
to health care components, to the provisions relating to uses and
disclosures for which consent, individual authorization or an
opportunity to agree or object is not required (subject to limitations),
to the transition requirements and to the compliance date. With respect
to the uses and disclosures authorized under § 164.502 or § 164.512, a
clearinghouse acting as a business associate is not authorized by the
rule to make any use or disclosure not permitted by its business
associate contract. Clearinghouses acting as business associates are not
subject to the other requirements of this rule, which include the
provisions relating to procedural requirements, requirements for
obtaining consent, individual authorization or agreement, provision of a
notice, individual rights to request privacy protection, access and
amend information and receive an accounting of disclosures and the
administrative requirements.
We note that, even as business associates, clearinghouses remain covered
entities.
Clearinghouses, like other covered entities, are responsible under this
regulation for abiding by the terms of business associate contracts. For
example, while the provisions regarding individuals' access to and right
to request corrections to protected health information about them apply
only to health plans and covered health care providers, clearinghouses
may have some responsibility for providing such access under their
business associate contracts. A clearinghouse (or any other covered
entity) that violates the terms of a business associate contract also is
in direct violation of this rule and, as a covered entity, is subject to
compliance and enforcement action.
We clarify that a covered entity is only subject to these rules to the
extent that they possess protected health information. Moreover, these
rules only apply with regard to protected health information. For
example, if a covered entity does not disclose or receive from its
business associate any protected health information and no protected
health information is created or received by its business associate on
behalf of the covered entity, then the business associate requirements
of this rule do not apply.
We clarify that the Department of Defense or any other federal agency
and any non-governmental organization acting on its behalf, is not
subject to this rule when it provides health care in another country to
foreign national beneficiaries. The Secretary believes that this
exemption is warranted because application of the rule could have the
unintended effect of impeding or frustrating the conduct of such
activities, such as interfering with the ability of military command
authorities to obtain protected health information on prisoners of war,
refugees, or detainees for whom they are responsible under international
law. See the preamble to the definition of "individual" for further
discussion.
***Covered Information***
We proposed in the NPRM to apply the requirements of the rule to
individually identifiable health information that is or has been
electronically transmitted or maintained by a covered entity. The
provisions would have applied to the information itself, referred to as
protected health information in the rule, and not to the particular
records in which the information is contained. We proposed that once
information was maintained or transmitted electronically by a covered
entity, the protections would follow the information in whatever form,
including paper records, in which it exists while held by a covered
entity. The proposal would not have applied to information that was
never electronically maintained or transmitted by a covered entity.
In the final rule, we extend the scope of protections to all
individually identifiable health information in any form, electronic or
non-electronic, that is held or transmitted by a covered entity. This
includes individually identifiable health information in paper records
that never has been electronically stored or transmitted. (See §
164.501, definition of "protected health information," for further
discussion.)
**SECTION 164.501---DEFINITIONS**
***Correctional institution.***
The proposed rule did not define the term correctional institution. The
final rule defines correctional institution as any penal or correctional
facility, jail, reformatory, detention center, work farm, halfway house,
or residential community program center operated by, or under contract
to, the United States, a state, a territory, a political subdivision of
a state or territory, or an Indian tribe, for the confinement or
rehabilitation of persons charged with or convicted of a criminal
offense or other persons held in lawful custody. *Other persons held in
lawful custody* includes juvenile offenders adjudicated delinquent,
aliens detained awaiting deportation, persons committed to mental
institutions through the criminal justice system, witnesses, or others
awaiting charges or trial. This language was necessary to explain the
privacy rights and protections of inmates in this regulation.
***Covered functions.***
We add a new term, "covered functions," as a shorthand way of expressing
and referring to the functions that the entities covered by section
1172(a) of the Act perform. Section 1171 defines the terms "health
plan", "health care provider", and "health care clearinghouse" in
functional terms. Thus, a "health plan" is an individual or group plan
"that provides, or pays the cost of, medical care\...", a "health care
provider" "furnish\[es\] health care services or supplies," and a
"health care clearinghouse" is an entity "that processes or facilitates
the processing of \... data elements of health information\...". Covered
functions, therefore, are the activities that any such entity engages in
that are directly related to operating as a health plan, health care
provider, or health care clearinghouse; that is, they are the functions
that make it a health plan, health care provider, or health care
clearinghouse.
The term "covered functions" is not intended to include various support
functions, such as computer support, payroll and other office support,
and similar support functions, although we recognize that these support
functions must occur in order for the entity to carry out its health
care functions. Because such support functions are often also performed
for parts of an organization that are not doing functions directly
related to the health care functions and may involve access to and/or
use of protected health information, the rules below describe
requirements for ensuring that workforce members who perform these
support functions do not impermissibly use or disclose protected health
information. See § 164.504.
***Data aggregation.***
The NPRM did not include a definition of data aggregation. In the final
rule, *data aggregation* is defined, with respect to protected health
information received by a business associate in its capacity as the
business associate of a covered entity, as the combining of such
protected health information by the business associate with protected
health information received by the business associate in its capacity as
a business associate of another covered entity, to permit the creation
of data for analyses that relate to the health care operations of the
respective covered entities. The definition is included in the final
rule to help describe how business associates can assist covered
entities to perform health care operations that involve comparative
analysis of protected health information from otherwise unaffiliated
covered entities. Data aggregation is a service that gives rise to a
business associate relationship if the performance of the service
involves disclosure of protected health information by the covered
entity to the business associate.
***Designated record set.***
In the proposed rule, we defined designated record set as "a group of
records under the control of a covered entity from which information is
retrieved by the name of the individual or by some identifying number,
symbol, or other identifying particular assigned to the individual and
which is used by the covered entity to make decisions about the
individual." We defined a "record" as "any item, collection, or grouping
of protected health information maintained, collected, used, or
disseminated by a covered entity."
In the final rule, we modify the definition of designated record set to
specify certain records maintained by or for a covered entity that are
always part of a covered entity's designated record sets and to include
other records that are used to make decisions about individuals. We do
not use the means of retrieval of a record as a defining criteria.
For health plans, designated record sets include, at a minimum, the
enrollment, payment, claims adjudication, and case or medical management
record systems of the plan. For covered health care providers,
designated record sets include, at a minimum, the medical record and
billing record about individuals maintained by or for the provider. In
addition to these records, designated record sets include any other
group of records that are used, in whole or in part, by or for a covered
entity to make decisions about individuals. We note that records that
otherwise meet the definition of designated record set and which are
held by a business associate of the covered entity are part of the
covered entity's designated record sets. Although we do not specify
particular types of records that are always included in the designated
record sets of clearinghouses when they are not acting as business
associates, this definition includes a group of records that such a
clearinghouse uses, in whole or in part, to make decisions about
individuals.
For the most part we retain, with slight modifications, the definition
of "record," defining it as any item, collection, or grouping of
information that includes protected health information and is
maintained, collected, used, or disseminated.
***Direct treatment relationship.***
This term was not included in the proposed rule. Direct treatment
relationship means a relationship between a health care provider and an
individual that is not an indirect treatment relationship (see
definition of indirect treatment relationship, below). For example,
outpatient pharmacists and Web-based providers generally have direct
treatment relationships with patients. Outpatient pharmacists fill
prescriptions written by other providers, but they furnish the
prescription and advice about the prescription directly to the patient,
not through another treating provider. Web-based providers generally
deliver health care independently, without the orders of another
provider.
A provider may have direct treatment relationships with some patients
and indirect treatment relationships with others. In some provisions of
the final rule, providers with indirect treatment relationships are
excepted from requirements that apply to other providers. See § 164.506
regarding consent for uses and disclosures of protected health
information for treatment, payment, and health care operations, and §
164.520 regarding notice of information practices. These exceptions
apply only with respect to the individuals with whom the provider has an
indirect treatment relationship.
***Disclosure.***
We proposed to define "disclosure" to mean the release, transfer,
provision of access to, or divulging in any other manner of information
outside the entity holding the information. The final rule is unchanged.
We note that the transfer of protected health information from a covered
entity to a business associate is a disclosure for purposes of this
regulation.
***Health care operations.***
The preamble to the proposed rule explained that in order for treatment
and payment to occur, protected health information must be used within
entities and shared with business partners. In the proposed rule we
provided a definition for "health care operations" to clarify the
activities we considered to be "compatible with and directly related to"
treatment and payment and for which protected health information could
be used or disclosed without individual authorization. These activities
included conducting quality assessment and improvement activities,
reviewing the competence or qualifications and accrediting/licensing of
health care professionals and plans, evaluating health care professional
and health plan performance, training future health care professionals,
insurance activities relating to the renewal of a contract for
insurance, conducting or arranging for medical review and auditing
services, and compiling and analyzing information in anticipation of or
for use in a civil or criminal legal proceeding. Recognizing the dynamic
nature of the health care industry, we acknowledged that the specified
categories may need to be modified as the industry evolves.
The preamble discussion of the proposed general rules listed certain
activities that would not be considered health care operations because
they were sufficiently unrelated to treatment and payment to warrant
requiring an individual to authorize such use or disclosure. Those
activities included: marketing of health and non-health items and
services; disclosure of protected health information for sale, rent or
barter; use of protected health information by a non-health related
division of an entity; disclosure of protected health information for
eligibility, enrollment, underwriting, or risk rating determinations
prior to an individuals' enrollment in a health plan; disclosure to an
employer for employment determinations; and fundraising.
In the final rule, we do not change the general approach of defining
health care operations: health care operations are the listed activities
undertaken by the covered entity that maintains the protected health
information (i.e., one covered entity may not disclose protected health
information for the operations of a second covered entity); a covered
entity may use any protected health information it maintains for its
operations (e.g., a plan may use protected health information about
former enrollees as well as current enrollees); we expand the proposed
list to reflect many changes requested by commenters.
We modify the proposal that health care operations represent activities
"in support of" treatment and payment functions. Instead, in the final
rule, health care operations are the enumerated activities to the extent
that the activities are related to the covered entity's functions as a
health care provider, health plan or health care clearinghouse, i.e.,
the entity's "covered functions." We make this change to clarify that
health care operations includes general administrative and business
functions necessary for the covered entity to remain a viable business.
While it is possible to draw a connection between all the enumerated
activities and "treatment and payment," for some general business
activities (e.g., audits for financial disclosure statements) that
connection may be tenuous. The proposed concept also did not include the
operations of those health care clearinghouses that may be covered by
this rule outside their status as business associate to a covered
entity. We expand the definition to include disclosures for the
enumerated activities of organized health care arrangements in which the
covered entity participates. See also the definition of organized health
care arrangements, below.
In addition, we make the following changes and additions to the
enumerated subparagraphs:
\(1\) We add language to clarify that the primary purpose of the studies
encompassed by "quality assessment and improvement activities" must not
be to obtain generalizable knowledge. A study with such a purpose would
meet the rule's definition of research, and use or disclosure of
protected health information would have to meet the requirements of §§
164.508 or 164.512(i). Thus, studies may be conducted as a health care
operation if development of generalizable knowledge is not the primary
goal. However, if the study changes and the covered entity intends the
results to be generalizable, the change should be documented by the
covered entity as proof that, when initiated, the primary purpose was
health care operations.
We add population-based activities related to improving health or
reducing health care costs, protocol development, case management and
care coordination, contacting of health care providers and patients with
information about treatment alternatives, and related functions that do
not entail direct patient care. Many commenters recommended adding the
term "disease management" to health care operations. We were unable,
however, to find a generally accepted definition of the term. Rather
than rely on this label, we include many of the functions often included
in discussions of disease management in this definition or in the
definition of treatment. This topic is discussed further in the comment
responses below.
\(2\) We have deleted "undergraduate and graduate" as a qualifier for
"students," to make the term more general and inclusive. We add the term
"practitioners." We expand the purposes encompassed to include
situations in which health care providers are working to improve their
skills. The rule also adds the training of non-health care
professionals.
\(3\) The rule expands the range of insurance related activities to
include those related to the creation, renewal or replacement of a
contract for health insurance or health benefits, as well as ceding,
securing, or placing a contract for reinsurance of risk relating to
claims for health care (including stop-loss and excess of loss
insurance). For these activities, we also eliminate the proposed
requirement that these uses and disclosures apply only to protected
health information about individuals already enrolled in a health plan.
Under this provision, a group health plan that wants to replace its
insurance carrier may disclose certain protected health information to
insurance issuers in order to obtain bids on new coverage, and an
insurance carrier interested in bidding on new business may use
protected health information obtained from the potential new client to
develop the product and pricing it will offer. For circumstances in
which no new contract is issued, we add a provision in § 164.514(g)
restricting the recipient health plan from using or disclosing protected
health information obtained for this purpose, other than as required by
law. Uses and disclosures in these cases come within the definition of
"health care operations," provided that the requirements of § 164.514(g)
are met, if applicable. See § 164.504(f) for requirements for such
disclosures by group health plans, as well as specific restrictions on
the information that may be disclosed to plan sponsors for such
purposes. We note that a covered health care provider must obtain an
authorization under § 164.508 in order to disclose protected health
information about an individual for purposes of pre-enrollment
underwriting; the underwriting is not an "operation" of the provider and
that disclosure is not otherwise permitted by a provision of this rule.
\(4\) We delete reference to the "compiling and analyzing information in
anticipation of or for use in a civil or criminal legal proceeding" and
replace it with a broader reference to conducting or arranging for
"legal services."
We add two new categories of activities:
\(5\) Business planning and development, such as conducting
cost-management and planning-related analyses related to managing and
operating the entity, including formulary development and
administration, development or improvement of methods of payment or
coverage policies.
\(6\) Business management activities and general administrative
functions, such as management activities relating to implementation of
and compliance with the requirements of this subchapter, fundraising for
the benefit of the covered entity to the extent permitted without
authorization under § 164.514(f), and marketing of certain services to
individuals served by the covered entity, to the extent permitted
without authorization under § 164.514(e) (see discussion in the preamble
to that section, below). For example, under this category we permit uses
or disclosures of protected health information to determine from whom an
authorization should be obtained, for example to generate a mailing list
of individuals who would receive an authorization request.
We add to the definition of health care operations disclosure of
protected health information for due diligence to a covered entity that
is a potential successor in interest. This provision includes
disclosures pursuant to the sale of a covered entity\'s business as a
going concern, mergers, acquisitions, consolidations, and other similar
types of corporate restructuring between covered entities, including a
division of a covered entity, and to an entity that is not a covered
entity but will become a covered entity if the transfer or sale is
completed. Other types of sales of assets, or disclosures to
organizations that are not and would not become covered entities, are
not included in the definition of health care operations and could only
occur if the covered entity obtained valid authorization for such
disclosure in accordance with § 164.508, or if the disclosure is
otherwise permitted under this rule.
We also add to health care operations disclosure of protected health
information for resolution of internal grievances. These uses and
disclosures include disclosure to an employee and/or employee
representative, for example when the employee needs protected health
information to demonstrate that the employer's allegations of improper
conduct are untrue. We note that such employees and employee
representatives are not providing services to or for the covered entity,
and, therefore, no business associate contract is required. Also
included are resolution of disputes from patients or enrollees regarding
the quality of care and similar matters.
We also add use for customer service, including the provision of data
and statistical analyses for policyholders, plan sponsors, or other
customers, as long as the protected health information is not disclosed
to such persons. We recognize that part of the general management of a
covered entity is customer service. We clarify that customer service may
include the use of protected health information to provide data and
statistical analyses. For example, a plan sponsor may want to understand
why its costs are rising faster than average, or why utilization in one
plant location is different than in another location. An association
that sponsors an insurance plan for its members may want information on
the relative costs of its plan in different areas. Some plan sponsors
may want more detailed analyses that attempt to identify health problems
in a work site. We note that when a plan sponsor has several different
group health plans, or when such plans provide insurance or coverage
through more than one health insurance issuer or HMO, the covered
entities may jointly engage in this type of analysis as a health care
operation of the organized health care arrangement.
This activity qualifies as a health care operation only if it does not
result in the disclosure of protected health information to the
customer. The results of the analyses must be presented in a way that
does not disclose protected health information. A disclosure of
protected health information to the customer as a health care operation
under this provision violates this rule. This provision is not intended
to permit covered entities to circumvent other provisions in this rule,
including requirements relating to disclosures of protected health
information to plan sponsors or the requirements relating to research.
See § 164.504(f) and § 164.512(i).
We use the term customer to provide flexibility to covered entities. We
do not intend the term to apply to persons with whom the covered entity
has no other business; this provision is intended to permit covered
entities to provide service to their existing customer base.
We note that this definition, either alone or in conjunction with the
definition of "organized health care arrangement," allows an entity such
as an integrated staff model HMO, whether legally integrated or whether
a group of associated entities, that hold themselves out as an organized
arrangement to share protected health information under § 164.506. In
these cases, the sharing of protected health information will be either
for the operations of the disclosing entity or for the organized health
care arrangement in which the entity is participating.
Whether a disclosure is allowable for health care operations under this
provision is determined separately from whether a business associate
contract is required. These provisions of the rule operate
independently. Disclosures for health care operations may be made to an
entity that is neither a covered entity nor a business associate of the
covered entity. For example, a covered academic medical center may
disclose certain protected health information to community health care
providers who participate in one of its continuing medical education
programs, whether or not such providers are covered health care
providers under this rule. A provider attending a continuing education
program is not thereby performing services for the covered entity
sponsoring the program and, thus, is not a business associate for that
purpose. Similarly, health plans may disclose for due diligence purposes
to another entity that may or may not be a covered entity or a business
associate.
***Health oversight agency.***
The proposed rule would have defined "health oversight agency" as "an
agency, person, or entity, including the employees or agents thereof,
(1) That is: (i) A public agency; or (ii) A person or entity acting
under grant of authority from or contract with a public agency; and (2)
Which performs or oversees the performance of any audit; investigation;
inspection; licensure or discipline; civil, criminal, or administrative
proceeding or action; or other activity necessary for appropriate
oversight of the health care system, of government benefit programs for
which health information is relevant to beneficiary eligibility, or of
government regulatory programs for which health information is necessary
for determining compliance with program standards." The proposed rule
also described the functions of health oversight agencies in the
proposed health oversight section (§ 164.510(c)) by repeating much of
this definition.
In the final rule, we modify the definition of health oversight agency
by eliminating from the definition the language in proposed § 164.510(c)
(now § 164.512(d)). In addition, the final rule clarifies this
definition by specifying that a "health oversight agency" is an agency
or authority of the United States, a state, a territory, a political
subdivision of a state or territory, or an Indian tribe, or a person or
entity acting under a grant of authority from or contract with such
public agency, including the employees or agents of such public agency
or its contractors or grantees, that is authorized by law to oversee the
health care system or government programs in which health information is
necessary to determine eligibility or compliance, or to enforce civil
rights laws for which health information is relevant.
The preamble to the proposed rule listed the following as examples of
health oversight agencies that conduct oversight activities relating to
the health care system: state insurance commissions, state health
professional licensure agencies, Offices of Inspectors General of
federal agencies, the Department of Justice, state Medicaid fraud
control units, Defense Criminal Investigative Services, the Pension and
Welfare Benefit Administration, the HHS Office for Civil Rights, and the
FDA. The proposed rule listed the Social Security Administration and the
Department of Education as examples of health oversight agencies that
conduct oversight of government benefit programs for which health
information is relevant to beneficiary eligibility. The proposed rule
listed the Occupational Health and Safety Administration and the
Environmental Protection Agency as examples of oversight agencies that
conduct oversight of government regulatory programs for which health
information is necessary for determining compliance with program
standards.
In the final rule, we include the following as additional examples of
health oversight activities: (1) The U.S. Department of Justice's civil
rights enforcement activities, and in particular, enforcement of the
Civil Rights of Institutionalized Persons Act (42 U.S.C. 1997-1997j) and
the Americans with Disabilities Act (42 U.S.C. 12101 et seq.), as well
as the EEOC's civil rights enforcement activities under titles I and V
of the ADA; (2) the FDA's oversight of food, drugs, biologics, devices,
and other products pursuant to the Food, Drug, and Cosmetic Act (21
U.S.C. 301 et seq.) and the Public Health Service Act (42 U.S.C. 201 et
seq.); and (3) data analysis -- performed by a public agency or by a
person or entity acting under grant of authority from or under contract
with a public agency -- to detect health care fraud.
"Overseeing the health care system," which is included in the definition
of health oversight, encompasses activities such as: oversight of health
care plans; oversight of health benefit plans; oversight of health care
providers; oversight of health care and health care delivery; oversight
activities that involve resolution of consumer complaints; oversight of
pharmaceuticals, medical products and devices, and dietary supplements;
and a health oversight agency's analysis of trends in health care costs,
quality, health care delivery, access to care, and health insurance
coverage for health oversight purposes.
We recognize that health oversight agencies, such as the U.S. Department
of Labor's Pension and Welfare Benefits Administration, may perform more
than one type of health oversight. For example, agencies may sometimes
perform audits and investigations and at other times conduct general
oversight of health benefit plans. Such entities are considered health
oversight agencies under the rule for any and all of the health
oversight functions that they perform.
The definition of health oversight agency does not include private
organizations, such as private-sector accrediting groups. Accreditation
organizations are performing health care operations functions on behalf
of health plans and covered health care providers. Accordingly, in order
to obtain protected health information without individuals'
authorizations, accrediting groups must enter into business associate
agreements with health plans and covered health care providers for these
purposes. Similarly, private entities, such as coding committees, that
help government agencies that are health plans make coding and payment
decisions are performing health care payment functions on behalf the
government agencies and, therefore, must enter into business associate
agreements in order to receive protected health information from the
covered entity (absent individuals' authorization for such disclosure).
***Indirect treatment relationship.***
This term was not included in the proposed rule. An "indirect treatment
relationship" is a relationship between a health care provider and an
individual in which the provider delivers health care to the individual
based on the orders of another health care provider and the health care
services, products, diagnoses, or results are typically furnished to the
patient through another provider, rather than directly. For example,
radiologists and pathologists generally have indirect treatment
relationships with patients because they deliver diagnostic services
based on the orders of other providers and the results of those services
are furnished to the patient through the direct treating provider. This
definition is necessary to clarify the relationships between providers
and individuals in the regulation. For example, see the consent
discussion at § 164.506.
***Individual.***
We proposed to define "individual" to mean the person who is the subject
of the protected health information. We proposed that the term include,
with respect to the signing of authorizations and other rights (such as
access, copying, and correction), the following types of legal
representatives:
\(1\) With respect to adults and emancipated minors, legal
representatives (such as court-appointed guardians or persons with a
power of attorney), to the extent to which applicable law permits such
legal representatives to exercise the person's rights in such contexts.
\(2\) With respect to unemancipated minors, a parent, guardian, or
person acting *in loco parentis*, provided that when a minor lawfully
obtains a health care service without the consent of or notification to
a parent, guardian, or other person acting *in loco parentis*, the minor
shall have the exclusive right to exercise the rights of an individual
with respect to the protected health information relating to such care.
\(3\) With respect to deceased persons, an executor, administrator, or
other person authorized under applicable law to act on behalf of the
decedent's estate.
In addition, we proposed to exclude from the definition:
\(1\) Foreign military and diplomatic personnel and their dependents who
receive health care provided by or paid for by the Department of Defense
or other federal agency or by an entity acting on its behalf, pursuant
to a country-to-country agreement or federal statute.
\(2\) Overseas foreign national beneficiaries of health care provided by
the Department of Defense or other federal agency or by a
non-governmental organization acting on its behalf.
In the final rule, we eliminate from the definition of "individual" the
provisions designating a legal representative as the "individual" for
purposes of exercising certain rights with regard to protected health
information. Instead, we include in the final rule a separate standard
for "personal representatives." A covered entity must treat a personal
representative of an individual as the individual except under specified
circumstances. See discussion in § 164.502(g) regarding personal
representatives.
In addition, we eliminate from the definition of "individual" the above
exclusions for foreign military and diplomatic personnel and overseas
foreign national beneficiaries. We address the special circumstances for
use and disclosure of protected health information about individuals who
are foreign military personnel in § 164.512(k). We address overseas
foreign national beneficiaries in § 164.500, "Applicability." The
protected health information of individuals who are foreign diplomatic
personnel and their dependents are not subject to special treatment
under the final rule.
Individually identifiable health information about one individual may
exist in the health records of another individual; health information
about one individual may include health information about a second
person. For example, a patient\'s medical record may contain information
about the medical conditions of the patient's parents, children, and
spouse, as well as their names and contact information. For the purpose
of this rule, if information about a second person is included within
the protected health information of an individual, the second person is
not the person who is the subject of the protected health information.
The second person is not the "individual" with regard to that protected
health information, and under this rule thus does not have the
individual\'s rights (e.g., access and amendment) with regard to that
information.
***Individually identifiable health information.***
We proposed to define "individually identifiable health information" to
mean information that is a subset of health information, including
demographic information collected from an individual, and that:
\(1\) Is created by or received from a health care provider, health
plan, employer, or health care clearinghouse; and
\(2\) Relates to the past, present, or future physical or mental health
or condition of an individual, the provision of health care to an
individual, or the past, present, or future payment for the provision of
health care to an individual, and
\(i\) Which identifies the individual, or
\(ii\) With respect to which there is a reasonable basis to believe that
the information can be used to identify the individual.
In the final rule, we change "created by or received from a health care
provider\..." to "created or received by a health care provider\... " in
order to conform to the statute. We otherwise retain the definition of
"individually identifiable health information" without change in the
final rule.
***Inmate.***
The proposed rule did not define the term inmate. In the final rule, it
is defined as a person incarcerated in or otherwise confined to a
correctional institution. The addition of this definition is necessary
to explain the privacy rights and protections of inmates in this
regulation.
***Law enforcement official.***
The proposed rule would have defined a "law enforcement official" as "an
official of an agency or authority of the United States, a state, a
territory, a political subdivision of a state or territory, or an Indian
tribe, who is empowered by law to conduct: (1) an investigation or
official proceeding inquiring into a violation of, or failure to comply
with, any law; or (2) a criminal, civil, or administrative proceeding
arising from a violation of, or failure to comply with, any law."
The final rule modifies this definition slightly. The definition in the
final rule recognizes that law enforcement officials are empowered to
prosecute cases as well as to conduct investigations and civil,
criminal, or administrative proceedings. In addition, the definition in
the final rule reflects the fact that when investigations begin, often
it is not clear that law has been violated. Thus, the final rule
describes law enforcement investigations and official proceedings as
inquiring into a potential violation of law. In addition, it describes
law enforcement-related civil, criminal, or administrative proceedings
as arising from alleged violation of law.
***Marketing.***
The proposed rule did not include a definition of "marketing." The
proposed rule generally required that a covered entity would need an
authorization from an individual to use or disclose protected health
information for marketing.
In the final rule we define marketing as a communication about a product
or service a purpose of which is to encourage recipients of the
communication to purchase or use the product or service. The definition
does not limit the type or means of communication that are considered
marketing.
The definition of marketing contains three exceptions. If a covered
entity receives direct or indirect remuneration from a third party for
making a written communication otherwise described in an exception, then
the communication is not excluded from the definition of marketing. The
activities we except from the definition of marketing are encompassed by
the definitions of treatment, payment, and health care operations.
Covered entities may therefore use and disclose protected health
information for these excepted activities without authorization under §
164.508 and pursuant to any applicable consent obtained under § 164.506.
The first exception applies to communications made by a covered entity
for the purpose of describing the entities participating in a provider
network or health plan network. It also applies to communications made
by a covered entity for the purpose of describing if and the extent to
which a product or service, or payment for a product or service, is
provided by the covered entity or included in a benefit plan. This
exception permits covered entities to use or disclose protected health
information when discussing topics such as the benefits and services
available under a health plan, the payment that may be made for a
product or service, which providers offer a particular product or
service, and whether a provider is part of a network or whether (and
what amount of) payment will be provided with respect to the services of
particular providers. This exception expresses our intent not to
interfere with communications made to individuals about their health
benefits.
The second exception applies to communications tailored to the
circumstances of a particular individual, made by a health care provider
to an individual as part of the treatment of the individual, and for the
purpose of furthering the treatment of that individual. This exception
leaves health care providers free to use or disclose protected health
information as part of a discussion of its products and services, or the
products and services of others, and to prescribe, recommend, or sell
such products or services, as part of the treatment of an individual.
This exception includes activities such as referrals, prescriptions,
recommendations, and other communications that address how a product or
service may relate to the individual\'s health. This exception expresses
our intent not to interfere with communications made to individuals
about their treatment.
The third exception applies to communications tailored to the
circumstances of a particular individual and made by a health care
provider or health plan to an individual in the course of managing the
treatment of that individual or for the purpose of directing or
recommending to that individual alternative treatments, therapies,
providers, or settings of care. As with the previous exception, this
exception permits covered entities to discuss freely their products and
services and the products and services of third parties, in the course
of managing an individual's care or providing or discussing treatment
alternatives with an individual, even when such activities involve the
use or disclose protected health information.
Section 164.514 contains provisions governing use or disclosure of
protected health information in marketing communications, including a
description of certain marketing communications that may use or include
protected health information but that may be made by a covered entity
without individual authorization. The definition of health care
operations includes those marketing communications that may be made
without an authorization pursuant to § 164.514. Covered entities may
therefore use and disclose protected health information for these
activities pursuant to any applicable consent obtained under § 164.506,
or, if they are not required to obtain a consent under § 164.506,
without one.
***Organized Health Care Arrangement.***
This term was not used in the proposed rule. We define the term in order
to describe certain arrangements in which participants need to share
protected health information about their patients to manage and benefit
the common enterprise. To allow uses and disclosures of protected health
information for these arrangements, we also add language to the
definition of "health care operations." See discussion of that term
above.
We include five arrangements within the definition of *organized health
care arrangement*. The arrangements involve clinical or operational
integration among legally separate covered entities in which it is often
necessary to share protected health information for the joint management
and operations of the arrangement. They may range in legal structure,
but a key component of these arrangements is that individuals who obtain
services from them have an expectation that these arrangements are
integrated and that they jointly manage their operations. We include
within the definition a clinically integrated care setting in which
individuals typically receive health care from more than one health care
provider. Perhaps the most common example of this type of organized
health care arrangement is the hospital setting, where a hospital and a
physician with staff privileges at the hospital together provide
treatment to the individual. Participants in such clinically integrated
settings need to be able to share health information freely not only for
treatment purposes, but also to improve their joint operations. For
example, any physician with staff privileges at a hospital must be able
to participate in the hospital's morbidity and mortality reviews, even
when the particular physician's patients are not being discussed. Nurses
and other hospital personnel must also be able to participate. These
activities benefit the common enterprise, even when the benefits to a
particular participant are not evident. While protected health
information may be freely shared among providers for treatment purposes
under other provisions of this rule, some of these joint activities also
support the health care operations of one or more participants in the
joint arrangement. Thus, special rules are needed to ensure that this
rule does not interfere with legitimate information sharing among the
participants in these arrangements.
We also include within the definition an organized system of health care
in which more than one covered entity participates, and in which the
participating covered entities hold themselves out to the public as
participating in a joint arrangement, and in which the joint activities
of the participating covered entities include at least one of the
following: utilization review, in which health care decisions by
participating covered entities are reviewed by other participating
covered entities or by a third party on their behalf; quality assessment
and improvement activities, in which treatment provided by participating
covered entities is assessed by other participating covered entities or
by a third party on their behalf; or payment activities, if the
financial risk for delivering health care is shared in whole or in part
by participating covered entities through the joint arrangement and if
protected health information created or received by a covered entity is
reviewed by other participating covered entities or by a third party on
their behalf for the purpose of administering the sharing of financial
risk. A common example of this type of organized health care arrangement
is an independent practice association formed by a large number of
physicians. They may advertise themselves as a common enterprise (e.g.,
Acme IPA), whether or not they are under common ownership or control,
whether or not they practice together in an integrated clinical setting,
and whether or not they share financial risk.
If such a group engages jointly in one or more of the listed activities,
the participating covered entities will need to share protected health
information to undertake such activities and to improve their joint
operations. In this example, the physician participants in the IPA may
share financial risk through common withhold pools with health plans or
similar arrangements. The IPA participants who manage the financial
arrangements need protected health information about all the
participants' patients in order to manage the arrangement. (The
participants may also hire a third party to manage their financial
arrangements.) If the participants in the IPA engage in joint quality
assurance or utilization review activities, they will need to share
protected health information about their patients much as participants
in an integrated clinical setting would. Many joint activities that
require the sharing of protected health information benefit the common
enterprise, even when the benefits to a particular participant are not
evident.
We include three relationships related to group health plans as
organized health care arrangements. First, we include a group health
plan and an issuer or HMO with respect to the group health plan within
the definition, but only with respect to the protected health
information of the issuer or HMO that relates to individuals who are or
have been participants or beneficiaries in the group health plan. We
recognize that many group health plans are funded partially or fully
through insurance, and that in some cases the group health plan and
issuer or HMO need to coordinate operations to properly serve the
enrollees. Second, we include a group health plan and one or more other
group health plans each of which are maintained by the same plan
sponsor. We recognize that in some instances plan sponsors provide
health benefits through a combination of group health plans, and that
they may need to coordinate the operations of such plans to better serve
the participants and beneficiaries of the plans. Third, we include a
combination of group health plans maintained by the same plan sponsor
and the health insurance issuers and HMOs with respect to such plans,
but again only with respect to the protected health information of such
issuers and HMOs that relates to individuals who are or have been
enrolled in such group health plans. We recognize that is some instances
a plan sponsor may provide benefits through more than one group health
plan, and that such plans may fund the benefits through one or more
issuers or HMOs. Again, coordinating health care operations among these
entities may be necessary to serve the participants and beneficiaries in
the group health plans. We note that the necessary coordination may
necessarily involve the business associates of the covered entities and
may involve the participation of the plan sponsor to the extent that it
is providing plan administration functions and subject to the limits in
§ 164.504.
***Payment.***
We proposed the term payment to mean:
\(1\) The activities undertaken by or on behalf of a covered entity that
is:
\(i\) A health plan, or by a business partner on behalf of a health
plan, to obtain premiums or to determine or fulfill its responsibility
for coverage under the health plan and for provision of benefits under
the health plan; or
\(ii\) A health care provider or health plan, or a business partner on
behalf of such provider or plan, to obtain reimbursement for the
provision of health care.
\(2\) Activities that constitute payment include:
\(i\) Determinations of coverage, adjudication or subrogation of health
benefit claims;
\(ii\) Risk adjusting amounts due based on enrollee health status and
demographic characteristics;
\(iii\) Billing, claims management, and medical data processing;
\(iv\) Review of health care services with respect to medical necessity,
coverage under a health plan, appropriateness of care, or justification
of charges; and
\(v\) Utilization review activities, including precertification and
preauthorization of services.
In the final rule, we maintain the general approach of defining of
payment: payment activities are described generally in the first clause
of the definition, and specific examples are given in the second clause.
Payment activities relate to the covered entity that maintains the
protected health information (i.e., one covered entity may not disclose
protected health information for the payment activities of a second
covered entity). A covered entity may use or disclose only the protected
health information about the individual to whom care was rendered, for
its payment activities (e.g., a provider may disclose protected health
information only about the patient to whom care was rendered in order to
obtain payment for that care, or only the protected health information
about persons enrolled in the particular health plan that seeks to audit
the provider's records). We expand the proposed list to reflect many
changes requested by commenters.
We add eligibility determinations as an activity included in the
definition of payment. We expand coverage determinations to include the
coordination of benefits and the determination of a specific
individual's cost sharing amounts. The rule deletes activities related
to the improvement of methods of paying or coverage policies from this
definition and instead includes them in the definition of health care
operations. We add to the definition "collection activities." We replace
"medical data processing" activities with health care data processing
related to billing, claims management, and collection activities. We add
activities for the purpose of obtaining payment under a contract for
reinsurance (including stop-loss and excess of loss insurance).
Utilization review activities now include concurrent and retrospective
review of services.
In addition, we modify this definition to clarify that the activities
described in section 1179 of the Act are included in the definition of
"payment." We add new subclause (vi) allowing covered entities to
disclose to consumer reporting agencies an individual's name, address,
date of birth, social security number and payment history, account
number, as well as the name and address of the individual's health care
provider and/or health plan, as appropriate. Covered entities may make
disclosure of this protected health information to consumer reporting
agencies for purposes related to collection of premiums or
reimbursement. This allows reporting not just of missed payments and
overdue debt but also of subsequent positive payment experience (e.g.,
to expunge the debt). We consider such positive payment experience to be
"related to" collection of premiums or reimbursement.
The remaining activities described in section 1179 are included in other
language in this definition. For example, "authorizing, processing,
clearing, settling, billing, transferring, reconciling or collecting, a
payment for, or related to, health plan premiums or health care" are
covered by paragraph (2)(iii) of the definition, which allows use and
disclosure of protected health information for "billing, claims
management, collection activities and related health care data
processing." "Claims management" also includes auditing payments,
investigating and resolving payment disputes and responding to customer
inquiries regarding payments. Disclosure of protected health information
for compliance with civil or criminal subpoenas, or with other
applicable laws, are covered under § 164.512 of this regulation. (See
discussion above regarding the interaction between 1179 and this
regulation.)
We modify the proposed regulation text to clarify that payment includes
activities undertaken to reimburse health care providers for treatment
provided to individuals.
Covered entities may disclose protected health information for payment
purposes to any other entity, regardless of whether it is a covered
entity. For example, a health care provider may disclose protected
health information to a financial institution in order to cash a check
or to a health care clearinghouse to initiate electronic transactions.
However, if a covered entity engages another entity, such as a billing
service or a financial institution, to conduct payment activities on its
behalf, the other entity may meet the definition of 'business associate'
under this rule. For example, an entity is acting as a business
associate when it is operating the accounts receivable system on behalf
of a health care provider.
Similarly, payment includes disclosure of protected health information
by a health care provider to an insurer that is not a 'health plan' as
defined in this rule, to obtain payment. For example, protected health
information may be disclosed to obtain reimbursement from a disability
insurance carrier. We do not interpret the definition of "payment" to
include activities that involve the disclosure of protected health
information by a covered entity, including a covered health care
provider, to a plan sponsor for the purpose of obtaining payment under a
group health plan maintained by such plan sponsor, or for the purpose of
obtaining payment from a health insurance issuer or HMO with respect to
a group health plan maintained by such plan sponsor, unless the plan
sponsor is performing plan administration pursuant to § 164.504(f).
The Transactions Rule adopts standards for electronic health care
transactions, including two for processing payments. We adopted the ASC
X12N 835 transaction standard for \"Health Care Payment and Remittance
Advice\" transactions between health plans and health care providers,
and the ASC X12N 820 standard for "Health Plan Premium Payments"
transactions between entities that arrange for the provision of health
care or provide health care coverage payments and health plans. Under
these two transactions, information to effect funds transfer is
transmitted in a part of the transaction separable from the part
containing any individually identifiable health information.
We note that a covered entity may conduct the electronic funds transfer
portion of the two payment standard transactions with a financial
institution without restriction, because it contains no protected health
information. The protected health information contained in the
electronic remittance advice or the premium payment enrollee data
portions of the transactions is not necessary either to conduct the
funds transfer or to forward the transactions. Therefore, a covered
entity may not disclose the protected health information to a financial
institution for these purposes. A covered entity may transmit the
portions of the transactions containing protected health information
through a financial institution if the protected health information is
encrypted so it can be read only by the intended recipient. In such
cases no protected health information is disclosed and the financial
institution is acting solely as a conduit for the individually
identifiable data.
***Plan sponsor.***
In the final rule we add a definition of \"plan sponsor.\" We define
plan sponsor by referencing the definition of the term provided in
(3)(16)(B) of the Employee Retirement Income Security Act (ERISA). The
plan sponsor is the employer or employee organization, or both, that
establishes and maintains an employee benefit plan. In the case of a
plan established by two or more employers, it is the association,
committee, joint board of trustees, or other similar group of
representative of the parties that establish and maintain the employee
benefit plan. This term includes church health plans and government
health plans. Group health plans may disclose protected health
information to plan sponsors who conduct payment and health care
operations activities on behalf of the group health plan if the
requirements for group health plans in § 164.504 are met.
The preamble to the Transactions Rule noted that plan sponsors of group
health plans are not covered entities and, therefore, are not required
to use the standards established in that regulation to perform
electronic transactions, including enrollment and disenrollment
transactions. We do not change that policy through this rule. Plan
sponsors that perform enrollment functions are doing so on behalf of the
participants and beneficiaries of the group health plan and not on
behalf of the group health plan itself. For purposes of this rule, plan
sponsors are not subject to the requirements of § 164.504 regarding
group health plans when conducting enrollment activities.
***Protected health information.***
We proposed to define "protected health information" to mean
individually identifiable health information that is or has been
electronically maintained or electronically transmitted by a covered
entity, as well as such information when it takes any other form. For
purposes of this definition, we proposed to define "electronically
transmitted" as including information exchanged with a computer using
electronic media, such as the movement of information from one location
to another by magnetic or optical media, transmissions over the
Internet, Extranet, leased lines, dial-up lines, private networks,
telephone voice response, and "faxback" systems. We proposed that this
definition not include "paper-to-paper" faxes, or person-to-person
telephone calls, video teleconferencing, or messages left on voice-mail.
Further, "electronically maintained" was proposed to mean information
stored by a computer or on any electronic medium from which the
information may be retrieved by a computer, such as electronic memory
chips, magnetic tape, magnetic disk, or compact disc optical media.
The proposal's definition explicitly excluded:
\(1\) individually identifiable health information that is part of an
"education record" governed by the Family Educational Rights and Privacy
Act (FERPA), 20 U.S.C. 1232g.
\(2\) individually identifiable health information of inmates of
correctional facilities and detainees in detention facilities.
In this final rule we expand the definition of protected health
information to encompasses all individually identifiable health
information transmitted or maintained by a covered entity, regardless of
form. Specifically, we delete the conditions for individually
identifiable health information to be "electronically maintained" or
"electronically transmitted" and the corresponding definitions of those
terms. Instead, the final rule defines protected health information to
be individually identifiable health information that is:
\(1\) transmitted by electronic media;
\(2\) maintained in any medium described in the definition of
*electronic media* at § 162.103 of this subchapter; or
\(3\) transmitted or maintained in any other form or medium.
We refer to *electronic media*, as defined in § 162.103, which means the
mode of electronic transmission. It includes the Internet (wide-open),
Extranet (using Internet technology to link a business with information
only accessible to collaborating parties), leased lines, dial-up lines,
private networks, and those transmissions that are physically moved from
one location to another using magnetic tape, disk, or compact disk
media.
The definition of protected health information is set out in this form
to emphasize the severability of this provision. As discussed below, we
believe we have ample legal authority to cover all individually
identifiable health information transmitted or maintained by covered
entities. We have structured the definition this way so that, if a court
were to disagree with our view of our authority in this area, the rule
would still be operational, albeit with respect to a more limited
universe of information.
Other provisions of the rules below may also be severable, depending on
their scope and operation. For example, if the rule itself provides a
fallback, as it does with respect to the various discretionary uses and
disclosures permitted under § 164.512, the provisions would be severable
under case law.
The definition in the final rule retains the exception relating to
individually identifiable health information in "education records"
governed by FERPA. We also exclude the records described in 20 U.S.C.
1232g(a)(4)(B)(iv). These are records of students held by post-secondary
educational institutions or of students 18 years of age or older, used
exclusively for health care treatment and which have not been disclosed
to anyone other than a health care provider at the student's request.
(See discussion of FERPA above.)
We have removed the exception for individually identifiable health
information of inmates of correctional facilities and detainees in
detention facilities. Individually identifiable health information about
inmates is protected health information under the final rule, and
special rules for use and disclosure of the protected health information
about inmates and their ability to exercise the rights granted in this
rule are described below.
***Psychotherapy notes.***
Section 164.508(a)(3)(iv)(A) of the proposed rule defined psychotherapy
notes as notes recorded (in any medium) by a health care provider who is
a mental health professional documenting or analyzing the contents of
conversation during a private counseling session or a group, joint, or
family counseling session. The proposed definition excluded medication
prescription and monitoring, counseling session start and stop times,
the modalities and frequencies of treatment furnished, results of
clinical tests, and any summary of the following items: diagnosis,
functional status, the treatment plan, symptoms, prognosis and progress.
Furthermore, we stated in the preamble of the proposed rule that
psychotherapy notes would have to be maintained separately from the
medical record.
In this final rule, we retain the definition of psychotherapy notes that
we had proposed, but add to the regulation text the requirement that, to
meet the definition of psychotherapy notes, the information must be
separated from the rest of the individual's medical record.
***Public health authority.***
The proposed rule would have defined "public health authority" as "an
agency or authority of the United States, a state, a territory, or an
Indian tribe that is responsible for public health matters as part of
its official mandate."
The final rule changes this definition slightly to clarify that a
"public health authority" also includes a person or entity acting under
a grant of authority from or contract with a public health agency.
Therefore, the final rule defines this term as an agency or authority of
the United States, a state, a territory, a political subdivision of a
state or territory, or an Indian tribe, or a person or entity acting
under a grant of authority from or contract with such public agency,
including the employees or agents of such public agency or its
contractors or persons or entities to whom it has granted authority,
that is responsible for public health matters as part of its official
mandate.
***Required by law.***
In the preamble to the NPRM, we did not include a definition of
"required by law." We discussed what it meant for an action to be
considered to be "required" or "mandated" by law and included several
examples of activities that would be considered as required by law for
the purposes of the proposed rule, including a valid Inspector General
subpoena, grand jury subpoena, civil investigative demand, or a statute
or regulation requiring production of information justifying a claim
would constitute a disclosure required by law.
In the final rule we include a new definition, move the preamble
clarifications to the regulatory text and add several items to the
illustrative list. For purposes of this regulation, "required by law"
means a mandate contained in law that compels a covered entity to make a
use or disclosure of protected health information and that is
enforceable in a court of law. Among the examples listed in definition
are Medicare conditions of participation with respect to health care
providers participating in that program, court-ordered warrants, and
subpoenas issued by a court. We note that disclosures "required by law"
include disclosures of protected health information required by this
regulation in § 164.502(a)(2). It does not include contracts between
private parties or similar voluntary arrangements. This list is
illustrative only and is not intended in any way to limit the scope of
this paragraph or other paragraphs in § 164.512 that permit uses or
disclosures to the extent required by other laws. We note that nothing
in this rule compels a covered entity to make a use or disclosure
required by the legal demands or prescriptions listed in this
clarification or by any other law or legal process, and a covered entity
remains free to challenge the validity of such laws and processes.
***Research.***
We proposed to define "research" as it is defined in the Federal Policy
for the Protection of Human Subjects, at 45 CFR 46, Subpart A (referred
to elsewhere in this rule as "Common Rule"), and in addition, elaborated
on the meaning of the term "generalizable knowledge." In § 164.504 of
the proposed rule we defined research as "\... a systematic
investigation, including research development, testing and evaluation,
designed to develop or contribute to generalizable knowledge.
'Generalizable knowledge' is knowledge related to health that can be
applied to populations outside of the population served by the covered
entity."
The final rule eliminates the further elaboration of "generalizable
knowledge." Therefore, the rule defines "research" as the term is
defined in the Common Rule: a systematic investigation, including
research development, testing and evaluation, designed to develop or
contribute to generalizable knowledge.
***Research information unrelated to treatment.***
We delete this definition and the associated requirements from the final
rule. Refer to § 164.508(f) for new requirements regarding
authorizations for research that includes treatment of the individual.
***Treatment.***
The proposed rule defined "treatment" as the provision of health care
by, or the coordination of health care (including health care management
of the individual through risk assessment, case management, and disease
management) among, health care providers; the referral of a patient from
one provider to another; or the coordination of health care or other
services among health care providers and third parties authorized by the
health plan or the individual. The preamble noted that the definition
was intended to relate only to services provided to an individual and
not to an entire enrolled population.
In the final rule, we do not change the general approach to defining
treatment: treatment means the listed activities undertaken by any
health care provider, not just a covered health care provider. A plan
can disclose protected health information to any health care provider to
assist the provider's treatment activities; and a health care provider
may use protected health information about an individual to treat
another individual. A health care provider may use any protected health
information it maintains for treatment purposes (e.g., a provider may
use protected health information about former patients as well as
current patients). We modify the proposed list of treatment activities
to reflect changes requested by commenters.
Specifically, we modify the proposed definition of "treatment" to
include the management of health care and related services. Under the
definition, the provision, coordination, or management of health care or
related services may be undertaken by one or more health care providers.
"Treatment" includes coordination or management by a health care
provider with a third party and consultation between health care
providers. The term also includes referral by a health care provider of
a patient to another health care provider.
Treatment refers to activities undertaken on behalf of a single patient,
not a population. Activities are considered treatment only if delivered
by a health care provider or a health care provider working with another
party. Activities of health plans are not considered to be treatment.
Many services, such as a refill reminder communication or nursing
assistance provided through a telephone service, are considered
treatment activities if performed by or on behalf of a health care
provider, such as a pharmacist, but are regarded as health care
operations if done on behalf of a different type of entity, such as a
health plan.
We delete specific reference to risk assessment, case management, and
disease management. Activities often referred to as risk assessment,
disease and case management are treatment activities only to the extent
that they are services provided to a particular patient by a health care
provider; population based analyses or records review for the purposes
of treatment protocol development or modification are health care
operations, not treatment activities. If a covered entity is licensed as
both a health plan and a health care provider, a single activity could
be considered to be both treatment and health care operations; for
compliance purposes we would consider the purpose of the activity. Given
the integration of the health care system we believe that further
classification of activities into either treatment or health care
operations would not be helpful. See the definition of health care
operations for additional discussion.
***Use.***
We proposed to define "use" to mean the employment, application,
utilization, examination, or analysis of information within an entity
that holds the information. In the final rule, we clarify that use
refers to the use of individually identifiable health information. We
replace the term "holds" with the term "maintains." These changes are
for clarity only, and are not intended to effect any substantive change.
**SECTION 164.502 -- GENERAL RULES FOR USES AND DISCLOSURES OF PROTECTED
HEALTH INFORMATION**
**Section 164.502(a) -- Use and Disclosure for Treatment, Payment and
Health Care Operations**
As a general rule, we proposed in the NPRM to prohibit covered entities
from using or disclosing protected health information except as
authorized by the individual who is the subject of such information or
as explicitly permitted by the rule. The proposed rule explicitly would
have permitted covered entities to use or disclose an individual's
protected health information without authorization for treatment,
payment, and health care operations. The proposal would not have
restricted to whom disclosures could be made for the purposes of
treatment, payment, or operations. The proposal would have allowed
disclosure of the protected health information of one individual for the
treatment or payment of another, as appropriate. We also proposed to
prohibit covered entities from seeking individual authorization for uses
and disclosures for treatment, payment, and health care operations
unless required by state or other applicable law.
We proposed two exceptions to this general rule which prohibited covered
entities from using or disclosing research information unrelated to
treatment or psychotherapy notes for treatment, payment, or health care
operations purposes unless a specific authorization was obtained from
the subject of the information. In addition, we proposed that a covered
entity be prohibited from conditioning treatment, enrollment in a health
plan or payment decisions on a requirement that the individual provide a
specific authorization for the disclosure of these two types of
information (see proposed § 164.508(a)(3)(iii)).
We also proposed to permit covered entities to use or disclose an
individual's protected health information for specified public and
public policy-related purposes, including public health, research,
health oversight, law enforcement, and use by coroners. In addition, the
proposal would have permitted covered entities to use and disclose
protected health information when required to do so by other law or
pursuant to an authorization from the individual allowing them to use or
disclose the information for purposes other than treatment, payment or
health care operations.
We proposed to require covered entities to disclose protected health
information for only two purposes: to permit individuals to inspect and
copy protected health information about themselves and for enforcement
of the rule.
We proposed not to require covered entities to vary the level of
protection accorded to protected health information based on the
sensitivity of such information. In addition, we proposed to require
that each affected entity assess its own needs and devise, implement,
and maintain appropriate privacy policies, procedures, and documentation
to address its business requirements.
In the final rule, the general standard remains that covered entities
may use or disclose protected health information only as permitted or
required by this rule. However, we make significant changes to the
conditions under which uses and disclosures are permitted.
We revise the application of the general standard to require covered
health care providers who have a direct treatment relationship with an
individual to obtain a general "consent" from the individual in order to
use or disclose protected health information about the individual for
treatment, payment and health care operations (for details on who must
obtain such consents and the requirements they must meet, see §
164.506). These consents are intended to accommodate both the covered
provider's need to use or disclose protected health information for
treatment, payment, and health care operations, and also the
individual's interest in understanding and acquiescing to such uses and
disclosures. In general, other covered entities are permitted to use and
disclose protected health information to carry out treatment, payment,
or health care operations (as defined in this rule) without obtaining
such consent, as in the proposed rule. Covered entities must, as under
the proposed rule, obtain the individual's "authorization" in order to
use or disclose psychotherapy notes for most purposes: see §
164.508(a)(2) for exceptions to this rule. We delete the proposed
special treatment of "research information unrelated to treatment."
We revise the application of the general standard to require all covered
entities to obtain the individual's verbal "agreement" before using or
disclosing protected health information for facility directories, to
persons assisting in the individual's care, and for other purposes
described in § 164.510. Unlike "consent" and "authorization," verbal
agreement may be informal and implied from the circumstances (for
details on who must obtain such agreements and the requirements they
must meet, see § 164.510). Verbal agreements are intended to accommodate
situations where it is neither appropriate to remove from the individual
the ability to control the protected health information nor appropriate
to require formal, written permission to share such information. For the
most part, these provisions reflect current practices.
As under the proposed rule, we permit covered entities to use or
disclose protected health information without the individual's consent,
authorization or agreement for specified public policy purposes, in
compliance with the requirements in § 164.512.
We permit covered entities to disclose protected health information to
the individual who is the subject of that information without any
condition. We note that this may include disclosures to "personal
representatives" of individuals as provided by § 164.502(g).
We permit a covered entity to use or disclose protected health
information for other lawful purposes if the entity obtains a written
"authorization" from the individual, consistent with the provisions of §
164.508. Unlike "consents," these "authorizations" are specific and
detailed. (For details on who must obtain such authorizations and the
requirements they must meet, see § 164.508.) They are intended to
provide the individuals with concrete information about, and control
over, the uses and disclosures of protected health information about
themselves.
The final rule retains the provision that requires a covered entity to
disclose protected health information only in two instances: when
individuals request access to information about themselves, and when
disclosures are compelled by the Secretary for compliance and
enforcement purposes.
Finally, § 164.502(a)(1) also requires covered entities to use or
disclose protected health information in compliance with the other
provisions of § 164.502, for example, consistent with the minimum
necessary standard, to create de-identified information, or to a
personal representative of an individual. These provisions are described
below.
We note that a covered entity may use or disclose protected health
information as permitted by and in accordance with a provision of this
rule, regardless of whether that use or disclosure fails to meet the
requirements for use or disclosure under another provision of this rule.
**Section 164.502(b) -- Minimum Necessary Uses and Disclosures**
The proposed rule required a covered entity to make all reasonable
efforts not to use or disclose more than the minimum amount of protected
health information necessary to accomplish the intended purpose of the
use or disclosure (proposed § 164.506(b)). This final rule significantly
modifies the proposed requirements for implementing the minimum
necessary standard. In the final rule, § 164.502(b) contains the basic
standard and § 164.514 describes the requirements for implementing the
standard. Therefore we discuss all aspects of the minimum necessary
standard and specific requirements below in the discussion of §
164.514(d).
**Section 164.502(c) -- Uses and Disclosures** **Under a Restriction
Agreement**
The proposed rule would have required that covered health care providers
permit individuals to request restrictions of uses and disclosures of
protected health information and would have prohibited covered providers
from using or disclosing protected health information in violation of
any agreed-to restriction.
The final rule retains an individual's right to request restrictions on
uses or disclosures for treatment, payment or health care operations and
prohibits a covered entity from using or disclosing protected health
information in a way that is inconsistent with an agreed upon
restriction between the covered entity and the individual, but makes
some changes to this right. Most significantly, under the final rule
individuals have the right to request restrictions of all covered
entities. This standard is set forth in § 164.522. Details about the
changes to the standard are explained in the preamble discussion to §
164.522.
**Section 164.502(d) -- Creation of De-identified Information**
In proposed § 164.506(d) of the NPRM, we proposed to permit use of
protected health information for the purpose of creating de-identified
information and we provided detailed mechanisms for doing so.
In § 164.502(d) of the final rule, we permit a covered entity to use
protected health information to create de-identified information,
whether or not the de-identified information is to be used by the
covered entity. We clarify that de-identified information created in
accordance with our procedures (which have been moved to § 164.514(a))
is not subject to the requirements of these privacy rules unless it is
re-identified. Disclosure of a key or mechanism that could be used to
re-identify such information is also defined to be disclosure of
protected health information. See the preamble to § 164.514(a) for
further discussion.
**Section 164.502(e) -- Business Associates**
In the proposed rule, other than for purposes of consultation or
referral for treatment, we would have allowed a covered entity to
disclose protected health information to a business partner only
pursuant to a written contract that would, among other specified
provisions, limit the business partner's uses and disclosures of
protected health information to those permitted by the contract, and
would impose certain security, inspection and reporting requirements on
the business partner. We proposed to define the term "business partner"
to mean, with respect to a covered entity, a person to whom the covered
entity discloses protected health information so that the person can
carry out, assist with the performance of, or perform on behalf of, a
function or activity for the covered entity.
In the final rule, we change the term "business partner" to "business
associate" and in the definition clarify the full range of circumstances
in which a person is acting as a business associate of a covered entity.
(See definition of "business associate" in § 160.103.) These changes
mean that § 164.502(e) requires a business associate contract (or other
arrangement, as applicable) not only when the covered entity discloses
protected health information to a business associate, but also when the
business associate creates or receives protected health information on
behalf of the covered entity.
In the final rule, we modify the proposed standard and implementation
specifications for business associates in a number of significant ways.
These modifications are explained in the preamble discussion of §
164.504(e).
**Section 164.502(f) -- Deceased Individuals**
We proposed to extend privacy protections to the protected health
information of a deceased individual for two years following the date of
death. During the two-year time frame, we proposed in the definition of
"individual" that the right to control the deceased individual's
protected health information would be held by an executor or
administrator, or other person (e.g., next of kin) authorized under
applicable law to act on behalf of the decedent's estate. The only
proposed exception to this standard allowed for uses and disclosures of
a decedent's protected health information for research purposes without
the authorization of a legal representative and without the
Institutional Review Board (IRB) or privacy board approval required (in
proposed § 164.510(j)) for most other uses and disclosures for research.
In the final rule (§ 164.502(f)), we modify the standard to extend
protection of protected health information about deceased individuals
for as long as the covered entity maintains the information. We retain
the exception for uses and disclosures for research purposes, now part
of § 164.512(i), but also require that the covered entity take certain
verification measures prior to release of the decedent's protected
health information for such purposes (see §§ 164.514(h) and
164.512(i)(1)(iii)).
We remove from the definition of "individual" the provision related to
deceased persons. Instead, we create a standard for "personal
representatives" (§ 164.502(g), see discussion below) that requires a
covered entity to treat a personal representative of an individual as
the individual in certain circumstances, i.e., allows the representative
to exercise the rights of the individual. With respect to deceased
individuals, the final rule describes when a covered entity must allow a
person who otherwise is permitted under applicable law to act with
respect to the interest of the decedent or on behalf of the decedent's
estate, to make decisions regarding the decedent's protected health
information.
The final rule also adds a provision to § 164.512(g), that permits
covered entities to disclose protected health information to a funeral
director, consistent with applicable law, as necessary to carry out
their duties with respect to the decedent. Such disclosures are
permitted both after death and in reasonable anticipation of death.
**Section 164.502(g) -- Personal Representatives**
In the proposed rule we defined "individual" to include certain persons
who were authorized to act on behalf of the person who is the subject of
the protected health information. For adults and emancipated minors, the
NPRM provided that "individual" includes a legal representative to the
extent to which applicable law permits such legal representative to
exercise the individual's rights in such contexts. With respect to
unemancipated minors, we proposed that the definition of "individual"
include a parent, guardian, or person acting [in loco
parentis]{.underline}, (hereinafter referred to as "parent") except when
an unemancipated minor obtained health care services without the consent
of, or notification to, a parent. Under the proposed rule, if a minor
obtained health care services under these conditions, the minor would
have had the exclusive rights of an individual with respect to the
protected health information related to such health care services.
In the final rule, the definition of "individual" is limited to the
subject of the protected health information, which includes
unemancipated minors and other individuals who may lack capacity to act
on their own behalf. We remove from the definition of "individual" the
provisions regarding legal representatives. The circumstances in which a
representative must be treated as an individual for purposes of this
rule are addressed in a separate standard titled "personal
representatives." (§ 164.502(g)). The standard regarding personal
representatives incorporates some changes to the proposed provisions
regarding legal representatives. In general, under the final regulation,
the "personal representatives" provisions are directed at the more
formal representatives, while § 164.510(b) addresses situations in which
persons are informally acting on behalf of an individual.
With respect to adults or emancipated minors, we clarify that a covered
entity must treat a person as a personal representative of an individual
if such person is, under applicable law, authorized to act on behalf of
the individual in making decisions related to health care. This includes
a court-appointed guardian and a person with a power of attorney, as set
forth in the NPRM, but may also include other persons. The authority of
a personal representative under this rule is limited: the representative
must be treated as the individual only to the extent that protected
health information is relevant to the matters on which the personal
representative is authorized to represent the individual. For example,
if a person's authority to make health care decisions for an individual
is limited to decisions regarding treatment for cancer, such person is a
personal representative and must be treated as the individual with
respect to protected health information related to the cancer treatment
of the individual. Such a person is not the personal representative of
the individual with respect to all protected health information about
the individual, and therefore, a covered entity may not disclose
protected health information that is not relevant to the cancer
treatment to the person, unless otherwise permitted under the rule. We
intend this provision to apply to persons empowered under state or other
law to make health related decisions for an individual, whether or not
the instrument or law granting such authority specifically addresses
health information.
In addition, we clarify that with respect to an unemancipated minor, if
under applicable law a parent may act on behalf of an unemancipated
minor in making decisions related to health care, a covered entity must
treat such person as a personal representative under this rule with
respect to protected health information relevant to such personal
representation, with three exceptions. Under the general rule, in most
circumstances the minor would not have the capacity to act as the
individual, and the parent would be able to exercise rights and
authorities on behalf of the minor. Under the exceptions to the rule on
personal representatives of unemancipated minors, the minor, and not the
parent, would be treated as the individual and able to exercise the
rights and authorities of an individual under the rule. These exceptions
occur if: (1) the minor consents to a health care service; no other
consent to such health care service is required by law, regardless of
whether the consent of another person has also been obtained; and the
minor has not requested that such person be treated as the personal
representative; (2) the minor may lawfully obtain such health care
service without the consent of a parent, and the minor, a court, or
another person authorized by law consents to such health care service;
or (3) a parent assents to an agreement of confidentiality between a
covered health care provider and the minor with respect to such health
care service. We note that the definition of health care includes
services, but we use "health care service" in this provision to clarify
that the scope of the rights of minors under this rule is limited to the
protected health information related to a particular service.
Under this provision, we do not provide a minor with the authority to
act under the rule unless the state has given them the ability to obtain
health care without consent of a parent, or the parent has assented. In
addition, we defer to state law where the state authorizes or prohibits
disclosure of protected health information to a parent. See part 160,
subpart B, Preemption of State Law. This rule does not affect parental
notification laws that permit or require disclosure of protected health
information to a parent. However, the rights of a minor under this rule
are not otherwise affected by such notification.
In the final rule, the provision regarding personal representatives of
deceased individuals has been changed to clarify the provision. The
policy has not changed substantively from the NPRM.
Finally, we added a provision in the final rule to permit covered
entities to elect not to treat a person as a personal representative in
abusive situations. Under this provision, a covered entity need not
treat a person as a personal representative of an individual if the
covered entity, in the exercise of professional judgment, decides that
it is not in the best interest of the individual to treat the person as
the individual's personal representative and the covered entity has a
reasonable belief that the individual has been or may be subjected to
domestic violence, abuse, or neglect by such person, or that treating
such person as the personal representative could endanger the
individual.
Section 164.502(g) requires a covered entity to treat a person that
meets the requirements of a personal representative as the individual
(with the exceptions described above). We note that disclosure of
protected health information to a personal representative is mandatory
under this rule only if disclosure to the individual is mandatory.
Disclosure to the individual is mandatory only under §§ 164.524 and
164.528. Further, as noted above, the personal representative's rights
are limited by the scope of its authority under other law. Thus, this
provision does not constitute a general grant of authority to personal
representatives.
We make disclosure to personal representatives mandatory to ensure that
an individual's rights under §§ 164.524 and 164.528 are preserved even
when individuals are incapacitated or otherwise unable to act for
themselves to the same degree as other individuals. If the covered
entity were to have the discretion to recognize a personal
representative as the individual, there could be situations in which no
one could invoke an individual's rights under these sections.
We continue to allow covered entities to use their discretion to
disclose certain protected health information to family members,
relatives, close friends, and other persons assisting in the care of an
individual, in accordance with § 164.510(b). We recognize that many
health care decisions take place on an informal basis, and we permit
disclosures in certain circumstance to permit this practice to continue.
Health care providers may continue to use their discretion to address
these informal situations.
**Section 164.502(h) -- Confidential Communications**
In the NPRM, we did not directly address the issue of whether an
individual could request that a covered entity restrict the manner in
which it communicated with the individual. The NPRM did provide
individuals with the right to request that health care providers
restrict uses and disclosures of protected health information for
treatment, payment and health operations, but providers were not
required to agree to such a restriction.
In the final rule, we require covered providers to accommodate
reasonable requests by patients about how the covered provider
communicates with the individual. For example, an individual who does
not want his or her family members to know about a certain treatment may
request that the provider communicate with the individual at his or her
place of employment, or to send communications to a designated address.
Covered providers must accommodate the request unless it is
unreasonable. Similarly, the final rule permits individuals to request
that health plans communicate with them by alternative means, and the
health plan must accommodate such a request if it is reasonable and the
individual states that disclosure of the information could endanger the
individual. The specific provisions relating to confidential
communications are in § 164.522.
**Section 164.502(i) -- Uses and Disclosures Consistent with Notice**
We proposed to prohibit covered entities from using or disclosing
protected health information in a manner inconsistent with their notice
of information practices. We retain this provision in the final rule.
See § 164.520 regarding notice content and distribution requirements.
**Section 164.502(j) -- Disclosures by Whistleblowers and Workforce
Member Crime Victims**
***Disclosures by Whistleblowers***
In § 164.518(c)(4) of the NPRM we addressed the issue of whistleblowers
by proposing that a covered entity not be held in violation of this rule
because a member of its workforce or a person associated with a business
associate of the covered entity used or disclosed protected health
information that such person believed was evidence of a civil or
criminal violation, and any disclosure was: (1) made to relevant
oversight agencies or law enforcement or (2) made to an attorney to
allow the attorney to determine whether a violation of criminal or civil
law had occurred or to assess the remedies or actions at law that may be
available to the person disclosing the information.
We included an extensive discussion on how whistleblower actions can
further the public interest, including reference to the need in some
circumstances to utilize protected health information for this purpose
as well as reference to the qui tam provisions of the Federal False
Claims Act.
In the final rule we retitle the provision and include it in § 164.502
to reflect the fact that these disclosures are not made by the covered
entity and therefore this material does not belong in the section on
safeguarding information against disclosure.
We retain the basic concept in the NPRM of providing protection to a
covered entity for the good faith whistleblower action of a member of
its workforce or a business associate. We clarify that a whistleblower
disclosure by an employee, subcontractor, or other person associated
with a business associate is considered a whistleblower disclosure of
the business associate under this provision. However, in the final rule,
we modify the scope of circumstances under which a covered entity is
protected in whistleblower situations. A covered entity is not in
violation of the requirements of this rule when a member of its
workforce or a business associate of the covered entity discloses
protected health information to: (i) a health oversight agency or public
health authority authorized by law to investigate or otherwise oversee
the relevant conduct or conditions of the covered entity; (ii) an
appropriate health care accreditation organization; or (iii) an
attorney, for the purpose of determining his or her legal options with
respect to whistle blowing. We delete disclosures to a law enforcement
official.
We expand the scope of this section to cover disclosures of protected
health information to an oversight or accreditation organization for the
purpose of reporting breaches of professional standards or problems with
quality of care. The covered entity will not be in violation of this
rule, provided that the disclosing individual believes in good faith
that the covered entity has engaged in conduct which is unlawful or
otherwise violates professional or clinical standards, or that the care,
services or conditions provided by the covered entity potentially
endanger one or more patients, workers or the public. Since these
provisions only relate to whistleblower actions in relation to the
covered entity, disclosure of protected health information to expose
malfeasant conduct by another person, such as knowledge gained during
the course of treatment about an individual's illicit drug use, would
not be protected activity.
We clarify that this section only applies to protection of a covered
entity, based on the whistleblower action of a member of its workforce
or business associates. Since the HIPAA legislation only applies to
covered entities, not their workforces, it is beyond the scope of this
rule to directly regulate the whistleblower actions of members of a
covered entity's workforce.
In the NPRM, we had proposed to require covered entities to apply
sanctions to members of its workforce who improperly disclose protected
health information. In this final rule, we retain this requirement in §
164.530(e)(1) but modify the proposed provision on sanctions to clarify
that the sanctions required under this rule do not apply to workforce
members of a covered entity for whistleblower disclosures.
***Disclosures by Workforce Members Who Are Crime Victims***
The proposed rule did not address disclosures by workforce members who
are victims of a crime. In the final rule, we clarify that a covered
entity is not in violation of the rule when a workforce member of a
covered entity who is the victim of a crime discloses protected health
information to law enforcement officials about the suspected perpetrator
of the crime. We limit the amount of protected health information that
may be disclosed to the limited information for identification and
location described in § 164.512(f)(2).
We note that this provision is similar to the provision in §
164.512(f)(5), which permits a covered entity to disclose protected
health information to law enforcement that the covered entity believes
in good faith constitutes evidence of criminal conduct that occurred on
the premises of the covered entity. This provision differs in that it
permits the disclosure even if the crime occurred somewhere other than
on the premises of the covered entity. For example, if a hospital
employee is the victim of an attack outside of the hospital, but spots
the perpetrator sometime later when the perpetrator seeks medical care
at the hospital, the workforce member who was attacked may notify law
enforcement of the perpetrator's location and other identifying
information. We do not permit, however, the disclosure of protected
health information other than that described in § 164.512(f)(2).
**SECTION 164.504 - USES AND DISCLOSURES - ORGANIZATIONAL REQUIREMENTS -
COMPONENT ENTITIES, AFFILIATED ENTITIES, BUSINESS ASSOCIATES AND GROUP
HEALTH PLANS**
**Section 164.504(a)-(c)---Health Care Component (Component Entities)**
In the preamble to the proposed rule we introduced the concept of a
"component entity" to differentiate the health care unit of a larger
organization from the larger organization. In the proposal we noted that
some organizations that are primarily involved in non-health care
activities do provide health care services or operate health plans or
health care clearinghouses. Examples included a school with an on-site
health clinic and an employer that self administers a sponsored health
plan. In such cases, the proposal said that the health care component of
the entity would be considered the covered entity, and any release of
information from that component to another office or person in the
organization would be a regulated disclosure. We would have required
such entities to create barriers to prevent protected health information
from being used or disclosed for activities not authorized or permitted
under the proposal.
We discuss group health plans and their relationships with plan sponsors
below under "Requirements for Group Health Plans."
In the final rule we address the issue of differentiating health plan,
covered health care provider and health care clearinghouse activities
from other functions carried out by a single legal entity in paragraphs
(a)-(c) of § 164.504. We have created a new term, "hybrid entity", to
describe the situation where a health plan, health care provider, or
health care clearinghouse is part of a larger legal entity; under the
definition, a "hybrid entity" is "a single legal entity that is a
covered entity and whose covered functions are not its primary
functions." The term "covered functions" is discussed above under §
164.501. By "single legal entity" we mean a legal entity, such as a
corporation or partnership, that cannot be further differentiated into
units with their own legal identities. For example, for purposes of this
rule a multinational corporation composed of multiple subsidiary
companies would not be a single legal entity, but a small manufacturing
firm and its health clinic, if not separately incorporated, could be a
single legal entity.
The health care component rules are designed for the situation in which
the health care functions of the legal entity are not its dominant
mission. Because some part of the legal entity meets the definition of a
health plan or other covered entity, the legal entity as a whole could
be required to comply with the rules below. However, in such a
situation, it makes sense not to require the entire entity to comply
with the requirements of the rules below, when most of its activities
may have little or nothing to do with the provision of health care;
rather, as a practical matter, it makes sense for such an entity to
focus its compliance efforts on the component that is actually
performing the health care functions. On the other hand, where most of
what the covered entity does consists of covered functions, it makes
sense to require the entity as a whole to comply with the rules. The
provisions at §§ 164.504(a)-(c) provide that for a hybrid entity, the
rules apply only to the part of the entity that is the health care
component. At the same time, the lack of corporate boundaries increases
the risk that protected health information will be used in a manner that
would not otherwise be permitted by these rules. Thus, we require that
the covered entity erect firewalls to protect against the improper use
or disclosure within or by the organization. See § 164.504(c)(2).
The term "primary functions" in the definition of "hybrid entity" is not
meant to operate with mathematical precision. Rather, we intend that a
more common sense evaluation take place: is most of what the covered
entity does related to its health care functions? If so, then the whole
entity should be covered. Entities with different insurance lines, if
not separately incorporated, present a particular issue with respect to
this analysis. Because the definition of "health plan" excludes many
types of insurance products (in the exclusion under paragraph (2)(i) of
the definition), we would consider an entity that has one or more of
these lines of insurance in addition to its health insurance lines to
come within the definition of "hybrid entity," because the other lines
of business constitute substantial parts of the total business operation
and are required to be separate from the health plan(s) part of the
business.
An issue that arises in the hybrid entity situation is what records are
covered in the case of an office of the hybrid entity that performs
support functions for both the health care component of the entity and
for the rest of the entity. For example, this situation could arise in
the context of a company with an onsite clinic (which we will assume is
a covered health care provider), where the company's business office
maintains both clinic records and the company's personnel records. Under
the definition of the term "health care component," the business office
is part of the health care component (in this hypothetical, the clinic)
"to the extent that" it is performing covered functions on behalf of the
clinic involving the use or disclosure of protected health information
that it receives from, creates or maintains for the clinic. Part of the
business office, therefore, is part of the health care component, and
part of the business office is outside the health care component. This
means that the non-health care component part of the business office is
not covered by the rules below. Under our hypothetical, then, the
business office would not be required to handle its personnel records in
accordance with the rules below. The hybrid entity would be required to
establish firewalls with respect to these record systems, to ensure that
the clinic records were handled in accordance with the rules.
With respect to excepted benefits, the rules below operate as follows.
(Excepted benefits include accident, disability income, liability,
workers' compensation and automobile medical payment insurance.)
Excepted benefit programs are excluded from the health care component
(or components) through the definition of "health plan." If a particular
organizational unit performs both excepted benefits functions and
covered functions, the activities associated with the excepted benefits
program may not be part of the health care component. For example, an
accountant who works for a covered entity with both a health plan and a
life insurer would have his or her accounting functions performed for
the health plan as part of the component, but not the life insurance
accounting function. See § 164.504(c)(2)(iii). We require this
segregation of excepted benefits because HIPAA does not cover such
programs, policies and plans, and we do not permit any use or disclosure
of protected health information for the purposes of operating or
performing the functions of the excepted benefits without authorization
from the individual, except as otherwise permitted in this rule.
In § 164.504(c)(2) we require covered entities with a health care
component to establish safeguard policies and procedures to prevent any
access to protected health information by its other organizational units
that would not be otherwise permitted by this rule. We note that Sec.
1173 (d)(1)(B) of HIPAA requires policies and procedures to isolate the
activities of a health care clearinghouse from a "larger organization"
to prevent unauthorized access by the larger organization. This
safeguard provision is consistent with the statutory requirement and
extends to any covered entity that performs "non-covered entity
functions" or operates or conducts functions of more than one type of
covered entity.
Because, as noted, the covered entity in the hybrid entity situation is
the legal entity itself, we state explicitly what is implicitly the
case, that the covered entity (legal entity) remains responsible for
compliance vis-a-vis subpart C of part 160. See § 164.504(c)(3)(i). We
do this simply to make these responsibilities clear and to avoid
confusion on this point. Also, in the hybrid entity situation the
covered entity/legal entity has control over the entire workforce, not
just the workforce of the health care component. Thus, the covered
entity is in a position to implement policies and procedures to ensure
that the part of its workforce that is doing mixed or non-covered
functions does not impermissibly use or disclose protected health
information. Its responsibility to do so is clarified in §
164.504(c)(3)(ii).
**Section 164.504(d) -- Affiliated Entities**
Some legally distinct covered entities may share common administration
of organizationally differentiated but similar activities (for example,
a hospital chain). In § 164.504(d) we permit legally distinct covered
entities that share common ownership or control to designate themselves,
or their health care components, together to be a single covered entity.
Common control exists if an entity has the power, directly or
indirectly, significantly to influence or direct the actions or policies
of another entity. Common ownership exists if an entity or entities
possess an ownership or equity interest of 5 percent or more in another
entity.
Such organizations may promulgate a single shared notice of information
practices and a consent form. For example, a corporation with hospitals
in twenty states may designate itself as a covered entity and,
therefore, able to merge information for joint marketplace analyses. The
requirements that apply to a covered entity also apply to an affiliated
covered entity. For example, under the minimum necessary provisions, a
hospital in one state could not share protected health information about
a particular patient with another hospital if such a use is not
necessary for treatment, payment or health care operations. The covered
entities that together make up the affiliated covered entity are
separately subject to liability under this rule. The safeguarding
requirements for affiliated covered entities track the requirements that
apply to health care components.
**Section 164.504(e) -- Business Associates**
In the NPRM, we proposed to require a contract between a covered entity
and a business associate, except for disclosures of protected health
information by a covered entity that is a health care provider to
another health care provider for the purposes of consultation or
referral. A covered entity would have been in violation of this rule if
the covered entity knew or reasonably should have known of a material
breach of the contract by a business associate and it failed to take
reasonable steps to cure the breach or terminate the contract. We
proposed in the preamble that when a covered entity acted as a business
associate to another covered entity, the covered entity that was acting
as business associate also would have been responsible for any
violations of the regulation.
We also proposed that covered health care providers receiving protected
health information for consultation or referral purposes would still
have been subject to this rule, and could not have used or disclosed
such protected health information for a purpose other than the purpose
for which it was received (i.e., the consultation or referral). Further,
we noted that providers making disclosures for consultations or
referrals should be careful to inform the receiving provider of any
special limitations or conditions to which the disclosing provider had
agreed to impose (e.g., the disclosing provider had provided notice to
its patients that it would not make disclosures for research).
We proposed that business associates would not have been permitted to
use or disclose protected health information in ways that would not have
been permitted of the covered entity itself under these rules, and
covered entities would have been required to take reasonable steps to
ensure that protected health information disclosed to a business
associate remained protected.
In the NPRM (proposed § 164.506(e)(2)) we would have required that the
contractual agreement between a covered entity and a business associate
be in writing and contain provisions that would:
· Prohibit the business associate from further using or disclosing the
protected health information for any purpose other than the purpose
stated in the contract.
· Prohibit the business associate from further using or disclosing the
protected health information in a manner that would violate the
requirements of this proposed rule if it were done by the covered
entity.
· Require the business associate to maintain safeguards as necessary to
ensure that the protected health information is not used or disclosed
except as provided by the contract.
· Require the business associate to report to the covered entity any use
or disclosure of the protected health information of which the business
associate becomes aware that is not provided for in the contract.
· Require the business associate to ensure that any subcontractors or
agents to whom it provides protected health information received from
the covered entity will agree to the same restrictions and conditions
that apply to the business associate with respect to such information.
· Require the business associate to provide access to non-duplicative
protected health information to the subject of that information, in
accordance with proposed § 164.514(a).
· Require the business associate to make available its internal
practices, books and records relating to the use and disclosure of
protected health information received from the covered entity to the
Secretary for the purposes of enforcing the provisions of this rule.
· Require the business associate, at termination of the contract, to
return or destroy all protected health information received from the
covered entity that the business associate still maintains in any form
to the covered entity and prohibit the business associate from retaining
such protected health information in any form.
· Require the business associate to incorporate any amendments or
corrections to protected health information when notified by the covered
entity that the information is inaccurate or incomplete.
· State that individuals who are the subject of the protected health
information disclosed are intended to be third party beneficiaries of
the contract.
· Authorize the covered entity to terminate the contract, if the covered
entity determines that the business associate has violated a material
term of the contract.
We also stated in the preamble to the NPRM that the contract could have
included any additional arrangements that did not violate the provisions
of this regulation.
We explained in the preamble to the NPRM that a business associate
(including business associates that are covered entities) that had
contracts with more than one covered entity would have had no authority
to combine, aggregate or otherwise use for a single purpose protected
health information obtained from more than one covered entity unless
doing so would have been a lawful use or disclosure for each of the
covered entities that supplied the protected health information that is
being combined, aggregated or used. In addition, the business associate
would have had to have been authorized through the contract or
arrangement with each covered entity that supplied the protected health
information to combine or aggregate the information. A covered entity
would not have been permitted to obtain protected health information
through a business associate that it could not otherwise obtain itself.
In the final rule we retain the overall approach proposed: covered
entities may disclose protected health information to persons that meet
the rule's definition of business associate, or hire such persons to
obtain or create protected health information for them, only if covered
entities obtain specified satisfactory assurances from the business
associate that it will appropriately handle the information; the
regulation specifies the elements of such satisfactory assurances;
covered entities have responsibilities when such specified satisfactory
assurances are violated by the business associate. We retain the
requirement that specified satisfactory assurances must be obtained if a
covered entity's business associate is also a covered entity. We note
that a master business associate contract or MOU that otherwise meets
the requirements regarding specified satisfactory assurances meets the
requirements with respect to all the signatories.
A covered entity may disclose protected health information to a business
associate, consistent with the other requirements of the final rule, as
necessary to permit the business associate to perform functions and
activities for or on behalf of the covered entity, or to provide the
services specified in the business associate definition to or for the
covered entity. As discussed below, a business associate may only use
the protected health information it receives in its capacity as a
business associate to a covered entity as permitted by its contract or
agreement with the covered entity.
We do not attempt to directly regulate business associates, but pursuant
to our authority to regulate covered entities we place restrictions on
the flow of information from covered entities to non-covered entities.
We add a provision to clarify that a violation of a business associate
agreement by a covered entity that is a business associate of another
covered entity constitutes a violation of this rule.
In the final rule, we make significant changes to the requirements
regarding business associates. As explained below in more detail: we
make significant changes to the content of the required contractual
satisfactory assurances; we include exceptions for arrangements that
would otherwise meet the definition of business associate; we make
special provisions for government agencies that by law cannot enter into
contracts with one another or that operate under other legal
requirements incompatible with some aspects of the required contractual
satisfactory assurances; we provide a new mechanism for covered entities
to hire a third party to aggregate data.
The final rule provides several exception to the business associate
requirements, where a business associate relationship would otherwise
exist. We substantially expand the exception for disclosure of protected
health information for treatment. Rather than allowing disclosures
without business associate assurances only for the purpose of
consultation or referral, in the final rule we allow covered entities to
make any disclosure of protected health information for treatment
purposes to a health care provider without a business associate
arrangement. This provision includes all activities that fall under the
definition of treatment.
We do not require a business associate contract for a group health plan
to make disclosures to the plan sponsor, to the extent that the health
plan meets the applicable requirements of § 164.504(f).
We also include an exception for certain jointly administered government
programs providing public benefits. Where a health plan that is a
government program provides public benefits, such as SCHIP and Medicaid,
and where eligibility for, or enrollment in, the health plan is
determined by an agency other than the agency administering the health
plan, or where the protected health information used to determine
enrollment or eligibility in the health plan is collected by an agency
other than the agency administering the health plan, and the joint
activities are authorized by law, no business associate contract is
required with respect to the collection and sharing of individually
identifiable health information for the performance of the authorized
functions by the health plan and the agency other than the agency
administering the health plan. We note that the phrase "government
programs providing public benefits" refers to programs offering benefits
to specified members of the public and not to programs that offer
benefits only to employees or retirees of government agencies.
We note that we do not consider a financial institution to be acting on
behalf of a covered entity, and therefore no business associate contract
is required, when it processes consumer-conducted financial transactions
by debit, credit or other payment card, clears checks, initiates or
processes electronic funds transfers, or conducts any other activity
that directly facilitates or effects the transfer of funds for
compensation for health care. A typical consumer-conducted payment
transaction is when a consumer pays for health care or health insurance
premiums using a check or credit card. In these cases, the identity of
the consumer is always included and some health information (e.g.,
diagnosis or procedure) may be implied through the name of the health
care provider or health plan being paid. Covered entities that initiate
such payment activities must meet the minimum necessary disclosure
requirements described in the preamble to § 164.514.
In the final rule, we reduce the extent to which a covered entity must
monitor the actions of its business associate and we make it easier for
covered entities to identify the circumstances that will require them to
take actions to correct a business associate's material violation of the
contract, in the following ways. We delete the proposed language
requiring covered entities to "take reasonable steps to ensure" that
each business associate complies with the rule's requirements.
Additionally, we now require covered entities to take reasonable steps
to cure a breach or terminate the contract for business associate
behaviors only if they know of a material violation by a business
associate. In implementing this standard, we will view a covered entity
that has substantial and credible evidence of a violation as knowing of
such violation. While this standard relieves the covered entity of the
need to actively monitor its business associates, a covered entity
nonetheless is expected to investigate when they receive complaints or
other information that contain substantial and credible evidence of
violations by a business associate, and it must act upon any knowledge
of such violation that it possesses. We note that a whistleblowing
disclosure by a business associate of a covered entity that meets the
requirements of § 164.502(j)(1) does not put the covered entity in
violation of this rule, and the covered entity has no duty to correct or
cure, or to terminate the relationship.
We also qualify the requirement for terminating contracts with
non-compliant business associates. The final rule still requires that
the business associate contract authorize the covered entity to
terminate the contract, if the covered entity determines that the
business associate has violated a material term of the contract, and it
requires the covered entity to terminate the contract if steps to cure
such a material breach fail. The rule now stipulates, however, that if
the covered entity is unable to cure a material breach of the business
associate's obligation under the contract, it is expected to terminate
the contract, when feasible. This qualification has been added to
accommodate circumstances where terminating the contract would be
unreasonably burdensome on the covered entity, such as when there are no
viable alternatives to continuing a contract with that particular
business associate. It does not mean, for instance, that the covered
entity can choose to continue the contract with a non-compliant business
associate merely because it is more convenient or less costly than
contracts with other potential business associates. We also require that
if a covered entity determines that it is not feasible to terminate a
non-compliant business associate, the covered entity must notify the
Secretary.
We retain all of the requirements for a business associate contract that
were listed in proposed § 164.506(e)(2), with some modifications. See §
164.504(e)(2).
We retain the requirement that the business associate contract must
provide that the business associate will not use or further disclose the
information other than as permitted or required by the contract or as
required by law. We do not mean by this requirement that the business
associate contract must specify each and every use and disclosure of
protected health information permitted to the business associate.
Rather, the contract must state the purposes for which the business
associate may use and disclose protected health information, and must
indicate generally the reasons and types of persons to whom the business
associate may make further disclosures. For example, attorneys often
need to provide information to potential witnesses, opposing counsel,
and others in the course of their representation of a client. The
business associate contract pursuant to which protected health
information is provided to its attorney may include a general statement
permitting the attorney to disclose protected health information to
these types of people, within the scope of its representation of the
covered entity.
We retain the requirement that a business associate contract may not
authorize a business associate to use or further disclose protected
health information in a manner that would violate the requirements of
this subpart if done by the covered entity, but we add two exceptions.
First, we permit a covered entity to authorize a business associate to
use and disclose protected health information it receives in its
capacity as a business associate for its proper management and
administration and to carry out its legal responsibilities. The contract
must limit further disclosures of the protected health information for
these purposes to those that are required by law and to those for which
the business associate obtains reasonable assurances that the protected
health information will be held confidentially and that it will be
notified by the person to whom it discloses the protected health
information of any breaches of confidentiality.
Second, we permit a covered entity to authorize the business associate
to provide data aggregation services to the covered entity. As discussed
above in § 164.501, data aggregation, with respect to protected health
information received by a business associate in its capacity as the
business associate of a covered entity, is the combining of such
protected health information by the business associate with protected
health information received by the business associate in its capacity as
a business associate of another covered entity, to permit the creation
of data for analyses that relate to the health care operations of the
respective covered entities. We added this service to the business
associate definition to clarify the ability of covered entities to
contract with business associates to undertake quality assurance and
comparative analyses that involve the protected health information of
more than one contracting covered entity. We except data aggregation
from the general requirement that a business associate contract may not
authorize a business associate to use or further disclose protected
health information in a manner that would violate the requirements of
this subpart if done by the covered entity in order to permit the
combining or aggregation of protected health information received in its
capacity as a business associate of different covered entities when it
is performing this service. In many cases, the combining of this
information for the respective health care operations of the covered
entities is not something that the covered entities could do -- a
covered entity cannot generally disclose protected health information to
another covered entity for the disclosing covered entity's health care
operations. However, we permit covered entities that enter into business
associate contracts with a business associate for data aggregation to
permit the business associate to combine or aggregate the protected
health information they disclose to the business associate for their
respective health care operations.
We note that there may be other instances in which a business associate
may combine or aggregate protected health information received in its
capacity as a business associate of different covered entities, such as
when it is performing health care operations on behalf of covered
entities that participate in an organized health care arrangement. A
business associate that is performing payment functions on behalf of
different covered entities also may combine protected health information
when it is necessary, such as when the covered entities share financial
risk or otherwise jointly bill for services.
In the final rule we clarify that the business associate contract must
require the business associate to make available protected health
information for amendment and to incorporate such amendments. The
business associate contract must also require the business associate to
make available the information required to provide an accounting of
disclosures. We provide more flexibility to the requirement that all
protected health information be returned by the business associate upon
termination of the contract. The rule now stipulates that if feasible,
the protected health information should be destroyed or returned at the
end of a contract. Accordingly, a contract with a business associate
must state that if there are reasons that the return or destruction of
the information is not feasible and the information must be retained for
specific reasons and uses, such as for future audits, privacy
protections must continue after the contract ends, for as long as the
business associate retains the information. The contract also must state
that the uses of information after termination of the contract must be
limited to the specific set of uses or disclosures that make it
necessary for the business associate to retain the information.
We also remove the requirement that business associate contracts contain
a provision stating that individuals whose protected health information
is disclosed under the contract are intended third-party beneficiaries
of the contract. Third party beneficiary or similar responsibilities may
arise under these business associate arrangements by operation of state
law; we do not intend in this rule to affect the operation of such state
laws.
We modify the requirement that a business associate contract require the
business associate to ensure that agents abide by the provisions of the
business associate contract. We clarify that agents includes
subcontractors, and we note that a business associate contract must make
the business associate responsible for ensuring that any person to whom
it delegates a function, activity or service which is within its
business associate contract with the covered entity agrees to abide by
the restrictions and conditions that apply to the business associate
under the contract. We note that a business associate will need to
consider the purpose for which protected health information is being
disclosed in determining whether the recipient must be bound to the
restrictions and conditions of the business associate contract. When the
disclosure is a delegation of a function, activity or service that the
business associate has agreed to perform for a covered entity, the
recipient who undertakes such a function steps into the shoes of the
business associate and must be bound to the restrictions and conditions.
When the disclosure is to a third party who is not performing business
associate functions, activities or services for on behalf of the covered
entity, but is the type of disclosure that the covered entity itself
could make without giving rise to a business associate relationship, the
business associate is not required to ensure that the restrictions or
conditions of the business associate contract are maintained.
For example, if a business associate acts as the billing agent of a
health care provider, and discloses protected health information on
behalf of the hospital to health plans, the business associate has no
responsibility with respect to further uses or disclosures by the health
plan. In the example above, where a covered entity has a business
associate contract with a lawyer, and the lawyer discloses protected
health information to an expert witness in preparation for litigation,
the lawyer again would have no responsibility under this subpart with
respect to uses or disclosures by the expert witness, because such
witness is not undertaking the functions, activities or services that
the business associate lawyer has agreed to perform. However, if a
covered entity contracts with a third party administrator to provide
claims management, and the administrator delegates management of the
pharmacy benefits to a third party, the business associate third party
administrator must ensure that the pharmacy manager abides by the
restrictions and conditions in the business associate contract between
the covered entity and the third party administrator.
We provide in § 164.504(c)(3) several methods other than a business
associate contract that will satisfy the requirement for satisfactory
assurances under this section. First, when a government agency is a
business associate of another government agency that is a covered
entity, we permit memorandum of understanding between the agencies to
constitute satisfactory assurance for the purposes of this rule, if the
memorandum accomplishes each of the objectives of the business associate
contract. We recognize that the relationships of government agencies are
often organized as a matter of law, and that it is not always feasible
for one agency to contract with another for all of the purposes provided
for in this section. We also recognize that it may be incorrect to view
one government agency as 'acting on behalf of" the other government
agency; under law, each agency may be acting to fulfill a statutory
mission. We note that in some instances, it may not be possible for the
agencies to include the right to terminate the arrangement because the
relationship may be established under law. In such instances, the
covered entity government agency would need to fulfill the requirement
to report known violations of the memorandum to the Secretary.
Where the covered entity is a government agency, we consider the
satisfactory assurances requirement to be satisfied if other law
contains requirements applicable to the business associate that
accomplish each of the objectives of the business associate contract. We
recognize that in some cases, covered entities that are government
agencies may be able to impose the requirements of this section directly
on the persons acting as their business associates. We also recognize
that often one government agency is acting as a business associate of
another government agency, and either party may have the legal authority
to establish the requirements of this section by regulation. We believe
that imposing these requirements directly on business associates
provides greater protection than we can otherwise provide under this
section, and so we recognize such other laws as sufficient to substitute
for a business associate contract.
We also recognize that there may be some circumstances where the
relationship between covered entities and business associates is
otherwise mandated by law. In the final rule, we provide that where a
business associate is required by law to act as a business associate to
a covered entity, the covered entity may disclose protected health
information to the business associate to the extent necessary to comply
with the legal mandate without meeting the requirement to have a
business associate contract (or, in the case of government agencies, a
memorandum of understanding or law pertaining to the business associate)
if it makes a good faith attempt the obtain satisfactory assurances
required by this section and, if unable to do so, documents the attempt
and the reasons that such assurances cannot be obtained. This provision
addresses situations where law requires one party to act as the business
associate of another party. The fact that the parties have contractual
obligations that may be enforceable is not sufficient to meet the
required by law test in this provision.
This provision recognizes that in some instances the law requires that a
government agency act as a business associate of a covered entity. For
example, the United States Department of Justice is required by law to
defend tort suits brought against certain covered entities; in such
circumstances, however, the United States, and not the individual
covered entity, is the client and is potentially liable. In such
situations, covered entities must be able to disclose protected health
information needed to carry out the representation, but the particular
requirements that would otherwise apply to a business associate
relationship may not be possible to obtain. Subsection (iii) makes clear
that, where the relationship is required by law, the covered entity
complies with the rule if it attempts, in good faith, to obtain
satisfactory assurances as are required by this paragraph and, if such
attempt fails, documents the attempts and the reasons that such
assurances cannot be obtained.
The operation of the final rule maintains the construction discussed in
the preamble to the NPRM that a business associate (including a business
associate that is a covered entity) that has business associate
contracts with more than one covered entity generally may not use or
disclose the protected health information that it creates or receives in
its capacity as a business associate of one covered entity for the
purposes of carrying out its responsibilities as a business associate of
another covered entity, unless doing so would be a lawful use or
disclosure for each of the covered entities and the business associate's
contract with each of the covered entities permits the business
associate to undertake the activity. For example, a business associate
performing a function under health care operations on behalf of an
organized health care arrangement would be permitted to combine or
aggregate the protected health information obtained from covered
entities participating in the arrangement to the extent necessary to
carry out the authorized activity and in conformance with its business
associate contracts. As described above, a business associate providing
data aggregation services to different covered entities also could
combine and use the protected health information of the covered entities
to assist with their respective health care operations. A covered entity
that is undertaking payment activities on behalf of different covered
entities also may use or disclose protected health information obtained
as a business associate of one covered entity when undertaking such
activities as a business associate of another covered entity where the
covered entities have authorized the activities and where they are
necessary to secure payment for the entities. For example, when a group
of providers share financial risk and contract with a business associate
to conduct payment activities on their behalf, the business associate
may use the protected health information received from the covered
entities to assist them in managing their shared risk arrangement.
Finally, we note that the requirements imposed by this provision are
intended to extend privacy protection to situations in which a covered
entity discloses substantial amounts of protected health information to
other persons so that those persons can perform functions or activities
on its behalf or deliver specified services to it. A business associate
contract basically requires the business associate to maintain the
confidentiality of the protected health information that it receives and
generally to use and disclose such information for the purposes for
which it was provided. This requirement does not interfere with the
relationship between a covered entity and business associate, or require
the business associate to subordinate its professional judgment to that
of a covered entity. Covered entities may rely on the professional
judgment of their business associates as to the type and amount of
protected health information that is necessary to carry out a permitted
activity. The requirements of this provision are aimed at securing the
continued confidentiality of protected health information disclosed to
third parties that are serving the covered entity's interests.
**Section 164.504(f) -- Group Health Plans**
Covered entities under HIPAA include health care clearinghouses, health
care providers and health plans. Specifically included in the definition
of "health plan" are group health plans (as defined in section 2791(a)
of the Public Health Service Act) with 50 or more participants or those
of any size that are administered by an entity other than the employer
who established and maintains the plan. These group health plans may be
fully insured or self-insured. Neither employers nor other group health
plan sponsors are defined as covered entities. However, employers and
other plan sponsors - particularly those sponsors with self-insured
group health plans - may perform certain functions that are integrally
related to or similar to the functions of group health plans and, in
carrying out these functions, often require access to individual health
information held by the group health plan.
Most group health plans are also regulated under the Employee Retirement
Income Security Act of 1974 (ERISA). Under ERISA, a group health plan
must be a separate legal entity from its plan sponsor. ERISA-covered
group health plans usually do not have a corporate presence, in other
words, they may not have their own employees and sometimes do not have
their own assets (i.e., they may be fully insured or the benefits may be
funded through the general assets of the plan sponsor, rather than
through a trust). Often, the only tangible evidence of the existence of
a group health plan is the contractual agreement that describes the
rights and responsibilities of covered participants, including the
benefits that are offered and the eligible recipients.
ERISA requires the group health plan to identify a "named fiduciary," a
person responsible for ensuring that the plan is operated and
administered properly and with ultimate legal responsibility for the
plan. If the plan documents under which the group health plan was
established and is maintained permit, the named fiduciary may delegate
certain responsibilities to trustees and may hire advisors to assist it
in carrying out its functions. While generally the named fiduciary is an
individual, it may be another entity. The plan sponsor or employees of
the plan sponsor are often the named fiduciaries. These structural and
operational relationships present a problem in our ability to protect
health information from being used inappropriately in employment-related
decisions. On the one hand, the group health plan, and any health
insurance issuer or HMO providing health insurance or health coverage to
the group health plan, are covered entities under the regulation and may
only disclose protected health information as authorized under the
regulation or with individual consent. On the other hand, plan sponsors
may need access to protected health information to carry out
administration functions on behalf of the plan, but under circumstances
in which securing individual consent is impractical. We note that we
sometimes refer in the rule and preamble to health insurance issuers and
HMOs that provide health insurance or health coverage to a group health
plan as health insurance issuers or HMOs with respect to a group health
plan.
The proposed rule used the health care component approach for employers
and other plan sponsors. Under this approach, only the component of an
employer or other plan sponsor would be treated as a covered entity. The
component of the plan sponsor would have been able to use protected
health information for treatment, payment, and health care operations,
but not for other purposes, such as discipline, hiring and firing,
placement and promotions. We have modified the final rule in a number of
ways.
In the final rule, we recognize plan sponsors' legitimate need for
health information in certain situations while, at the same time,
protecting health information from being used for employment-related
functions or for other functions related to other employee benefit plans
or other benefits provided by the plan sponsor. We do not attempt to
directly regulate employers or other plan sponsors, but pursuant to our
authority to regulate health plans, we place restrictions on the flow of
information from covered entities to non-covered entities.
The final rule permits group health plans, and allows them to authorize
health insurance issuers or HMOs with respect to the group health plan,
to disclose protected health information to plan sponsors if the plan
sponsors voluntarily agree to use and disclose the information only as
permitted or required by the regulation. The information may be used
only for plan administration functions performed on behalf of the group
health plan which are specified in plan documents. The group health plan
is not required to have a business associate contract with the plan
sponsor to disclose the protected health information or allow the plan
sponsor to create protected health information on its behalf, if the
conditions of § 164.504(e) are met.
In order for the group health plan to disclose protected health
information to a plan sponsor, the plan documents under which the plan
was established and is maintained must be amended to: (1) describe the
permitted uses and disclosures of protected health information; (2)
specify that disclosure is permitted only upon receipt of a
certification from the plan sponsor that the plan documents have been
amended and the plan sponsor has agreed to certain conditions regarding
the use and disclosure of protected health information; and (3) provide
adequate firewalls to: identify the employees or classes of employees
who will have access to protected health information; restrict access
solely to the employees identified and only for the functions performed
on behalf of the group health plan; and provide a mechanism for
resolving issues of noncompliance.
Any employee of the plan sponsor who receives protected health
information for payment, health care operations or other matters related
to the group health plan must be identified in the plan documents either
by name or function. We assume that since individuals employed by the
plan sponsor may change frequently, the group health plan would likely
describe such individuals in a general manner. Any disclosure to
employees or classes of employees not identified in the plan documents
is not a permissible disclosure. To the extent a group health plan does
have its own employees separate from the plan sponsor's employees, as
the workforce of a covered entity (i.e. the group health plan), they
also are bound by the permitted uses and disclosures of this rule.
The certification that must be given to the group health plan must state
that the plan sponsor agrees to: (1) not use or further disclose
protected health information other than as permitted or required by the
plan documents or as required by law; (2) ensure that any subcontractors
or agents to whom the plan sponsor provides protected health information
agree to the same restrictions; (3) not use or disclose the protected
health information for employment-related actions; (4) report to the
group health plan any use or disclosure that is inconsistent with the
plan documents or this regulation; (5) make the protected health
information accessible to individuals; (6) allow individuals to amend
their information; (7) provide an accounting of its disclosures; (8)
make its practices available to the Secretary for determining
compliance; (9) return and destroy all protected health information when
no longer needed, if feasible; and (10) ensure that the firewalls have
been established.
We have included this certification requirement in part, as a way to
reduce the burden on health insurance issuers and HMOs. Without a
certification, health insurance issuers and HMOs would need to review
the plan documents in order to ensure that the amendments have been made
before they could disclose protected health information to plan
sponsors. The certification, however, is a simple statement that the
amendments have been made and that the plan sponsor has agreed to
certain restrictions on the use and disclosure of protected health
information. The receipt of the certification therefore, is sufficient
basis for the health insurance issuer or HMO to disclose protected
health information to the plan sponsor.
Many activities included in the definitions of health care operations
and payment are commonly referred to as plan administration functions in
the ERISA group health plan context. For purposes of this rule, plan
administration activities are limited to activities that would meet the
definition of payment or health care operations, but do not include
functions to modify, amend, or terminate the plan or solicit bids from
prospective issuers. Plan administration functions include quality
assurance, claims processing, auditing, monitoring, and management of
carve-out plans - such as vision and dental. Under the final rule, "plan
administration" does not include any employment-related functions or
functions in connection with any other benefits or benefit plans, and
group health plans may not disclose information for such purposes absent
an authorization from the individual. For purposes of this rule,
enrollment functions performed by the plan sponsor on behalf of its
employees are not considered plan administration functions.
Plan sponsors have access to protected health information only to the
extent group health plans have access to protected health information
and plan sponsors are permitted to use or disclose protected health
information only as would be permitted by group health plans. That is, a
group health plan may permit a plan sponsor to have access to or to use
protected health information only for purposes allowed by the
regulation.
As explained above, where a group health plan purchases insurance or
coverage from a health insurance issuer or HMO, the provision of
insurance or coverage by the health insurance issuer or HMO to the group
health plan does not make the health insurance issuer or HMO a business
associate. In such case, the activities of the health insurance issuer
or HMO are on their own behalf and not on the behalf of the group health
plan. We note that where a group health plan contracts with a health
insurance issuer or HMO to perform functions or activities or to provide
services that are in addition to or not directly related to the
provision of insurance, the health insurance issuer or HMO may be a
business associate with respect to those additional functions,
activities, or services. In addition, group health plans that provide
health benefits only through an insurance contract and do not create,
maintain, or receive protected health information (except for summary
information described below or information that merely states whether an
individual is enrolled in or has been disenrolled from the plan) do not
have to meet the notice requirements of § 164.520 or the administrative
requirements of § 164.530, except for the documentation requirement in §
164.530(j), because these requirements are satisfied by the issuer or
HMO that is providing benefits under the group health plan. A group
health plan, however, may not permit a health insurance issuer or HMO to
disclose protected health information to a plan sponsor unless the
notice required in 164.520 indicate such disclosure may occur.
The final rule also permits a health plan that is providing insurance to
a group health plan to provide summary information to the plan sponsor
to permit the plan sponsor to solicit premium bids from other health
plans or for the purpose of modifying, amending, or terminating the
plan. The rule provides that summary information is information that
summarizes claims history, claims expenses, or types of claims
experienced by individuals for whom the plan sponsor has provided health
benefits under a group health plan, provided that specified identifiers
are not included. Summary information may be disclosed under this
provision even if it does not meet the definition of de-identified
information. As part of the notice requirements in § 164.520, health
plans must inform individuals that they may disclose protected health
information to plan sponsors. The provision to allow summaries of claims
experience to be disclosed to plan sponsors that purchase insurance will
allow them to shop for replacement coverage, and get meaningful bids
from prospective issuers. It also permits a plan sponsor to get summary
information as part of its consideration of whether or not to change the
benefits that are offered or employees or whether or not to terminate a
group health plan.
We note that a plan sponsor may perform enrollment functions on behalf
of its employees without meeting the conditions above and without using
the standard transactions described in the Transactions Rule.
**Section 164.504(g)---Multiple Covered Function Entities**
Although not addressed in the proposed rule, this final rule also
recognizes that a covered entity may as a single legal entity,
affiliated entity, or other arrangement combine the functions or
operations of health care providers, health plans and health care
clearinghouses (for example, integrated health plans and health care
delivery systems may function as both health plans and health care
providers). The rule permits such covered entities to use or disclose
the protected health information of its patients or members for all
covered entity functions, consistent with the other requirements of this
rule. The health care component must meet the requirements of this rule
that apply to a particular type of covered entity when it is functioning
as that entity; e.g., when a health care component is operating as a
health care provider it must meet the requirements of this rule
applicable to a health care provider. However, such covered entities may
not use or disclose the protected health information of an individual
who is not involved in a particular covered entity function for that
function, and such information must be segregated from any joint
information systems. For example, an HMO may integrate data about health
plan members and clinic services to members, but a health care system
may not share information about a patient in its hospital with its
health plan if the patient is not a member of the health plan.
**SECTION 164.506 - USES AND DISCLOSURES FOR TREATMENT, PAYMENT, AND
HEALTH CARE OPERATIONS**
***Introduction: "Consent" versus "Authorization"***
In the proposed rule, we used the term "authorization" to describe the
individual's written permission for a covered entity to use and disclose
protected health information, regardless of the purpose of the use or
disclosure. Authorization would have been required for all uses and
disclosures that were not otherwise permitted or required under the
NPRM.
We proposed to permit covered entities, subject to limited exceptions
for psychotherapy notes and research information unrelated to treatment,
to use and disclose protected health information to carry out treatment,
payment, and health care operations without authorization. See proposed
§ 164.506(a)(1).
We also proposed to prohibit covered entities from requiring individuals
to sign authorizations for uses and disclosures of protected health
information for treatment, payment, and health care operations, unless
required by other applicable law. See proposed § 164.508(a)(iv). We
instead proposed requiring covered entities to produce a notice
describing their information practices, including practices with respect
to uses and disclosures to carry out treatment, payment, and health care
operations.
In the final rule, we retain the requirement for covered entities to
obtain the individual's written permission (an "authorization") for uses
and disclosures of protected health information that are not otherwise
permitted or required under the rule. However, under the final rule, we
add a second type of written permission for use or disclosure of
protected health information: a "consent" for uses and disclosures to
carry out treatment, payment, and health care operations. In the final
rule, we permit, and in some cases require, covered entities to obtain
the individual's written permission for the covered entity to use or
disclose protected health information other than psychotherapy notes to
carry out treatment, payment, and health care operations. We refer to
this written permission as a "consent."
The "consent" and the "authorization" do not overlap. The requirement to
obtain a "consent" applies in different circumstances than the
requirement to obtain an authorization. In content, a consent and an
authorization differ substantially from one another.
As described in detail below, a "consent" allows use and disclosure of
protected health information only for treatment, payment, and health
care operations. It is written in general terms and refers the
individual to the covered entity's notice for further information about
the covered entity's privacy practices. It allows use and disclosure of
protected health information by the covered entity seeking the consent,
not by other persons. Most persons who obtain a consent will be health
care providers; health plans and health care clearinghouses may also
seek a consent. The consent requirements appear in § 164.506 and are
described in this section of the preamble.
With a few exceptions, an "authorization" allows use and disclosure of
protected health information for purposes other than treatment, payment,
and health care operations. In order to make uses and disclosures that
are not covered by the consent requirements and not otherwise permitted
or required under the final rule, covered entities must obtain the
individual's "authorization." An "authorization" must be written in
specific terms. It may allow use and disclosure of protected health
information by the covered entity seeking the authorization, or by a
third party. In some instances, a covered entity may not refuse to treat
or cover individuals based on the fact that they refuse to sign an
authorization. See § 164.508 and the corresponding preamble discussion
regarding authorization requirements.
**Section 164.506(a) -- Consent Requirements**
We make significant changes in the final rule with respect to uses and
disclosures of protected health information to carry out treatment,
payment, and health care operations. We do not prohibit covered entities
from seeking an individual's written permission for use or disclosure of
protected health information to carry out treatment, payment, or health
care operations.
Except as described below, we instead require covered health care
providers to obtain the individual's consent prior to using or
disclosing protected health information to carry out treatment, payment,
or health care operations. If the covered provider does not obtain the
individual's consent, the provider is prohibited from using or
disclosing protected health information about the individual for
purposes of treating the individual, obtaining payment for health care
delivered to the individual, or for the provider's health care
operations. See § 164.506(a)(1).
We except two types of health care providers from this consent
requirement. First, covered health care providers that have an indirect
treatment relationship with an individual are not required to obtain the
individual's consent prior to using or disclosing protected health
information about the individual to carry out treatment, payment, and
health care operations. An "indirect treatment relationship" is defined
in § 164.501 and described in the corresponding preamble. These
providers may use and disclose protected health information as otherwise
permitted under the rule and consistent with their notice of privacy
practices (see § 164.520 regarding notice requirements and § 164.502(i)
regarding requirements to adhere to the notice). For example, a covered
provider that provides consultation services to another provider without
seeing the patient would have an indirect treatment relationship with
that patient and would not be required to obtain the patient's consent
to use protected health information about the patient for the
consultation. These covered providers are, however, permitted to obtain
consent, as described below.
Second, covered health care providers that create or receive protected
health information in the course of providing health care to inmates of
a correctional institution are not required to obtain the inmate's
consent prior to using or disclosing protected health information about
the inmate to carry out treatment, payment, and health care operations.
See § 164.501 and the corresponding preamble discussion regarding the
definitions of "correctional institution" and "inmate." These providers
may use and disclose protected health information as otherwise permitted
under the rule. These providers are permitted, however, to obtain
consent, as described below.
In addition, we permit covered health care providers to use and disclose
protected health information, without consent, to carry out treatment,
payment, and health care operations, if the protected health information
was created or received in certain treatment situations. In the
treatment situations described in § 164.506(a)(3) and immediately below,
the covered health care provider must attempt to obtain the individual's
consent. If the covered provider is unable to obtain consent, but
documents the attempt and the reason consent was not obtained, the
covered provider may, without consent, use and disclose the protected
health information resulting from the treatment as otherwise permitted
under the rule. All other protected health information about that
individual that the covered health care provider creates or receives,
however, is subject to the consent requirements.
This exception to the consent requirement applies to protected health
information created or received in any of three treatment situations.
First, the exception applies to protected health information created or
received in emergency treatment situations. In these situations, covered
providers must attempt to obtain the consent as soon as reasonably
practicable after the delivery of the emergency treatment. Second, the
exception applies to protected health information created or received in
situations where the covered health care provider is required by law to
treat the individual (for example, certain publicly funded providers)
and the covered health care provider attempts to obtain such consent.
Third, the exception applies to protected health information created or
received in treatment situations where there are substantial barriers to
communicating with the individual and, in the exercise of professional
judgment, the covered provider clearly infers from the circumstances the
individual's consent to receive treatment. For example, there may be
situations in which a mentally incapacitated individual seeks treatment
from a health care provider but is unable to provide informed consent to
undergo such treatment and does not have a personal representative
available to provide such consent on the individual's behalf. If the
covered provider, in her professional judgment, believes she can legally
provide treatment to that individual, we also permit the provider to use
and disclose protected health information resulting from the treatment
without the individual's consent. We intend covered health care
providers that legally provide treatment without the individual's
consent to that treatment to be able to use and disclose protected
health information resulting from that treatment to carry out treatment,
payment, or health care operations without obtaining the individual's
consent for such use or disclosure. We do not intend to impose
unreasonable barriers to individuals' ability to receive, and health
care providers' ability to provide, health care.
Under § 164.506(a)(4), covered health care providers that have an
indirect treatment relationship with an individual, as well as health
plans and health care clearinghouses, may elect to seek consent for
their own uses and disclosures to carry out treatment, payment, and
health care operations. If such a covered entity seeks consent for these
purposes, the consent must meet the minimum requirements described
below.
If a covered health care provider with an indirect treatment
relationship, a health plan, or a health care clearinghouse does not
seek consent, the covered entity may use or disclose protected health
information to carry out treatment, payment, and health care operations
as otherwise permitted under the rule and consistent with its notice of
privacy practices (see § 164.520 regarding notice requirements and §
164.502(i) regarding requirements to adhere to the notice).
If a covered health care provider with an indirect treatment
relationship, a health plan, or a health care clearinghouse does ask an
individual to sign a consent, and the individual does not do so, the
covered entity is prohibited under § 164.502(a)(1) from using or
disclosing protected health information for the purpose(s) included in
the consent. A covered entity that seeks a consent must adhere to the
individual's decision.
In § 164.506(a)(5), we specify that a consent obtained by one covered
entity is not effective to permit another covered entity to use or
disclose protected health information, unless the consent is a joint
consent. See § 164.506(f) and the corresponding preamble discussion
below regarding joint consents. A consent provides the individual's
permission only for the covered entity that obtains the consent to use
or disclose protected health information for treatment, payment, and
health care operations. A consent under this section does not operate to
authorize another covered entity to use or disclose protected health
information, except where the other covered entity is operating as a
business associate. We note that, where a covered entity is acting as a
business associate of another covered entity, the business associate
covered entity is acting for or on behalf of the principal covered
entity, and its actions for or on behalf of the principal covered entity
are authorized by the consent obtained by the principal covered entity.
Thus, under this section, a health plan can obtain a consent that
permits the health plan and its business associates to use and disclose
protected health information that the health plan and its business
associates create or receive. That consent cannot, however, permit
another covered entity (that is not a business associate) to disclose
protected health information to the health plan or to any other person.
If a covered entity wants to obtain the individual's permission for
another covered entity to disclose protected health information to it
for treatment, payment, or health care operations purposes, it must seek
an authorization in accordance with § 164.508(e). For example, when a
covered provider asks the individual for written permission to obtain
the individual's medical record from another provider for treatment
purposes, it must do so with an authorization, not a consent. Since the
permission is for disclosure of protected health information by another
person, a consent may not be used.
**Section 164.506(b) -- Consent General Requirements**
In the final rule, we permit a covered health care provider to condition
the provision of treatment on the receipt of the individual's consent
for the covered provider to use and disclose protected health
information to carry out treatment, payment, and health care operations.
Covered providers may refuse to treat individuals who do not consent to
uses and disclosures for these purposes. See § 164.506(b)(1). We note
that there are exceptions to the consent requirements for covered health
care providers that are required by law to treat individuals. See §
164.506(a)(3), described above.
Similarly, in the final rule, we permit health plans to condition an
individual's enrollment in the health plan on the receipt of the
individual's consent for the health plan to use and disclose protected
health information to carry out treatment, payment, and health care
operations, if the consent is sought in conjunction with the enrollment
process. If the health plan seeks the individual's consent outside of
the enrollment process, the health plan may not condition any services
on obtaining such consent.
Under § 164.520, covered entities must produce a notice of privacy
practices. A consent may not be combined in a single document with the
notice of privacy practices. See § 164.506(b)(3).
Under § 164.506(b)(4), consents for uses and disclosures of protected
health information to carry out treatment, payment, and health care
operations may be combined in a single document covering all three types
of activities and may be combined with other types of legal permission
from the individual. For example, a consent to use or disclose protected
health information under this rule may be combined with an informed
consent to receive treatment, a consent to assign payment of benefits to
a provider, or narrowly tailored consents required under state law for
the use or disclosure of specific types of protected health information
(e.g., state laws requiring specific consent for any sharing of
information related to HIV/AIDS).
Within a single consent document, the consent for use and disclosure of
protected health information required or permitted under this rule must
be visually and organizationally separate from the other consents or
authorizations and must be separately signed by the individual and
dated.
Where research includes treatment of the individual, a consent under
this rule may be combined with the authorization for the use or
disclosure of protected health information created for the research, in
accordance with § 164.508(f). (This is the only case in which an
authorization under § 164.508 of this rule may be combined with a
consent under § 164.506 of this rule. See § 164.508(b)(3).) The covered
entity that is creating protected health information for the research
may elect to combine the consent required under this section with the
research-related authorization required under § 164.508(f). For example,
a covered health care provider that provides health care to an
individual for research purposes and for non-research purposes must
obtain a consent under this section for all of the protected health
information it maintains. In addition, it must obtain an authorization
in accordance with § 164.508(f) which describes how it will use and
disclose the protected health information it creates for the research
for purposes of treatment, payment, and health care operations. Section
164.506(b)(4) permits the covered entity to satisfy these two
requirements with a single document. See § 164.508(f) and the
corresponding preamble discussion for a more detailed description of
research authorization requirements.
Under § 164.506(b)(5), individuals may revoke a consent in writing at
any time, except to the extent that the covered entity has taken action
in reliance on the consent. Upon receipt of the written revocation, the
covered entity must stop processing the information for use or
disclosure, except to the extent that it has taken action in reliance on
the consent. A covered health care provider may refuse, under this rule,
to continue to treat an individual that revokes his or her consent. A
health plan may disenroll an individual that revokes a consent that was
sought in conjunction with the individual's enrollment in the health
plan.
Covered entities must document and retain any signed consent as required
by § 164.530(j).
**Section 164.506(c) -- Consent Content Requirements**
Under § 164.506(c), the consent must be written in plain language. See
the preamble discussion regarding notice of privacy practices for a
description of plain language requirements. We do not provide a model
consent in this rule. We will provide further guidance on drafting
consent documents prior to the compliance date.
Under § 164.506(c)(1), the consent must inform the individual that
protected health information may be used and disclosed by the covered
entity to carry out treatment, payment, or health care operations. The
covered entity must determine which of these elements (use and/or
disclosure; treatment, payment, and/or health care operations) to
include in the consent document, as appropriate for the covered entity's
practices.
For covered health care providers that are required to obtain consent,
the requirement applies only to the extent the covered provider uses or
discloses protected health information. For example, if all of a covered
provider's health care operations are conducted by members of the
covered provider's own workforce, the covered provider may choose to
obtain consent only for uses, not disclosures, of protected health
information to carry out health care operations. If an individual pays
out of pocket for all services received from the covered provider and
the provider will not disclose any information about the patient to a
third party payor, the provider may choose not to obtain the
individual's consent to disclose information for payment purposes. In
order for a covered provider to be able to use and disclose information
for all three purposes, however, all three purposes must be included in
the consent.
Under §§ 164.506(c)(2) and (3), the consent must refer the individual to
the covered entity's notice for additional information about the uses
and disclosures of information described in the consent. The consent
must also indicate that the individual has the right to review the
notice prior to signing the consent. If the covered entity has reserved
the right to change its privacy practices in accordance with §
164.520(b)(1)(v)(C), the consent must indicate that the terms of the
notice may change and must describe how the individual may obtain a
revised notice. See § 164.520 and the corresponding preamble discussion
regarding notice requirements.
Under § 164.506(c)(4), the consent must inform individuals that they
have the right to request restrictions on uses and disclosures of
protected health information for treatment, payment, and health care
operations purposes. It must also state that the covered entity is not
required to agree to an individual's request, but that if the covered
entity does agree to the request, the restriction is binding on the
covered entity. See § 164.522(a) regarding the right to request
restrictions.
Under § 164.506(c)(5), the consent must indicate that the individual has
the right to revoke the consent in writing, except to the extent that
the covered entity has taken action in reliance on the consent.
Under § 164.506(c)(6), the consent must include the individual's
signature and the date of signature. Once we adopt the standards for
electronic signature, another of the required administrative
simplification standards we are required to adopt under HIPAA, an
electronic signature that meets those standards will be sufficient under
this rule. We do not require any verification of the individual's
identity or authentication of the individual's signature. We expect
covered health care providers that are required to obtain consent to
employ the same level of scrutiny to these signatures as they do to the
signature obtained on a document regarding the individual's consent to
undergo treatment by the provider.
**Section 164.506(d) -- Defective Consents**
Under § 164.506(d), there is no "consent" within the meaning of the rule
if the completed document lacks a required element or if the individual
has revoked the consent in accordance with § 164.506(b)(5).
**Section 164.506(e) -- Resolving Conflicting Consents and
Authorizations**
Situations may arise where a covered entity that has obtained the
individual's consent for the covered entity to use or disclose protected
health information to carry out treatment, payment, or health care
operations is asked to disclose protected health information pursuant to
another written legal permission from the individual, such as an
authorization, that was obtained by another person. Under § 164.506(e),
when the terms of a covered entity's consent conflict with the terms of
another written legal permission from the individual to use or disclose
protected health information (such as a consent obtained under state law
by another covered entity or an authorization), the covered entity must
adhere to the more restrictive document. By conflict, we mean that the
consent and authorization contain inconsistencies. In implementing this
section, we note that the consent under this section references the
notice provided to the individual and the individual's right to request
restrictions. In determining whether the covered entity's consent
conflicts with another written legal permission provided by the
individual, the covered entity must consider any limitations on its uses
or disclosures resulting from the notice provided to the individual or
from restrictions to which it has agreed. For example, a covered nursing
home may elect to ask the patient to sign an authorization for the
patient's covered primary care physician to forward the patient's
medical records to the nursing home. The physician may have previously
obtained the individual's consent for disclosure for treatment purposes.
If the authorization obtained by the nursing home grants permission for
the physician to disclose particular types of information, such as
genetic information, but the consent obtained by the physician excludes
such information or the physician has agreed to a restriction on that
type of information, the physician may not disclose that information.
The physician must adhere to the more restrictive written legal
permission from the individual.
When a conflict between a consent and another written legal permission
from the individual exists, as described above, the covered entity may
attempt to resolve the conflict with the individual by either obtaining
a new consent from the individual or by having a discussion or otherwise
communicating with the individual to determine the individual's
preference regarding the use or disclosure. If the individual's
preference is communicated orally, the covered entity must document the
individual's preference and act in accordance with that preference. In
the example described above, the primary care physician could ask the
patient to sign a new consent that would permit the disclosure of the
genetic information. Alternatively, the physician could ask the patient
whether the patient intended for the genetic information to be disclosed
to the nursing home. If the patient confirms that he or she intended for
the genetic information to be shared, the physician can document that
fact (e.g., by making a notation in the medical record) and disclose the
information to the nursing home.
We believe covered entities will rarely be faced with conflicts between
consents and other written legal permission from the individual for uses
and disclosures to carry out treatment, payment, and health care
operations. Under § 164.506(a)(5), we specify that a consent only
permits the covered entity that obtains the consent to use or disclose
protected health information. A consent obtained by one covered entity
is not effective to permit another different covered entity to use or
disclose protected health information. Conflicting consents obtained by
covered entities, therefore, are not possible. We expect authorizations
that permit another covered entity to use and disclose protected health
information for treatment, payment, and health care operations purposes
will rarely be necessary, because we expect covered entities that
maintain protected health information to obtain consents that permit
them to make anticipated uses and disclosures for these purposes.
Nevertheless, covered entities are permitted under § 164.508(e) to
obtain authorization for another covered entity to use or disclose
protected health information to carry out treatment, payment, and health
care operations. We recognize these authorizations may be useful to
demonstrate an individual's intent and relationship to the intended
recipient of the information. For example, these authorizations may be
useful in situations where a health plan wants to obtain information
from one provider in order to determine payment of a claim for services
provided by a different provider (e.g., information from a primary care
physician that is necessary to determine payment of services provided by
a specialist) or where an individual's new physician wants to obtain the
individual's medical records from prior physicians. Other persons not
covered by this rule may also seek authorizations and state law may
require written permission for specific types of information, such as
information related to HIV/AIDS or to mental health. Because an
individual may sign conflicting documents over time, we clarify that the
covered entity maintaining the protected health information to be used
or disclosed must adhere to the more restrictive permission the
individual has granted, unless the covered entity resolves the conflict
with the individual.
**Section 164.506(f) -- Joint Consents**
Covered entities that participate in an organized health care
arrangement and that develop a joint notice under § 164.520(d) may
develop a joint consent in which the individual consents to the uses and
disclosures of protected health information by each of the covered
entities in the arrangement to carry out treatment, payment, and/or
health care operations. The joint consent must identify with reasonable
specificity the covered entities, or class of covered entities, to which
the joint consent applies and must otherwise meet the consent
requirements. If an individual revokes a joint consent, the covered
entity that receives the revocation must inform the other entities
covered by the joint consent of the revocation as soon as practicable.
If any one of the covered entities included in the joint consent obtains
the individual's consent, as required above, the consent requirement is
met for all of the other covered entities to which the consent applies.
For example, a covered hospital and the clinical laboratory and
emergency departments with which it participates in an organized health
care arrangement may produce a joint notice and obtain a joint consent.
If the covered hospital obtains the individual's joint consent upon
admission, and some time later the individual is readmitted through the
associated emergency department, the emergency department's consent
requirement will already have been met. These joint consents are the
only type of consent by which one covered entity can obtain the
individual's permission for another covered entity to use or disclose
protected health information to carry out treatment, payment, or health
care operations.
***Effect of Consent***
These consents, as well as the authorizations described in § 164.508,
should not be construed to waive, directly or indirectly, any privilege
granted under federal, state, or local law or procedure. Consents
obtained under this regulation are not appropriate for the disposition
of more technical and legal proceedings and may not comport with
procedures and standards of federal, state, or local judicial practice.
For example, state courts and other decision-making bodies may choose to
examine more closely the circumstances and propriety of such consent and
may adopt more protective standards for application in their
proceedings. In the judicial setting, as in the legislative and
executive settings, states may provide for greater protection of
privacy. Additionally, both the Congress and the Secretary have
established a general approach to protecting from explicit preemption
state laws that are more protective of privacy than the protections set
forth in this regulation.
**SECTION 164.508 - USES AND DISCLOSURES FOR WHICH AN AUTHORIZATION IS
REQUIRED**
**Section 164.508(a) -- Standard**
We proposed to require covered entities to obtain the individual's
authorization for all uses and disclosures of protected health
information not otherwise permitted or required under the proposed rule.
Uses and disclosures that would have been permitted without individual
authorization included uses and disclosures for national priority
purposes such as public health, law enforcement, and research (see
proposed § 164.510) and uses and disclosures of protected health
information, other than psychotherapy notes and research information
unrelated to treatment, for purposes of treatment, payment, and health
care operations (see proposed § 164.506). We also proposed to require
covered entities to disclose protected health information to the
individual for inspection and copying (see proposed § 164.514) and to
the Secretary as required for enforcement of the rule (see proposed §
164.522). Individual authorization would not have been required for
these uses and disclosures.
We proposed to require covered entities to obtain the individual's
authorization for all other uses and disclosures of protected health
information. Under proposed § 164.508(a), uses and disclosures that
would have required individual authorization included, but were not
limited to, the following:
· use for marketing of health and non-health items and services by the
covered entity;
· disclosure by sale, rental, or barter;
· use and disclosure to non-health related divisions of the covered
entity, e.g., for use in marketing life or casualty insurance or banking
services;
· disclosure, prior to an individual's enrollment in a health plan, to
the health plan or health care provider for making eligibility or
enrollment determinations relating to the individual or for underwriting
or risk rating determinations;
· disclosure to an employer for use in employment determinations; and
· use or disclosure for fundraising.
In the preamble to the proposed rule, we stated that covered entities
would be bound by the terms of authorizations. Uses or disclosures by
the covered entity for purposes inconsistent with the statements made in
the authorization would have constituted a violation of the rule.
In the final rule, under § 164.508(a), as in the proposed rule, covered
entities must have authorization from individuals before using or
disclosing protected health information for any purpose not otherwise
permitted or required by this rule. Specifically, except for
psychotherapy notes (see below), covered entities are not required to
obtain the individual's authorization to use or disclose protected
health information to carry out treatment, payment, and health care
operations. (Covered entities may, however, be required to obtain the
individual's consent for these uses and disclosures. See the preamble
regarding § 164.506 for a discussion of "consent" versus
"authorization".) We also do not require covered entities to obtain the
individual's authorization for uses and disclosures of protected health
information permitted under §§ 164.510 or 164.512, for disclosures to
the individual, or for required disclosures to the Secretary under
subpart C of part 160 of this subchapter for enforcement of this rule.
In the final rule, we clarify that covered entities are bound by the
statements provided on the authorization; use or disclosure by the
covered entity for purposes inconsistent with the statements made in the
authorization constitutes a violation of this rule.
Unlike the proposed rule, we do not include in the regulation examples
of the types of uses and disclosures that require individual
authorization. We eliminated two examples from the proposed list due to
potential confusion as to our intent: disclosure by sale, rental, or
barter and use and disclosure to non-health related divisions of the
covered entity. We recognize that covered entities sometimes make these
types of uses and disclosures for purposes that are permitted under the
rule without authorization. For example, a covered health care provider
may sell its accounts receivable to a collection agency for payment
purposes and a health plan may disclose protected health information to
its life insurance component for payment purposes. We do not intend to
require authorization for uses and disclosures made by sale, rental, or
barter or for disclosures made to non-health related divisions of the
covered entity, if those uses or disclosures could otherwise be made
without authorization under this rule. As with any other use or
disclosure, however, uses and disclosures of protected health
information for these purposes do require authorization if they are not
otherwise permitted under the rule.
We also eliminated the remaining proposed examples from the final rule
due to concern that these examples might be misinterpreted as an
exhaustive list of all of the uses and disclosures that require
individual authorization. We discuss the examples here, however, to
clarify the interaction of the authorization requirements and the
provisions of the rule that permit uses and disclosures without
authorization and/or with consent. Uses and disclosures for which
covered entities must have the individual's authorization include, but
are not limited to, the following activities.
***Marketing***
As in the proposed rule, covered entities must obtain the individual's
authorization before using or disclosing protected health information
for marketing purposes. In the final rule, we add a new definition of
marketing (see § 164.501). For more detail on what activities constitute
marketing, see § 164.501, definition of "marketing," and § 164.514(e).
***Pre-enrollment underwriting***
As in the proposed rule, covered entities must obtain the individual's
authorization to use or disclose protected health information for the
purpose of making eligibility or enrollment determinations relating to
an individual or for underwriting or risk rating determinations, prior
to the individual's enrollment in a health plan (that is, for purposes
of pre-enrollment underwriting). For example, if an individual applies
for new coverage with a health plan in the non-group market and the
health plan wants to review protected health information from the
individual's covered health care providers before extending an offer of
coverage, the individual first must authorize the covered providers to
share the information with the health plan. If the individual applies
for renewal of existing coverage, however, the health plan would not
need to obtain an authorization to review its existing claims records
about that individual, because this activity would come within the
definition of health care operations and be permissible. We also note
that under § 164.504(f), a group health plan and a health insurance
issuer that provides benefits with respect to a group health plan are
permitted in certain circumstances to disclose summary health
information to the plan sponsor for the purpose of obtaining premium
bids. Because these disclosures fall within the definition of health
care operations, they do not require authorization.
***Employment determinations***
As in the proposed rule, covered entities must obtain the individual's
authorization to use or disclose protected health information for
employment determinations. For example, a covered health care provider
must obtain the individual's authorization to disclose the results of a
pre-employment physical to the individual's employer. The final rule
provides that a covered entity may condition the provision of health
care that is solely for the purpose of creating protected health
information for disclosure to a third party on the provision of
authorization for the disclosure of the information to the third party.
***Fundraising***
Under the proposed regulation, we would have required authorization
before a covered entity could have used or disclosed protected health
information for fundraising. In the final rule, we narrow the
circumstances under which covered entities must obtain the individual's
authorization to use or disclose protected health information for
fundraising purposes. As provided in § 164.514(f) and described in
detail in the corresponding preamble, authorization is not required when
a covered entity uses or discloses demographic information and
information about the dates of health care provided to an individual for
the purpose of raising funds for its own benefit, nor when it discloses
such information to an institutionally related foundation to raise funds
for the covered entity.
Any use or disclosure for fundraising purposes that does not meet the
requirements of § 164.514(f) and does not fall within the definition of
health care operations (see § 164.501), requires authorization.
Specifically, covered entities must obtain the individual's
authorization to use or disclose protected health information to raise
funds for any entity other than the covered entity. For example, a
covered entity must have the individual's authorization to use protected
health information about the individual to solicit funds for a
non-profit organization that engages in research, education, and
awareness efforts about a particular disease.
***Psychotherapy Notes***
In the NPRM, we proposed different rules with respect to psychotherapy
notes than we proposed with respect to all other protected health
information. The proposed rule would have required covered entities to
obtain an authorization for any use or disclosure of psychotherapy notes
to carry out treatment, payment, or health care operations, unless the
use was by the person who created the psychotherapy notes. With respect
to all other protected health information, we proposed to prohibit
covered entities from requiring authorization for uses and disclosures
for these purposes.
We significantly revise our approach to psychotherapy notes in the final
rule. With a few exceptions, covered entities must obtain the
individual's authorization to use or disclose psychotherapy notes to
carry out treatment, payment, or health care operations. A covered
entity must obtain the individual's consent, but not an authorization,
for the person who created the psychotherapy notes to use the notes to
carry out treatment and for the covered entity to use or disclose
psychotherapy notes for conducting training programs in which students,
trainees, or practitioners in mental health learn under supervision to
practice or improve their skills in group, joint, family, or individual
counseling. A covered entity may also use psychotherapy notes to defend
a legal action or other proceeding brought by the individual pursuant to
a consent, without a specific authorization. We note that, while this
provision allows disclosure of these records to the covered entity's
attorney to defend against the action or proceeding, disclosure to
others in the course of a judicial or administrative proceeding is
governed by § 164.512(e). This special provision is necessary because
disclosure of protected health information for purposes of legal
representatives may be made under the general consent as part of "health
care operations." Because we require an authorization for disclosure of
psychotherapy notes for "health care operations," an exception is needed
to allow covered entities to use protected health information about an
individual to defend themselves against an action threatened or brought
by that individual without asking that individual for authorization to
do so. Otherwise, a consent under § 164.506 is not sufficient for the
use or disclosure of psychotherapy notes to carry out treatment,
payment, or health care operations. Authorization is required. We
anticipate these authorizations will rarely be necessary, since
psychotherapy notes do not include information that covered entities
typically need for treatment, payment, or other types of health care
operations.
In the NPRM, we proposed to permit covered entities to use and disclose
psychotherapy notes for all other purposes permitted or required under
the rule without authorization. In the final rule, we specify a more
limited set of uses and disclosures of psychotherapy notes that covered
entities are permitted to make without authorization. An authorization
is not required for use or disclosure of psychotherapy notes when
required for enforcement purposes, in accordance with subpart C of part
160 of this subchapter; when mandated by law, in accordance with §
164.512(a); when needed for oversight of the health care provider who
created the psychotherapy notes, in accordance with § 164.512(d); when
needed by a coroner or medical examiner, in accordance with §
164.512(g)(1); or when needed to avert a serious and imminent threat to
health or safety, in accordance with § 164.512(j)(1)(i). We also provide
transition provisions in § 164.532 regarding the effect of express legal
permission obtained from an individual prior to the compliance date of
this rule.
**Section 164.508(b) -- Implementation Specifications for
Authorizations**
***Valid and Defective Authorizations***
We proposed to require a minimum set of elements for authorizations
requested by the individual and an additional set of elements for
authorizations requested by a covered entity. We would have permitted
covered entities to use and disclose protected health information
pursuant to authorizations containing the applicable required elements.
We would have prohibited covered entities from acting on an
authorization if the submitted document had any of the following
defects:
· the expiration date had passed;
· the form had not been filled out completely;
· the covered entity knew the authorization had been revoked;
· the completed form lacked a required element; or
· the covered entity knew the information on the form was false.
In § 164.508(b)(1) of the final rule, we specify that an authorization
containing the applicable required elements (as described below) is a
valid authorization. We clarify that a valid authorization may contain
additional, non-required elements, provided that these elements are not
inconsistent with the required elements. Covered entities are not
required to use or disclose protected health information pursuant to a
valid authorization. Our intent is to clarify that a covered entity that
uses or discloses protected health information pursuant to an
authorization meeting the applicable requirements will be in compliance
with this rule.
We retain the provision prohibiting covered entities from acting on an
authorization if the submitted document had any of the listed defects,
with a few changes. First, in § 164.508(c)(1)(iv) we specify that an
authorization may expire upon a certain event or on a specific date. For
example, a valid authorization may state that it expires upon acceptance
or rejection of an application for insurance or upon the termination of
employment (for example, in an authorization for disclosure of protected
health information for fitness-for-duty purposes) or similar event. The
expiration event must, however, be related to the individual or the
purpose of the use or disclosure. An authorization that purported to
expire on the date when the stock market reached a specified level would
not be valid. Under § 164.508(b)(2)(i), if the expiration event is known
by the covered entity to have occurred, the authorization is defective.
Second, we clarify that certain compound authorizations, as described
below, are defective. We also clarify that authorizations that are not
completely filled out with respect to the required elements are
defective. Finally, we clarify that an authorization with information
that the covered entity knows to be false is defective only if the
information is material.
As under the proposed regulation, an authorization that the covered
entity knows has been revoked is not a valid authorization. We note
that, although an authorization must be revoked in writing, the covered
entity may not always "know" that an authorization has been revoked. The
writing required for an individual to revoke an authorization may not
always trigger the "knowledge" required for a covered entity to consider
an authorization defective. Conversely, a copy of the written revocation
is not required before a provider "knows" that an authorization has been
revoked.
Many authorizations will be obtained by persons other than the covered
entity. If the individual revokes an authorization by writing to that
other person, and neither the individual nor the other person informs
the covered entity of the revocation, the covered entity will not "know"
that the authorization has been revoked. For example, a government
agency may obtain an individual's authorization for "all providers who
have seen the individual in the past year" to disclose protected health
information to the agency for purposes of determining eligibility for
benefits. The individual may revoke the authorization by writing to the
government agency requesting such revocation. We cannot require the
agency to inform all covered entities to whom it has presented the
authorization that the authorization has been revoked. If a covered
entity does not know of the revocation, the covered entity will not
violate this rule by acting pursuant to the authorization. At the same
time, if the individual does inform the covered entity of the
revocation, even orally, the covered entity "knows" that the
authorization has been revoked and can no longer treat the authorization
as valid under this rule. Thus, in this example, if the individual tells
a covered entity that the individual has revoked the authorization, the
covered entity "knows" of the revocation and must consider the
authorization defective under § 164.508(b)(2).
***Compound Authorizations***
Except for authorizations requested in connection with a clinical trial,
we proposed to prohibit covered entities from combining an authorization
for use or disclosure of protected health information for purposes other
than treatment, payment, or health care operations with an authorization
or consent for treatment (e.g., an informed consent to receive care) or
payment (e.g., an assignment of benefits).
We clarify the prohibition on compound authorizations in the final rule.
Other than as described below, § 164.508(b)(3) prohibits a covered
entity from acting on an authorization required under this rule that is
combined with any other document, including any other written legal
permission from the individual. For example, an authorization under this
rule may not be combined with a consent for use or disclosure of
protected health information under § 164.506, with the notice of privacy
practices under § 164.520, with any other form of written legal
permission for the use or disclosure of protected health information,
with an informed consent to participate in research, or with any other
form of consent or authorization for treatment or payment.
There are three exceptions to this prohibition. First, under §
164.508(f) (described in more detail, below), an authorization for the
use or disclosure of protected health information created for research
that includes treatment of the individual may be combined with a consent
for the use or disclosure of that protected health information to carry
out treatment, payment, or health care operations under § 164.506 and
with other documents as provided in § 164.508(f). Second, authorizations
for the use or disclosure of psychotherapy notes for multiple purposes
may be combined in a single document, but may not be combined with
authorizations for the use or disclosure of other protected health
information. Third, authorizations for the use or disclosure of
protected health information other than psychotherapy notes may be
combined, provided that the covered entity has not conditioned the
provision of treatment, payment, enrollment, or eligibility on obtaining
the authorization. If a covered entity conditions any of these services
on obtaining an authorization from the individual, as permitted in §
164.508(b)(4) and described below, the covered entity must not combine
the authorization with any other document.
The following are examples of valid compound authorizations: an
authorization for the disclosure of information created for clinical
research combined with a consent for the use or disclosure of other
protected health information to carry out treatment, payment, and health
care operations, and the informed consent to participate in the clinical
research; an authorization for disclosure of psychotherapy notes for
both treatment and research purposes; and an authorization for the
disclosure of the individual's demographic information for both
marketing and fundraising purposes. Examples of invalid compound
authorizations include: an authorization for the disclosure of protected
health information for treatment, for research, and for determining
payment of a claim for benefits, when the covered entity will refuse to
pay the claim if the individual does not sign the authorization; or an
authorization for the disclosure of psychotherapy notes combined with an
authorization to disclose any other protected health information.
***Prohibition on Conditioning Treatment, Payment, Eligibility, or
Enrollment***
We proposed to prohibit covered entities from conditioning treatment or
payment on the provision by the individual of an authorization, except
when the authorization was requested in connection with a clinical
trial. In the case of authorization for use or disclosure of
psychotherapy notes or research information unrelated to treatment, we
proposed to prohibit covered entities from conditioning treatment,
payment, or enrollment in a health plan on obtaining such an
authorization.
We retain this basic approach but refine its application in the final
rule. In addition to the general prohibition on conditioning treatment
and payment, covered entities are also prohibited (with certain
exceptions described below) from conditioning eligibility for benefits
or enrollment in a health plan on obtaining an authorization. This
prohibition extends to all authorizations, not just authorizations for
use or disclosure of psychotherapy notes. This prohibition is intended
to prevent covered entities from coercing individuals into signing an
authorization for a use or disclosure that is not necessary to carry out
the primary services that the covered entity provides to the individual.
For example, a health care provider could not refuse to treat an
individual because the individual refused to authorize a disclosure to a
pharmaceutical manufacturer for the purpose of marketing a new product.
We clarify the proposed research exception to this prohibition. Covered
entities seeking authorization in accordance with § 164.508(f) to use or
disclose protected health information created for the purpose of
research that includes treatment of the individual, including clinical
trials, may condition the research-related treatment on the individual's
authorization. Permitting use of protected health information is part of
the decision to receive care through a clinical trial, and health care
providers conducting such trials should be able to condition
research-related treatment on the individual's willingness to authorize
the use or disclosure of his or her protected health information for
research associated with the trial.
In addition, we permit health plans to condition eligibility for
benefits and enrollment in the health plan on the individual's
authorization for the use or disclosure of protected health information
for purposes of eligibility or enrollment determinations relating to the
individual or for its underwriting or risk-rating determinations. We
also permit health plans to condition payment of a claim for specified
benefits on the individual's authorization for the disclosure of
information maintained by another covered entity to the health plan, if
the disclosure is necessary to determine payment of the claim. These
exceptions do not apply, however, to authorization for the use or
disclosure of psychotherapy notes. Health plans may not condition
payment, eligibility, or enrollment on the receipt of an authorization
for the use or disclosure of psychotherapy notes, even if the health
plan intends to use the information for underwriting or payment
purposes.
Finally, when a covered entity provides treatment for the sole purpose
of providing information to a third party, the covered entity may
condition the treatment on the receipt of an authorization to use or
disclose protected health information related to that treatment. For
example, a covered health care provider may have a contract with an
employer to provide fitness-for-duty exams to the employer's employees.
The provider may refuse to conduct the exam if an individual refuses to
authorize the provider to disclose the results of the exam to the
employer. Similarly, a covered health care provider may have a contract
with a life insurer to provide pre-enrollment physicals to applicants
for life insurance coverage. The provider may refuse to conduct the
physical if an individual refuses to authorize the provider to disclose
the results of the physical to the life insurer.
***Revocation of Authorizations***
We proposed to allow individuals to revoke an authorization at any time,
except to the extent that the covered entity had taken action in
reliance on the authorization.
We retain this provision, but specify that the individual must revoke
the authorization in writing. When an individual revokes an
authorization, a covered entity that knows of such revocation must stop
making uses and disclosures pursuant to the authorization to the
greatest extent practical. A covered entity may continue to use and
disclose protected health information in accordance with the
authorization only to the extent the covered entity has taken action in
reliance on the authorization. For example, a covered entity is not
required to retrieve information that it has already disclosed in
accordance with the authorization. (See above for discussion of how
written revocation of an authorization and knowledge of that revocation
may differ.)
We also include an additional exception. Under § 164.508(b)(5),
individuals do not have the right to revoke an authorization if the
authorization was obtained as a condition of obtaining insurance
coverage and other applicable law provides the insurer that obtained the
authorization with the right to contest a claim under the policy. We
intend this exception to permit insurers to obtain necessary protected
health information during contestability periods under state law. For
example, an individual may not revoke an authorization for the
disclosure of protected health information to a life insurer for the
purpose of investigating material misrepresentation if the individual's
policy is still subject to the contestability period.
***Documentation***
In the final rule, we clarify that a covered entity must document and
retain any signed authorization as required by § 164.530(j) (see below).
**Section 164.508(c) -- Core Elements and Requirements**
We proposed to require authorizations requested by individuals to
contain a minimum set of elements: a description of the information to
be used or disclosed; the name of the covered entity, or class of
entities or persons, authorized to make the use or disclosure; the name
or types of recipient(s) of the information; an expiration date; the
individual's signature and date of signature; if signed by a
representative, a description of the representative's authority or
relationship to the individual; a statement regarding the individual's
right to revoke the authorization; and a statement that the information
may no longer be protected by the federal privacy law. We proposed a
model authorization form that entities could have used to satisfy the
authorization requirements. If the model form was not used, we proposed
to require covered entities to use authorization forms written in plain
language.
We modify the proposed approach, by eliminating the distinction between
authorizations requested by the individuals and authorizations requested
by others. Instead, we prescribe a minimum set of elements for
authorizations and certain additional elements when the authorization is
requested by a covered entity for its own use or disclosure of protected
health information it maintains or for receipt of protected health
information from another covered entity to carry out treatment, payment,
or health care operations.
The core elements are required for all authorizations, not just
authorizations requested by individuals. Individuals seek disclosure of
protected health information about them to others in many circumstances,
such as when applying for life or disability insurance, when government
agencies conduct suitability investigations, and in seeking certain job
assignments when health status is relevant. Another common instance is
tort litigation, when an individual\'s attorney needs individually
identifiable health information to evaluate an injury claim and asks the
individual to authorize disclosure of records relating to the injury to
the attorney. In each of these situations, the individual may go
directly to the covered entity and ask it to send the relevant
information to the intended recipient. Alternatively, the intended
recipient may ask the individual to complete a form, which the recipient
will submit to the covered entity on the individual's behalf, that
authorizes the covered entity to disclose the information. Whether the
authorization is submitted to the covered entity by the individual or by
another person on the individual's behalf, the covered entity
maintaining protected health information may not use or disclose it
pursuant to an authorization unless the authorization meets the
following requirements.
First, the authorization must include a description of the information
to be used or disclosed, with sufficient specificity to allow the
covered entity to know which information the authorization references.
For example, the authorization may include a description of "laboratory
results from July 1998" or "all laboratory results" or "results of MRI
performed in July 1998." The covered entity can then use or disclose
that information and only that information. If the covered entity does
not understand what information is covered by the authorization, the use
or disclosure is not permitted unless the covered entity clarifies the
request.
There are no limitations on the information that can be authorized for
disclosure. If an individual wishes to authorize a covered entity to
disclose his or her entire medical record, the authorization can so
specify. In order for the covered entity to disclose the entire medical
record, the authorization must be specific enough to ensure that the
individual has a clear understanding that the entire record will be
disclosed. For example, if the Social Security Administration seeks
authorization for release of all health information to facilitate the
processing of benefit applications, then the description on the
authorization form must specify "all health information" or the
equivalent.
In some instances, a covered entity may be reluctant to undertake the
effort to review the record and select portions relevant to the request
(or redact portions not relevant). In such circumstances, covered
entities may provide the entire record to the individual, who may then
redact and release the more limited information to the requestor. This
rule does not require a covered entity to disclose information pursuant
to an individual\'s authorization.
Second, the authorization must include the name or other specific
identification of the person(s) or class of persons that are authorized
to use or disclose the protected health information. If an authorization
permits a class of covered entities to disclose information to an
authorized person, the class must be stated with sufficient specificity
so that a covered entity presented with the authorization will know with
reasonable certainty that the individual intended the covered entity to
release protected health information. For example, a covered licensed
nurse practitioner presented with an authorization for "all physicians"
to disclose protected health information could not know with reasonable
certainty that the individual intended for the practitioner to be
included in the authorization.
Third, the authorization must include the name or other specific
identification of the person(s) or class of persons to whom the covered
entity is authorized to make the use or disclosure. The authorization
must identify these persons with sufficient specificity to reasonably
permit a covered entity responding to the authorization to identify the
authorized user or recipient of the protected health information. Often,
individuals provide authorizations to third parties, who present them to
one or more covered entities. For example, an authorization could be
completed by an individual and given to a government agency, authorizing
the agency to receive medical information from any health care provider
that has treated the individual within a defined period of time. Such an
authorization is permissible (subject to the other requirements of this
part) if it sufficiently identifies the government entity that is
authorized to receive the disclosed protected health information.
Fourth, the authorization must state an expiration date or event. This
expiration date or event must either be a specific date (e.g., January
1, 2001), a specific time period (e.g., one year from the date of
signature), or an event directly relevant to the individual or the
purpose of the use or disclosure (e.g., for the duration of the
individual's enrollment with the health plan that is authorized to make
the use or disclosure). We note that the expiration date or event is
subject to otherwise applicable and more stringent law. For example, the
National Association of Insurance Commissioners' Insurance Information
and Privacy Protection Model Act, adopted in at least fifteen states,
specifies that authorizations signed for the purpose of collecting
information in connection with an application for a life, health, or
disability insurance policy are permitted to remain valid for no longer
than thirty months. In those states, the longest such an authorization
may remain in effect is therefore thirty months, regardless of the
expiration date or event indicated on the form.
Fifth, the authorization must state that the individual has the right to
revoke an authorization in writing, except to the extent that action has
been taken in reliance on the authorization or, if applicable, during a
contestability period. The authorization must include instructions on
how the individual may revoke the authorization. For example, the person
obtaining the authorization from the individual can include an address
where the individual can send a written request for revocation.
Sixth, the authorization must inform the individual that, when the
information is used or disclosed pursuant to the authorization, it may
be subject to re-disclosure by the recipient and may no longer be
protected by this rule.
Seventh, the authorization must include the individual's signature and
the date of the signature. Once we adopt the standards for electronic
signature, another of the required administrative simplification
standards we are required to adopt under HIPAA, an electronic signature
that meets those standards will be sufficient under this rule. We do not
require verification of the individual's identity or authentication of
the individual's signature.
Finally, if the authorization is signed by a personal representative of
the individual, the representative must indicate his or her authority to
act for the individual.
As in the proposed rule, the authorization must be written in plain
language. See the preamble discussion regarding notice of privacy
practices (§ 164.520) for a discussion of the plain language
requirement. We do not provide a model authorization in this rule. We
will provide further guidance on this issue prior to the compliance
date.
**Section 164.508(d) -- Authorizations Requested by a Covered Entity for
Its Own Uses and Disclosures**
We proposed to require covered entities to include additional elements
in authorizations initiated by the covered entity. Before a covered
entity could use or disclose protected health information of an
individual pursuant to a request the covered entity made, we proposed to
require the entity to obtain an authorization containing the minimum
elements described above and the following additional elements: except
for authorizations requested for clinical trials, a statement that the
entity will not condition treatment or payment on the individual's
authorization; a description of the purpose of the requested use or
disclosure; a statement that the individual may inspect or copy the
information to be used or disclosed and may refuse to sign the
authorization; and, if the use or disclosure of the requested
information will result in financial gain to the entity, a statement
that such gain will result.
We additionally proposed to require covered entities, when requesting an
individual's authorization, to request only the minimum amount of
information necessary to accomplish the purpose for which the request
was made. We also proposed to require covered entities to provide the
individual with a copy of the executed authorization.
We retain the proposed approach, but apply these additional requirements
when the covered entity requests the individual's authorization for the
entity's own use or disclosure of protected health information
maintained by the covered entity itself. For example, a health plan may
ask individuals to authorize the plan to disclose protected health
information to a subsidiary to market life insurance to the individual.
A pharmaceutical company may also ask a covered provider to recruit
patients for drug research; if the covered provider asks patients to
sign an authorization for the provider to disclose protected health
information to the pharmaceutical company for this research, this is
also an authorization requested by a covered entity for disclosure of
protected health information maintained by the covered entity. When
covered entities initiate the authorization by asking individuals to
authorize the entity to use or disclose protected health information
that the entity maintains, the authorization must include all of the
elements required above as well as several additional elements.
Authorizations requested by covered entities for the covered entity's
own use or disclosure of protected health information must state, as
applicable under § 164.508(b)(4), that the covered entity will not
condition treatment, payment, enrollment, or eligibility on the
individual's authorization for the use or disclosure. For example, if a
health plan asks an individual to sign an authorization for the health
plan to disclose protected health information to a non-profit advocacy
group for the advocacy group's fundraising purposes, the authorization
must contain a statement that the health plan will not condition
treatment, payment, enrollment in the health plan, or eligibility for
benefits on the individual providing the authorization.
Authorizations requested by covered entities for their own uses and
disclosures of protected health information must also identify each
purpose for which the information is to be used or disclosed. The
required statement of purpose(s) must provide individuals with the facts
they need to make an informed decision whether to allow release of the
information. We prohibit the use of broad or blanket authorizations
requesting the use or disclosure of protected health information for a
wide range of unspecified purposes. Both the information that is to be
used or disclosed and the specific purpose(s) for such uses or
disclosures must be stated in the authorization.
Authorizations requested by covered entities for their own uses and
disclosures must also advise individuals of certain rights available to
them under this rule. The authorization must state that the individual
may inspect or copy the information to be used or disclosed as provided
in § 164.524 regarding access for inspection and copying and that the
individual may refuse to sign the authorization.
We alter the proposed requirements with respect to authorizations for
which the covered entity will receive financial gain. When the covered
entity initiates the authorization and the covered entity will receive
direct or indirect remuneration from a third party (rather than
financial gain, as proposed) in exchange for using or disclosing the
protected health information, the authorization must include a statement
that such remuneration will result. For example, a health plan may wish
to sell or rent its enrollee mailing list or a pharmaceutical company
may offer a covered provider a discount on its products if the provider
obtains authorization to disclose the demographic information of
patients with certain diagnoses so that the company can market new drugs
to them directly. In each case, the covered entity must obtain the
individual's authorization, and the authorization must include a
statement that the covered entity will receive remuneration.
In § 164.508(d)(2), we continue to require a covered entity that
requests an authorization for its own use or disclosure of protected
health information to provide the individual with a copy of the signed
authorization. While we eliminate from this section the provision
requiring covered entities to obtain authorization for use or disclosure
of the minimum necessary protected health information, § 164.514(d)(4)
requires covered entities to request only the minimum necessary
protected health information to accomplish the purpose for which the
request is made. This requirement applies to these authorizations, as
well as other requests.
**Section 164.508(e) -- Authorizations Requested by a Covered Entity for
Disclosures by Others**
In the proposed rule, we would have prohibited all covered entities from
requiring the individual's written legal permission (as proposed, an
"authorization") for the use or disclosure of protected health
information to carry out treatment, payment, or health care operations.
We generally eliminate this prohibition in the final rule, except to
specify that a consent obtained by one covered entity is not effective
to permit another covered entity to use or disclose protected health
information. See § 164.506(a)(5) and the corresponding preamble
discussion.
In the final rule, if a covered entity seeks the individual's written
legal permission to obtain protected health information about the
individual from another covered entity for any purpose, it must obtain
the individual's authorization for the covered entity that maintains the
protected health information to make the disclosure. If the
authorization is for the purpose of obtaining protected health
information for purposes other than treatment, payment, or health care
operations, the authorization need only contain the core elements
required by § 164.508(c) and described above.
If the authorization, however, is for the purpose of obtaining protected
health information to carry out treatment, payment, or health care
operations, the authorization must meet the requirements of §
164.508(e). We expect such authorizations will rarely be necessary,
because we expect covered entities that maintain protected health
information to obtain consents that permit them to make anticipated uses
and disclosures for these purposes. An authorization obtained by another
covered entity that authorizes the covered entity maintaining the
protected health information to make a disclosure for the same purpose,
therefore, would be unnecessary.
We recognize, however, that these authorizations may be useful to
demonstrate an individual's intent and relationship to the intended
recipient of the information when the intent or relationship is not
already clear. For example, a long term care insurer may need
information from an individual's health care providers about the
individual's ability to perform activities of daily living in order to
determine payment of a long term care claim. The providers that hold the
information may not be providing the long term care and may not,
therefore, be aware of the individual's coverage under the policy or
that the individual is receiving long term care services. An
authorization obtained by the long term care insurer will help to
demonstrate these facts to the providers holding the information, which
will make them more confident that the individual intends for the
information to be shared. Similarly, an insurer with subrogation
obligations may need health information from the enrollee's providers to
assess or prosecute the claim. A patient's new physician may also need
medical records from the patient's prior providers in order to treat the
patient. Without an authorization that demonstrates the patient's intent
for the information to be shared, the covered entity that maintains the
protected health information may be reluctant to provide the
information, even if that covered entity's consent permits such
disclosure to occur.
These authorizations may also be useful to accomplish clinical
coordination and integration among covered entities that do not meet the
definitions of affiliated covered entities or organized health care
arrangements. For example, safety-net providers that participate in the
Community Access Program (CAP) may not qualify as organized health care
arrangements but may want to share protected health information with
each other in order to develop and expand integrated systems of care for
uninsured people. An authorization under this section would permit such
providers to receive protected health information from other CAP
participants to engage in such activities.
Because of such concerns, we permit a covered entity to request the
individual's authorization to obtain protected health information from
another covered entity to carry out treatment, payment, and health care
operations. In these situations, the authorization must contain the core
elements described above and must also describe each purpose of the
requested disclosure.
With one exception, the authorization must also indicate that the
authorization is voluntary. It must state that the individual may refuse
to sign the authorization and that the covered entity requesting the
authorization will not condition the provision of treatment, payment,
enrollment in the health plan, or eligibility for benefits on obtaining
the individual's authorization. If the authorization is for a disclosure
of information that is necessary to determine payment of a claim for
specified benefits, however, the health plan requesting the
authorization may condition the payment of the claim on obtaining the
authorization from the individual. See § 164.508(b)(4)(iii). In this
case, the authorization does not have to state that the health plan will
not condition payment on obtaining the authorization.
The covered entity requesting the authorization must provide the
individual with a copy of the signed authorization. We note that the
covered entity requesting the authorization is also subject to the
requirements in § 164.514 to request only the minimum necessary
information needed for the purpose of the authorization.
We additionally note that, when the covered entity that maintains the
protected health information has already obtained a consent for
disclosure of protected health information to carry out treatment,
payment, and/or health care operations under § 164.506, and that consent
conflicts with an authorization obtained by another covered entity under
§ 164.508(e), the covered entity maintaining the protected health
information is bound by the more restrictive document. See § 164.506(e)
and the corresponding preamble discussion for further explanation.
**Section 164.508(f) -- Authorizations for Uses and Disclosures of
Protected Health Information Created for Research that Includes
Treatment of Individuals**
In the proposed rule, we would have required individual authorization
for any use or disclosure of research information unrelated to
treatment. In the final rule, we eliminate the special rules for this
category of information and, instead, require covered entities to obtain
an authorization for the use or disclosure of protected health
information the covered entity creates for the purpose of research that
includes treatment of individuals, except as otherwise permitted by §
164.512(i).
The intent of this provision is to permit covered entities that conduct
research involving treatment to bind themselves to a more limited scope
of uses and disclosures of research information than they would
otherwise be permitted to make with non-research information. Rather
than creating a single definition of "research information," we allow
covered entities the flexibility to define that subset of protected
health information they create during clinical research that is not
necessary for treatment, payment, or health care operations and that the
covered entity will use or disclose under more limited circumstances
than it uses or discloses other protected health information. In
designing their authorizations, we expect covered entities to be mindful
of the often highly sensitive nature of research information and the
impact of individuals' privacy concerns on their willingness to
participate in research.
Covered entities seeking authorization to use or disclose protected
health information they create for the purpose of research that includes
treatment of individuals, including clinical trials, must include in the
authorization (in addition to the applicable elements required above) a
description of the extent to which some or all of the protected health
information created for the research will also be used or disclosed for
purposes of treatment, payment, and health care operations. For example,
if the covered entity intends to seek reimbursement from the
individual's health plan for the routine costs of care associated with
the research protocol, it must explain in the authorization the types of
information that it will provide to the health plan for this purpose.
This information, and the circumstances under which disclosures will be
made for treatment, payment, and health care operations, may be more
limited than the information and circumstances described in the covered
entity's general consent and notice of privacy practices. To the extent
the covered entity limits itself to a subset of uses or disclosures that
are otherwise permissible under the rule and the covered entity's
consent and notice, the covered entity is bound by the statements made
in the research-related authorization. In these circumstances, the
authorization must indicate that the authorization, not the general
consent and notice, controls.
If the covered entity's primary interaction with the individual is
through the research, the covered entity may combine the general consent
for treatment, payment, and health care operations required under §
164.506 with this research authorization and need not obtain an
additional consent under § 164.506. If the entity has already obtained,
or intends to obtain, a separate consent as required under § 164.506,
the research authorization must refer to that consent and state that the
practices described in the research-related authorization are binding on
the covered entity as to the information covered by the research-related
authorization. The research-related authorization may also be combined
in the same document as the informed consent for participation in the
research. This is an exception to the general rule in § 164.508(b)(3)
that an authorization under this section may not be combined with any
other document (see above).
The covered entity must also include in the authorization a description
of the extent to which it will not use or disclose the protected health
information it obtains in connection with the research protocol for
purposes that are permitted without individual authorization under this
rule (under §§ 164.510 and 164.512). To the extent that the entity
limits itself to a subset of uses or disclosures that are otherwise
permissible under the rule and the entity's notice, the entity is bound
by the statements made in the research authorization. In these
circumstances, the authorization must indicate that the authorization,
not the notice, controls. The covered entity may not, however, purport
to preclude itself from making uses or disclosures that are required by
law or that are necessary to avert a serious and imminent threat to
health or safety.
In some instances, the covered entity may wish to make a use or
disclosure of the research information that it did not include in its
general consent or notice or for which authorization is required under
this rule. To the extent the entity includes uses or disclosures in the
research authorization that are otherwise not permissible under the rule
and the entity's consent and notice of information practices, the entity
must include all of the elements required by §§ 164.508(c) and (d) in
the research-related authorization. The covered entity is bound by these
statements.
Research that involves the delivery of treatment to participants
sometimes relies on existing health information, such as to determine
eligibility for the trial. We note that under § 164.508(b)(3)(iii), the
covered entity may combine the research-related authorization required
under § 164.508(f) with any other authorization for the use or
disclosure of protected health information (other than psychotherapy
notes), provided that the covered entity does not condition the
provision of treatment on the individual signing the authorization. For
example, a covered health care provider that had a treatment
relationship with an individual prior to the individual\'s enrollment in
a clinical trial, but that is now providing research-related treatment
to the individual, may elect to request a compound authorization from
the individual: an authorization under § 164.508(d) for the provider to
use the protected health information it created prior to the initiation
of the research that involves treatment, combined with an authorization
under § 164.508(f) regarding use and disclosure of protected health
information the covered provider will create for the purpose of the
clinical trial. This compound authorization would be valid, provided the
covered provider did not condition the research-related treatment on
obtaining the authorization required under § 164.508(f), as permitted in
§ 164.508(b)(4)(i).
However, we anticipate that covered entities will almost always, if not
always, condition the provision of research-related treatment on the
individual signing the authorization under § 164.508(f) for the covered
entity's use or disclosure of protected health information created for
the research. Therefore, we expect that the vast majority of covered
providers who wish to use or disclose protected health information about
an individual that will be created for research that includes treatment
and wish to use existing protected health information about that
individual for the research that includes treatment, will be required to
obtain two authorizations from the individual: (1) an authorization for
the use and disclosure of protected health information to be created for
the research that involves treatment of the individual (as required
under § 164.508(f)), and (2) an authorization for the use of existing
protected health information for the research that includes treatment of
the individual (as required under § 164.508(d)).
***Effect of Authorization***
As noted in the discussion about consents in the preamble to § 164.506,
authorizations under this rule should not be construed to waive,
directly or indirectly, any privilege granted under federal, state, or
local laws or procedures.
**SECTION 164.510---USES AND DISCLOSURES REQUIRING AN OPPORTUNITY FOR
THE INDIVIDUAL TO AGREE OR TO OBJECT**
**Introduction**
Section 164.510 of the NPRM proposed the uses and disclosures of
protected health information that covered entities could make for
purposes other than treatment, payment, or health care operations and
for which an individual authorization would not have been required.
These allowable uses and disclosures were designed to permit and promote
key national health care priorities, and to promote the smooth operation
of the health care system. In each of these areas, the proposal
permitted, but would not have required, covered entities to use or
disclose protected health information.
We proposed to require covered entities to obtain the individual's oral
agreement before making a disclosure to a health care facility's
directory or to the individual's next-of-kin or to another person
involved in the individual's health care. Because there is an
expectation in these two areas that individuals will have some input
into a covered entity's decision to use or disclose protected health
information, we decided to place disclosures to health facility
directories and to persons involved in an individual's care in a
separate section. In the final rule, requirements regarding disclosure
of protected health information for facility directories and to others
involved in an individual's care are included in § 164.510(a) and §
164.510(b), respectively. In the final rule, we include in § 164.510(b)
provisions to address a type of disclosure not addressed in the NPRM:
disclosures to entities providing relief and assistance in disasters
such as floods, fires, and terrorist attacks. Requirements for most of
the remaining categories of disclosures addressed in proposed § 164.510
of the NPRM are included in a new § 164.512 of the final rule, as
discussed below.
Section 164.510 of the final rule addresses situations in which the
interaction between the covered entity and the individual is relatively
informal and agreements are made orally, without written authorizations
for use or disclosure. In general, under the final rule, to disclose or
use protected health information for these purposes, covered entities
must inform individuals in advance and must provide a meaningful
opportunity for the individual to prevent or restrict the disclosure. In
exceptional circumstances, where even this informal discussion cannot
practicably take place, covered entities are permitted to make decisions
regarding disclosure or use based on the exercise of professional
judgment of what is in the individual's best interest.
**Section 164.510(a)---Use and Disclosure for Facility Directories**
The NPRM proposed to allow covered health care providers to disclose
through an inpatient facility's directory a patient's name, location in
the facility, and general health condition, provided that the individual
had agreed to the disclosure. The NPRM would have allowed this agreement
to be oral. Pursuant to the NPRM, when making decisions about
incapacitated individuals, a covered health care provider could have
disclosed such information at the entity's discretion and consistent
with good medical practice and any prior expressions of patient
preference of which the covered entity was aware.
The preamble to the NPRM listed several factors that we encouraged
covered entities to take into account when making decisions about
whether to include an incapacitated patient's information in the
directory. These factors included: (1) whether disclosing that an
individual is in the facility could reasonably cause harm or danger to
the individual (e.g., if it appeared that an unconscious patient had
been abused and disclosing the information could give the attacker
sufficient information to seek out the person and repeat the abuse); (2)
whether disclosing a patient's location within a facility implicitly
would give information about the patient's condition (e.g., whether a
patient's room number revealed that he or she was in a psychiatric
ward); (3) whether it was necessary or appropriate to give information
about patient status to family or friends (e.g., if giving information
to a family member about an unconscious patient could help a physician
administer appropriate medications); and (4) whether an individual had,
prior to becoming incapacitated, expressed a preference not to be
included in the directory. The preamble stated that if a covered entity
learned of such a preference, it would be required to act in accordance
with the preference.
The preamble to the NPRM said that when individuals entered a facility
in an incapacitated state and subsequently gained the ability to make
their own decisions, health facilities should ask them within a
reasonable time period for permission to include their information in
the facility's directory.
In the final rule, we change the NPRM's opt-in authorization requirement
to an opt-out approach for inclusion of patient information in a health
care facility's directory. The final rule allows covered health care
providers -- which in this case are health care facilities -- to include
patient information in their directory only if: (1) they inform incoming
patients of their policies regarding the directory; (2) they give
patients a meaningful opportunity to opt out of the directory listing or
to restrict some or all of the uses and disclosures that can be included
in the directory; and (3) the patient does not object to being included
in the directory. A patient must be allowed, for example, to have his or
her name and condition included in the directory while not having his or
her religious affiliation included. The facility's notice and the
individual's opt-out or restriction may be oral.
Under the final rule, subject to the individual's right to object, or
known prior expressed preferences, a covered health care provider may
disclose the following information to persons who inquire about the
individual by name: (1) the individual's general condition in terms that
do not communicate specific medical information about the individual
(e.g., fair, critical, stable, etc.); and (2) location in the facility.
This approach represents a slight change to the NPRM, which did not
require members of the general public to ask for a patient by name in
order to obtain directory information and which, in fact, would have
allowed covered entities to disclose the individual's name as part of
directory information.
Under the final rule, we also establish provisions for disclosure of
directory information to clergy that are slightly different from those
which apply for disclosure to the general public. Subject to the
individual's right to object or restrict the disclosure, the final rule
permits a covered entity to disclose to a member of the clergy: (1) the
individual's name; (2) the individual's general condition in terms that
do not communicate specific medical information about the individual;
(3) the individual's location in the facility; and (4) the individual's
religious affiliation. A disclosure of directory information may be made
to members of the clergy even if they do not inquire about an individual
by name. We note that the rule in no way requires a covered health care
provider to inquire about the religious affiliation of an individual,
nor must individuals supply that information to the facility.
Individuals are free to determine whether they want their religious
affiliation disclosed to clergy through facility directories.
We believe that allowing clergy to access patient information pursuant
to this section does not violate the Establishment Clause of the First
Amendment, which prohibits laws "respecting an establishment of
religion." Courts traditionally turn to the *Lemon* test when evaluating
laws that might raise Establishment Clause concerns. A law does not
violate the Clause if it has a secular purpose, is not primarily to
advance religion, and does not cause excessive government entanglement
with religion. The privacy regulation passes this test because its
purpose is to protect the privacy of individuals -- regardless of their
religious affiliation -- and it does not cause excessive government
entanglement.
More specifically, although this section provides a special rule for
members of the clergy, it does so as an accommodation to patients who
seek to engage in religious conduct. For example, restricting the
disclosure of an individual's religious affiliation, room number, and
health status to a priest could cause significant delay that would
inhibit the ability of a Catholic patient to obtain sacraments provided
during the last rites. We believe this accommodation does not violate
the Establishment Clause, because it avoids a government-imposed
restriction on the disclosure of information that could
disproportionately affect the practice of religion. In that way, it is
no different from accommodations upheld by the U.S. Supreme Court, such
as exceptions to laws banning the use of alcohol in religious
ceremonies.
The final rule expands the circumstances under which health care
facilities can disclose specified health information to the patient
directory without the patient's agreement. Besides allowing such
disclosures when patients are incapacitated, as the NPRM would have
allowed, the final rule allows such disclosures in emergency treatment
circumstances. For example, when a patient is conscious and capable of
making a decision, but is so seriously injured that asking permission to
include his or her information in the directory would delay treatment
such that the patient's health would be jeopardized, health facilities
can make decisions about including the patient's information in the
directory according to the same rules that apply when the patient is
incapacitated. The final rule modifies the NPRM requirements for cases
in which an incapacitated patient is admitted to a health care facility.
Whereas the NPRM would have allowed health care providers to disclose an
incapacitated patient's information to the facility's directory "at its
discretion and consistent with good medical practice and any prior
expressions of preference of which the covered entity \[was\] aware,"
the final rule states that in these situations (and in other emergency
treatment circumstances), covered health care providers must make the
decision on whether to include the patient's information in the
facility's directory in accordance with professional judgment as to the
patient's best interest. In addition, when making decisions involving
incapacitated patients and patients in emergency situations, covered
health care providers may decide to include some portions of the
patient's information (such as name) but not other information (such as
location in the facility) in order to protect patient interests.
As in the preamble to the NPRM, we encourage covered health care
providers to take into account the four factors listed above when making
decisions about whether to include patient information in a health care
facility's directory when patients are incapacitated or are in an
emergency treatment circumstance. In addition, we retain the requirement
stated in the preamble of the NPRM that if a covered health care
provider learns of an incapacitated patient's prior expression of
preference not to be included in a facility's directory, the facility
must not include the patient's information in the directory. For cases
involving patients admitted to a health care facility in an
incapacitated or emergency treatment circumstance who during the course
of their stay become capable of decisionmaking, the final rule takes an
approach similar to that described in the NPRM. The final rule states
that when an individual who was incapacitated or in an emergency
treatment circumstance upon admission to an inpatient facility and whose
condition stabilizes such that he or she is capable of decisionmaking, a
covered health care provider must, when it becomes practicable, inform
the individual about its policies regarding the facility's directory and
provide the opportunity to object to the use or disclosure of protected
health information about themselves for the directory.
**Section 164.510(b)---Uses and Disclosures for Involvement in the
Individual's Care and Notification Purposes**
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.
**SECTION 164.512---USES AND DISCLOSURES FOR WHICH CONSENT, AN
AUTHORIZATION, OR OPPORTUNITY TO AGREE OR OBJECT IS NOT REQUIRED**
**Introduction**
The final rule's requirements regarding disclosures for directory
information and to family members or others involved in an individual's
care are in a section separate from that covering disclosures allowed
for other national priority purposes. In the final rule, we place most
of the other disclosures for national priority purposes in a new §
164.512.
As in the NPRM, in § 164.512 of the final rule, we allow covered
entities to make these national priority uses and disclosures without
individual authorization. As in the NPRM, these uses and disclosures are
discretionary. Covered entities are free to decide whether or not to use
or disclose protected health information for any or all of the permitted
categories. However, as in the NPRM, nothing in the final rule provides
authority for a covered entity to restrict or refuse to make a use or
disclosure mandated by other law.
The new § 164.512 includes paragraphs on: uses and disclosures required
by law; uses and disclosures for public health activities; disclosures
about victims of abuse, neglect, or domestic violence; uses and
disclosures for health oversight activities; disclosures for judicial
and administrative proceedings; disclosures for law enforcement
purposes; uses and disclosures about decedents; uses and disclosures for
cadaveric donation of organs, eyes, or tissues; uses and disclosures for
research purposes; uses and disclosures to avert a serious threat to
health or safety (which we had called "emergency circumstances" in the
NPRM); uses and disclosures for specialized government functions
(referred to as "specialized classes" in the NPRM); and disclosures to
comply with workers' compensation laws.
Section 164.512(c) in the final rule, which addresses uses and
disclosures regarding adult victims of abuse, neglect and domestic
violence, is new, although it incorporates some provisions from proposed
§ 164.510 of the NPRM. In the final rule we also eliminate proposed §
164.510(g) on government health data systems and proposed § 164.510(i)
on banking and payment processes. These changes are discussed below.
***Approach to Use of Protected Health Information***
Proposed § 164.510 of the NPRM included specific subparagraphs
addressing uses of protected health information by covered entities that
were also public health agencies, health oversight agencies, government
entities conducting judicial or administrative proceedings, or
government heath data systems. Such covered entities could use protected
health information in all instances for which they could disclose the
information for these purposes. In the final rule, as discussed below,
we retain this language in the paragraphs on public health activities
and health oversight. However, we eliminate this clause with respect to
uses of protected health information for judicial and administrative
proceedings, because we no longer believe that there would be any
situations in which a covered entity would also be a judicial or
administrative tribunal. Proposed § 164.510(e) of the NPRM, regarding
disclosure of protected health information to coroners, did not include
such a provision. In the final rule we have added it because we believe
there are situations in which a covered entity, for example, a public
hospital conducting post-mortem investigations, may need to use
protected health information for the same purposes for which it would
have disclosed the information to a coroner.
While the right to request restrictions under § 164.522 and the consents
required under § 164.506 do not apply to the use and disclosure of
protected health information under § 164.512, we do not intend to
preempt any state or other restrictions, or any right to enforce such
agreements or consents under other law.
We note that a covered entity may use or disclose protected health
information as permitted by and in accordance with one of the paragraphs
of § 164.512, regardless of whether that use or disclosure fails to meet
the requirements for use or disclosure under a different paragraph in §
164.512 or elsewhere in the rule.
***Verification for Disclosures under § 164.512***
In § 164.510(a) of the NPRM, we proposed that covered entities verify
the identity and authority of persons to whom they made disclosure under
the section. In the final rule, we generally have retained the proposed
requirements. Verification requirements are discussed in § 164.514 of
the final rule.
**Section 164.512(a)---Uses and Disclosures Required by Law**
In the NPRM we would have allowed covered entities to use or disclose
protected health information without individual authorization where such
use or disclosure was required by other law, as long as the use or
disclosure met all relevant requirements of such law. However, a legally
mandated use or disclosure which fell into one or more of the national
priority purposes expressly identified in proposed § 164.510 of the NPRM
would have been subject to the terms and conditions specified by the
applicable paragraph of proposed § 164.510. Thus, a disclosure required
by law would have been allowed only to the extent it was not otherwise
prohibited or restricted by another provision in proposed § 164.510. For
example, mandatory reporting to law enforcement officials would not have
been allowed unless such disclosures conformed to the requirements of
proposed § 164.510(f) of the NPRM, on uses and disclosures for law
enforcement purposes. As explained in the NPRM, this provision was not
intended to obstruct access to information deemed important enough by
federal, state or other government authorities to require it by law.
In § 164.512(a) of the final rule, we retain the proposed approach, and
we permit covered entities to comply with laws requiring the use or
disclosure of protected health information, provided the use or
disclosure meets and is limited to the relevant requirements of such
other laws. To more clearly address where the substantive and procedural
requirements of other provisions in this section apply, we have deleted
the general sentence from the NPRM which stated that the provision "does
not apply to uses or disclosures that are covered by paragraphs (b)
through (m)" of proposed § 164.510. Instead, in § 164.512 (a)(2) we list
the specific paragraphs that have additional requirements with which
covered entities must comply. They are disclosures about victims of
abuse, neglect or domestic violence (§ 164.512(c)), for judicial and
administrative proceedings (§ 164.512(e)), and for law enforcement
purposes (§ 164.512(f)). We include a new definition of "required by
law." See § 164.501. We clarify that the requirements provided for in §
164.514(h) relating to verification apply to disclosures under this
paragraph. Those provisions require covered entities to verify the
identity and authority of persons to whom they make disclosures. We note
that the minimum necessary requirements of § 164.514(d) do not apply to
disclosures made under this paragraph.
We note that this rule does not affect what is required by other law,
nor does it compel a covered entity to make a use or disclosure of
protected health information required by the legal demands or reporting
requirements listed in the definition of "required by law." Covered
entities will not be sanctioned under this rule for responding in good
faith to such legal process and reporting requirements. However, nothing
in this rule affects, either by expanding or contracting, a covered
entity's right to challenge such process or reporting requirements under
other laws. The only disclosures of protected health information
compelled by this rule are disclosures to an individual (or the personal
representative of an individual) or to the Secretary for the purposes of
enforcing this rule.
Uses and disclosures permitted under this paragraph must be limited to
the protected health information necessary to meet the requirements of
the law that compels the use or disclosure. For example, disclosures
pursuant to an administrative subpoena are limited to the protected
health information authorized to be disclosed on the face of the
subpoena.
**Section 164.512(b)---Uses and Disclosures for Public Health
Activities**
The NPRM would have allowed covered entities to disclose protected
health information without individual authorization to: (1) a public
health authority authorized by law to collect or receive such
information for the purpose of preventing or controlling disease,
injury, or disability, including, but not limited to, the reporting of
disease, injury, vital events such as birth or death, and the conduct of
public health surveillance, public health investigations, and public
health interventions; (2) a public health authority or other appropriate
authority authorized by law to receive reports of child abuse or
neglect; (3) a person or entity other than a governmental authority that
could demonstrate or demonstrated that it was acting to comply with
requirements or direction of a public health authority; or (4) a person
who may have been exposed to a communicable disease or may otherwise be
at risk of contracting or spreading a disease or condition and was
authorized by law to be notified as necessary in the conduct of a public
health intervention or investigation.
In the final rule, we broaden the scope of permissible disclosures
pursuant to item (1) listed above. We narrow the scope of disclosures
permissible under item (3) of this list, and we add language to clarify
the scope of permissible disclosures with respect to item (4) on the
list. We broaden the scope of allowable disclosures regarding item (1)
by allowing covered entities to disclose protected health information
not only to U.S. public health authorities but also, at the direction of
a public health authority, to an official of a foreign government agency
that is acting in collaboration with a public health authority. For
example, we allow covered entities to disclose protected health
information to a foreign government agency that is collaborating with
the Centers for Disease Control and Prevention to limit the spread of
infectious disease.
We narrow the conditions under which covered entities may disclose
protected health information to non-government entities. We allow
covered entities to disclose protected health information to a person
subject to the FDA's jurisdiction, for the following activities: to
report adverse events (or similar reports with respect to food or
dietary supplements), product defects or problems, or biological product
deviations, if the disclosure is made to the person required or directed
to report such information to the FDA; to track products if the
disclosure is made to a person required or directed by the FDA to track
the product; to enable product recalls, repairs, or replacement,
including locating and notifying individuals who have received products
regarding product recalls, withdrawals, or other problems; or to conduct
post-marketing surveillance to comply with requirements or at the
direction of the FDA.
The terms included in § 164.512(b)(iii) are intended to have both their
commonly understood meanings, as well as any specialized meanings,
pursuant to the Food, Drug, and Cosmetic Act (21 U.S.C. 321 et seq.) or
the Public Health Service Act (42 U.S.C. 201 et seq.). For example,
"post-marketing surveillance" is intended to mean activities related to
determining the safety or effectiveness of a product after it has been
approved and is in commercial distribution, as well as certain Phase IV
(post-approval) commitments by pharmaceutical companies. With respect to
devices, "post-marketing surveillance" can be construed to refer to
requirements of section 522 of the Food, Drug, and Cosmetic Act
regarding certain implanted, life-sustaining, or life-supporting
devices. The term "track" includes, for example, tracking devices under
section 519(e) of the Food, Drug, and Cosmetic Act, units of blood or
other blood products, as well as trace-backs of contaminated food.
In § 164.512(b)(iii), the term "required" refers to requirements in
statute, regulation, order, or other legally binding authority exercised
by the FDA. The term "directed," as used in this section, includes other
official agency communications such as guidance documents.
We note that under this provision, a covered entity may disclose
protected health information to a non-governmental organization without
individual authorization for inclusion in a private data base or
registry only if the disclosure is otherwise for one of the purposes
described in this provision (e.g., for tracking products pursuant to FDA
direction or requirements, for post-marketing surveillance to comply
with FDA requirements or direction.)
To make a disclosure that is not for one of these activities, covered
entities must obtain individual authorization or must meet the
requirements of another provision of this rule. For example, covered
entities may disclose protected health information to employers for
inclusion in a workplace surveillance database only: with individual
authorization; if the disclosure is required by law; if the disclosure
meets the requirements of § 164.512(b)(v); or if the disclosure meets
the conditions of another provision of this regulation, such as §
154.512(i) relating to research. Similarly, if a pharmaceutical company
seeks to create a registry containing protected health information about
individuals who had taken a drug that the pharmaceutical company had
developed, covered entities may disclose protected health information
without authorization to the pharmaceutical company pursuant to FDA
requirements or direction. If the pharmaceutical company's registry is
not for any of these purposes, covered entities may disclose protected
health information to it only with patient authorization, if required by
law, or if disclosure meets the conditions of another provision of this
rule.
The final rule continues to permit covered entities to disclose
protected health information without individual authorization directly
to public health authorities, such as the Food and Drug Administration,
the Occupational Safety and Health Administration, the Centers for
Disease Control and Prevention, as well as state and local public health
departments, for public health purposes as specified in the NPRM.
The final rule retains the NPRM provision allowing covered entities to
disclose protected health information to public health authorities or
other appropriate government authorities authorized by law to receive
reports of child abuse or neglect. In addition, we clarify the NPRM's
provision regarding disclosure of protected health information to
persons who may have been exposed to a communicable disease or who may
otherwise be at risk of contracting or spreading a disease or condition.
Under the final rule, covered entities may disclose protected health
information to such individuals when the covered entity or public health
authority is authorized by law to notify these individuals as necessary
in the conduct of a public health intervention or investigation.
In addition, as in the NPRM, under the final rule, a covered entity that
is acting as a public health authority -- for example, a public hospital
conducting infectious disease surveillance in its role as an arm of the
public health department -- may use protected health information in all
cases for which it is allowed to disclose such information for public
health activities as described above.
The proposed rule did not contain a specific provision relating to
disclosures by covered health care providers to employers concerning
work-related injuries or illnesses or workplace medical surveillance.
Under the proposed rule, a covered entity would have been permitted to
disclose protected health information without individual authorization
for public health purposes to private person if the person could
demonstrate that it was acting to comply with requirements or at the
direction of a public health authority.
As discussed above, in the final rule we narrow the scope of this
paragraph as it applies to disclosures to persons other than public
health authorities. To ensure that covered health care providers may
make disclosures of protected health information without individual
authorization to employers when appropriate under federal and state laws
addressing work-related injuries and illnesses or workplace medical
surveillance, we include a new provision in the final rule. The
provision permits covered health care providers who provide health care
as a workforce member of or at the request of an employer to disclose to
that employer protected health information concerning work-related
injuries or illnesses or workplace medical surveillance in situations
where the employer has a duty under the Occupational Safety and Health
Act, the Federal Mine Safety and Health Act, or under a similar state
law, to keep records on or act on such information. For example, OSHA
regulations in 29 CFR Part 1904 require employers to record work-related
injuries and illnesses if medical treatment is necessary; MSHA
regulations at 30 CFR Part 50 require mine operators to report injuries
and illnesses experienced by miners. Similarly, OSHA rules require
employers to monitor employees' exposure to certain substances and to
remove employees from exposure when toxic thresholds have been met. To
obtain the relevant health information necessary to determine whether an
injury or illness should be recorded, or whether an employee must be
medically removed from exposure at work, employers must refer employees
to health care providers for examination and testing.
OSHA and MSHA rules do not impose duties directly upon health care
providers to disclose health information pertaining to recordkeeping and
medical monitoring requirements to employers. Rather, these rules
operate on the presumption that health care providers who provide
services at the request of an employer will be able to disclose to the
employer work-related health information necessary for the employer to
fulfill its compliance obligations. This new provision permits covered
entities to make disclosures necessary for the effective functioning of
OSHA and MSHA requirements, or those of similar state laws, by
permitting a health care provider to make disclosures without the
authorization of the individual concerning work-related injuries or
illnesses or workplace medical surveillance in situations where the
employer has a duty under OSHA and MSHA requirements, or under a similar
state laws, to keep records on or act on such information.
We require health care providers who make disclosures to employers under
this provision to provide notice to individuals that it discloses
protected health information to employers relating to the medical
surveillance of the workplace and work‑related illnesses and injuries.
The notice required under this provision is separate from the notice
required under § 164.520. The notice required under this provision may
be met giving a copy of the notice to the individual at the time it
provides the health care services, or, if the health care services are
provided on the work site of the employer, by posting the notice in a
prominent place at the location where the health care services are
provided.
This provision applies only when a covered health care provider provides
health care services as a workforce member of or at the request of an
employer and for the purposes discussed above. The provision does not
affect the application of this rule to other health care provided to
individuals or to their relationship with health care providers that
they select.
**Section 164.512(c)---Disclosures about Victims of Abuse, Neglect or
Domestic Violence**
The NPRM included two provisions related to disclosures about persons
who are victims of abuse. In the NPRM, we would have allowed covered
entities to report child abuse to a public health authority or other
appropriate authority authorized by law to receive reports of child
abuse or neglect. In addition, under proposed § 164.510(f)(3) of the
NPRM, we would have allowed covered entities to disclose protected
health information about a victim of a crime, abuse or other harm to a
law enforcement official under certain circumstances. The NPRM
recognized that most, if not all, states had laws that mandated
reporting of child abuse or neglect to the appropriate authorities.
Moreover, HIPAA expressly carved out state laws on child abuse and
neglect from preemption or any other interference. The NPRM further
acknowledged that most, but not all, states had laws mandating the
reporting of abuse, neglect or exploitation of the elderly or other
vulnerable adults. We did not intend to impede reporting in compliance
with these laws.
The final rule includes a new paragraph, § 164.512(c), which allows
covered entities to report protected health information to specified
authorities in abuse situations other than those involving child abuse
and neglect. In the final rule, disclosures of protected health
information related to child abuse continues to be addressed in the
paragraph allowing disclosure for public health activities (§
164.512(b)), as described above. Because HIPAA addresses child abuse
specifically in connection with a state's public health activities, we
believe it would not be appropriate to include child abuse-related
disclosures in this separate paragraph on abuse. State laws continue to
apply with respect to child abuse, and the final rule does not in any
way interfere with a covered entity's ability to comply with these laws.
In the final rule, we address disclosures about other victims of abuse,
neglect and domestic violence in § 164.512(c) rather than in the law
enforcement paragraph. Section 164.512(c) establishes conditions for
disclosure of protected health information in cases involving domestic
violence other than child abuse (e.g., spousal abuse), as well as those
involving abuse or neglect (e.g., abuse of nursing home residents or
residents of facilities for the mentally retarded). This paragraph
addresses reports to law enforcement as well as to other authorized
public officials. The provisions of this paragraph supersede the
provisions of § 164.512(a) and § 164.512(f)(1)(i) to the extent that
those provisions address the subject matter of this paragraph.
Under the circumstances described below, the final rule allows covered
entities to disclose protected health information about an individual
whom the covered entity reasonably believes to be a victim of abuse,
neglect, or domestic violence. In this paragraph, references to
"individual" should be construed to mean the individual believed to be
the victim. The rule allows such disclosure to any governmental
authority authorized by law to receive reports of such abuse, neglect,
or domestic violence. These entities may include, for example, adult
protective or social services agencies, state survey and certification
agencies, ombudsmen for the aging or those in long-term care facilities,
and law enforcement or oversight.
The final rule specifies three circumstances in which disclosures of
protected health information is allowed in order to report abuse,
neglect or domestic violence. First, this paragraph allows disclosure of
protected health information related to abuse if required by law and the
disclosure complies with and is limited to the relevant requirements of
such law. As discussed below, the final rule requires covered entities
that make such disclosures pursuant to a state's mandatory reporting law
to inform the individual of the report.
Second, this paragraph allows covered entities to disclose protected
health information related to abuse if the individual has agrees to such
disclosure. When considering the possibility of disclosing protected
health information in an abuse situation pursuant to this section, we
encourage covered entities to seek the individual's agreement whenever
possible.
Third, this paragraph allows covered entities to disclose protected
health information about an individual without the individual's
agreement if the disclosure is expressly authorized by statute or
regulation and either: (1) the covered entity, in the exercise of its
professional judgment, believes that the disclosure is necessary to
prevent serious harm to the individual or to other potential victims; or
(2) if the individual is unable to agree due to incapacity, a law
enforcement or other public official authorized to received the report
represents that the protected health information for which disclosure is
sought is not intended to be used against the individual, and that an
immediate enforcement activity that depends on the disclosure would be
materially and adversely affected by waiting until the individual is
able to agree to the disclosure.
We emphasize that disclosure under this third part of the paragraph also
may be made only if it is expressly authorized by statute or regulation.
We use this formulation, rather than the broader "required by law,"
because of the heightened privacy and safety concerns in these
situations. We believe it appropriate to defer to other public
determinations regarding reporting of this information only where a
legislative or executive body has determined the reporting to be of
sufficient importance to warrant enactment of a law or promulgation of a
regulation. Law and regulations reflect a clear decision to authorize
the particular disclosure of protected health information, and reflect
greater public accountability (e.g., through the required public comment
process or because enacted by elected representatives).
For example, a Wisconsin law (Wis. Stat §46.90(4)) states that any
person may report to a county agency or state official that he or she
believes that abuse or neglect has occurred. Pursuant to §
164.512(c)(1)(iii), a covered entity may make a report only if the
specific type or subject matter of the report (e.g., abuse or neglect of
the elderly) is included in the law authorizing the report, and such a
disclosure may only be made to a public authority specifically
identified in the law authorizing the report. Furthermore, we note that
disclosures under this part of the paragraph are further limited to two
circumstances. In the first case, a covered entity, in the exercise of
professional judgment, must believe that the disclosure is necessary to
prevent serious harm to the individual or to other potential victims.
The second case addresses situations in which an individual who is a
victim of abuse, neglect or domestic violence is unable to agree due to
incapacity and a law enforcement or other public official authorized to
receive the report represents that the protected health information for
which disclosure is sought is not intended to be used against the
individual and that an immediate law enforcement activity that depends
on the disclosure would be materially and adversely affected by waiting
until the individual if able to agree to the disclosure. We note that,
in this second case, a covered entity may exercise discretion,
consistent with professional judgment as to the patient's best interest,
in deciding whether to make the requested disclosure.
The rules governing disclosure in this third set of circumstances are
different from those governing disclosures pursuant to § 164.512(f)(3)
regarding disclosure to law enforcement about victims of crime and other
harm. We believe that in abuse situations -- to a greater extent than in
situations involving crime victims in general -- there is clear
potential for abusers to cause further serious harm to the victim or to
others, such as other family members in a household or other residents
of a nursing home. The provisions allowing reporting of abuse when
authorized by state law, as described above, are consistent with
principles articulated by the AMA's Council on Ethical and Judicial
Affairs, which state that when reporting abuse is voluntary under state
law, it is justified when necessary to prevent serious harm to a
patient. Through the provisions of § 164.512(c), we recognize the unique
circumstances surrounding abuse and domestic violence, and we seek to
provide an appropriate balance between individual privacy interests and
important societal interests such as preventing serious harm to other
individuals. We note that here we are relying on covered entities, in
the exercise of professional judgment, to determine what is in the best
interests of the patient.
Finally, we require covered entities to inform the individual in all of
the situations described above that the covered entity has disclosed
protected health information to report abuse, neglect, or domestic
violence. We allow covered entities to provide this information orally.
We do not require written notification, nor do we encourage it, due to
the sensitivity of abuse situations and the potential for the abuser to
cause further harm to the individual if, for example, a covered entity
sends written notification to the home of the individual and the abuser.
Whenever possible, covered entities should inform the individual at the
same time that they determine abuse has occurred and decide that the
abuse should be reported. In cases involving patient incapacity, we
encourage covered entities to inform the individual of such disclosures
as soon as it is practicable to do so.
The rule provides two exceptions to the requirement to inform the victim
about a report to a government authority, one based on concern for
future harm and one based on past harm. First, a covered entity need not
inform the victim if the covered entity, in the exercise of professional
judgment, believes that informing the individual would place the
individual at risk of serious harm. We believe that this exception is
necessary to address the potential for future harm, either physical or
emotional, that the individual may face from knowing that the report has
been made. Second, a covered entity may choose not to meet the
requirement for informing the victim, if the covered entity actually
would be informing a personal representative (such as a parent of a
minor) and the covered entity reasonably believes that such person is
responsible for the abuse, neglect, or other injury that has already
occurred and that informing that person would not be in the individual's
best interests.
**Section 164.512(d)---Uses and Disclosures for Health Oversight
Activities**
Under § 164.510(c) of the NPRM, we proposed to permit covered entities
to disclose protected health information to health oversight agencies
for oversight activities authorized by law, including audit,
investigation, inspection, civil, criminal, or administrative proceeding
or action, or other activity necessary for appropriate oversight of: (i)
the health care system; (ii) government benefit programs for which
health information is relevant to beneficiary eligibility; or (iii)
government regulatory programs for which health information is necessary
for determining compliance with program standards.
In § 164.512(d) of the final rule, we modify the proposed language to
include civil and criminal investigations. In describing "other
activities necessary for oversight" of particular entities, we add the
phrase "entities subject to civil rights laws for which health
information is necessary for determining compliance." In addition, in
the final rule, we add "licensure or disciplinary actions" to the list
of oversight activities authorized by law for which covered entities may
disclose protected health information to health oversight agencies. The
NPRM's definition of "health oversight agency" (in proposed § 164.504)
included this phrase, but it was inadvertently excluded from the
regulation text at proposed § 164.510(c). We make this change in the
regulation text of the final rule to conform to the NPRM's definition of
health oversight agency and to reflect the full range of activities for
which we intend to allow covered entities to disclose protected health
information to health oversight agencies.
The NPRM would have allowed, but would not have required, covered
entities to disclose protected health information to public oversight
agencies and to private entities acting under grant of authority from or
under contract with oversight agencies for oversight purposes without
individual authorization for health oversight activities authorized by
law. When a covered entity was also an oversight agency, it also would
have been permitted to use protected health information in all cases in
which it would have been allowed to disclose such information for health
oversight purposes. The NPRM would not have established any new
administrative or judicial process prior to disclosure for health
oversight, nor would it have permitted disclosures forbidden by other
law. The proposed rule also would not have created any new right of
access to health records by oversight agencies, and it could not have
been used as authority to obtain records not otherwise legally available
to the oversight agency.
The final rule retains this approach to health oversight. As in the
NPRM, the final rule provides that when a covered entity is also an
oversight agency, it is allowed to use protected health information in
all cases in which it is allowed to disclose such information for health
oversight purposes. For example, if a state insurance department is
acting as a health plan in operating the state's Medicaid managed care
program, the final rule allows the insurance department to use protected
health information in all cases for which the plan can disclose the
protected health information for health oversight purposes. For example,
the state insurance department in its capacity as the state Medicaid
managed care plan can use protected health information in the process of
investigating and disciplining a state Medicaid provider for attempting
to defraud the Medicaid system. As in the NPRM, the final rule does not
establish any new administrative or judicial process prior to disclosure
for health oversight, nor does it prohibit covered entities from making
any disclosures for health oversight that are otherwise required by law.
Like the NPRM, it does not create any new right of access to health
records by oversight agencies and it cannot be used as authority to
obtain records not otherwise legally available to the oversight agency.
***Overlap Between Law Enforcement and Oversight***
Under the NPRM, the proposed definitions of law enforcement and
oversight, and the rules governing disclosures for these purposes
overlapped. Specifically, this overlap occurred because: (1) the NPRM
preamble, but not the NPRM regulation text, indicated that agencies
conducting both oversight and law enforcement activities would be
subject to the oversight requirements when conducting oversight
activities; and (2) the NPRM addressed some disclosures for
investigations of health care fraud in the law enforcement paragraph
(proposed § 164.510(f)(5)(i)), while health care fraud investigations
are central to the purpose of health care oversight agencies (covered
under proposed § 164.510(c)). In the final rule, we make substantial
changes to these provisions, in an attempt to prevent confusion.
In § 164.512(d)(2), we include explicit decision rules indicating when
an investigation is considered law enforcement and when an investigation
is considered oversight under this regulation. An investigation or
activity is not considered health oversight for purposes of this rule
if: (1) the individual is the subject of the investigation or activity;
and (2) the investigation or activity does not arise out of and is not
directly related to: (a) the receipt of health care; (b) a claim for
public benefits related to health; or (c) qualification for, or receipt
of public benefits or services where a patient's health is integral to
the claim for benefits or services. In such cases, where the individual
is the subject of the investigation and the investigation does not
relate to issues (a) through (c), the rules regarding disclosure for law
enforcement purposes (see § 164.512(f)) apply. For the purposes of this
rule, we intend for investigations regarding issues (a) through (c)
above to mean investigations of health care fraud.
Where the individual is not the subject of the activity or
investigation, or where the investigation or activity relates to the
subject matter in (a) through (c) of the preceding sentence, a covered
entity may make a disclosure pursuant to § 164.512(d)(1). For example,
when the U.S. Department of Labor's Pension and Welfare Benefits
Administration (PWBA) needs to analyze protected health information
about health plan enrollees in order to conduct an audit or
investigation of the health plan (i.e., the enrollees are not subjects
of the investigation) to investigate potential fraud by the plan, the
health plan may disclose protected health information to the PWBA under
the health oversight rules. These rules and distinctions are discussed
in greater detail in our responses to comments.
To clarify further that health oversight disclosure rules apply
generally in health care fraud investigations (subject to the exception
described above), in the final rule, we eliminate proposed §
164.510(f)(5)(i), which would have established requirements for
disclosure related to health care fraud for law enforcement purposes.
All disclosures of protected health information that would have been
permitted under proposed § 164.510(f)(5)(i) are permitted under §
164.512(d).
In the final rule, we add new language (§ 164.512(d)(3)) to address
situations in which health oversight activities are conducted in
conjunction with an investigation regarding a claim for public benefits
not related to health (e.g., claims for Food Stamps). In such
situations, for example, when a state Medicaid agency is working with
the Food Stamps program to investigate suspected fraud involving
Medicaid and Food Stamps, covered entities may disclose protected health
information to the entities conducting the joint investigation under the
health oversight provisions of the rule.
In the proposed rule, the definitions of "law enforcement proceeding"
and "oversight activity" both included the phrase "criminal, civil, or
administrative proceeding." For reasons explained below, the final rule
retains this phrase in both definitions. The final rule does not attempt
to distinguish between these activities based on the agency undertaking
them or the applicable enforcement procedures. Rather, as described
above, the final rule carves out certain activities which must always be
considered law enforcement for purposes of disclosure of protected
health information under this rule.
***Additional Considerations***
We note that covered entities are permitted to initiate disclosures that
are permitted under this paragraph. For example, a covered entity could
disclose protected health information in the course of reporting
suspected health care fraud to a health oversight agency.
We delete language in the NPRM that would have allowed disclosure under
this section only to law enforcement officials conducting or supervising
an investigation, official inquiry, or a criminal, civil or
administrative proceeding authorized by law. In some instances, a
disclosure by a covered entity under this section will initiate such an
investigation or proceeding, but it will not already be ongoing at the
time the disclosure is made.
**Section 164.512(e)---Disclosures and Uses for Judicial and
Administrative Proceedings**
Section 164.512(e) addresses when a covered entity is permitted to
disclose protected health information in response to requests for
protected health information that are made in the course of judicial and
administrative proceedings -- for example, when a non-party health care
provider receives a subpoena (under Federal Rule of Civil Procedure Rule
45 or similar provision) for medical records from a party to a law suit.
In the NPRM we would have allowed covered entities to disclose protected
health information in the course of any judicial or administrative
proceeding: (1) in response to an order of a court or administrative
tribunal; or (2) where an individual was a party to the proceeding and
his or her medical condition or history was at issue and the disclosure
was pursuant to lawful process or otherwise authorized by law. Under the
NPRM, if the request for disclosure of protected health information was
accompanied by a court order, a covered entity could have disclosed that
protected health information which the court order authorized to be
disclosed. If the request for disclosure of protected health information
were not accompanied by a court order, covered entities could not have
disclosed the information requested unless a request authorized by law
had been made by the agency requesting the information or by legal
counsel representing a party to litigation, with a written statement
certifying that the protected health information requested concerned a
litigant to the proceeding and that the health condition of the litigant
was at issue at the proceeding.
In § 164.512(e) of the final rule, we permit covered entities to
disclose protected health information in a judicial or administrative
proceeding if the request for such protected health information is made
through or pursuant to an order from a court or administrative tribunal
or in response to a subpoena or discovery request from, or other lawful
process by a party to the proceeding. When a request is made pursuant to
an order from a court or administrative tribunal, a covered entity may
disclose the information requested without additional process. For
example, a subpoena issued by a court constitutes a disclosure which is
required by law as defined in this rule, and nothing in this rule is
intended to interfere with the ability of the covered entity to comply
with such subpoena.
However, absent an order of, or a subpoena issued by, a court or
administrative tribunal, a covered entity may respond to a subpoena or
discovery request from, or other lawful process by, a party to the
proceeding only if the covered entity obtains either: (1) satisfactory
assurances that reasonable efforts have been made to give the individual
whose information has been requested notice of the request; or (2)
satisfactory assurances that the party seeking such information has made
reasonable efforts to secure a protective order that will guard the
confidentiality of the information. In meeting the first test, a covered
entity is considered to have received satisfactory assurances from the
party seeking the information if that party demonstrates that it has
made a good faith effort (such as by sending a notice to the
individual\'s last known address) to provide written notice to the
individual whose information is the subject of the request, that the
written notice included sufficient information about the proceeding to
permit the individual to raise an objection, and that the time for the
individual to raise objections to the court or administrative tribunal
has elapsed and no objections were filed or any objections filed by the
individual have been resolved.
Unless required to do so by other law, the covered entity is not
required to explain the procedures (if any) available for the individual
to object to the disclosure. Under the rule, the individual exercises
the right to object before the court or other body having jurisdiction
over the proceeding, and not to the covered entity. The provisions in
this paragraph are not intended to disrupt current practice whereby an
individual who is a party to a proceeding and has put his or her medical
condition at issue will not prevail without consenting to the production
of his or her protected health information. In such cases, we presume
that parties will have ample notice and an opportunity to object in the
context of the proceeding in which the individual is a party.
As described above, in this paragraph we also permit a covered entity to
disclose protected health information in response to a subpoena,
discovery request, or other lawful process if the covered entity
receives satisfactory assurances that the party seeking the information
has made reasonable efforts to seek a qualified protective order that
would protect the privacy of the information. A "qualified protective
order" means an order of a court or of an administrative tribunal or a
stipulation that: (1) prohibits the parties from using or disclosing the
protected health information for any purpose other than the litigation
or proceeding for which the records are requested; and (2) requires the
return to the covered entity or destruction of the protected health
information (including all copies made) at the end of the litigation or
proceeding. Satisfactory assurances of reasonable efforts to secure a
qualified protective order are a statement and documentation that the
parties to the dispute have agreed to a protective order and that it has
been submitted to the court or administrative tribunal with
jurisdiction, or that the party seeking the protected health information
has requested a qualified protective order from such court or tribunal.
We encourage the development of "model" protective orders that will
facilitate adherence with this subpart.
In the final rule we also permit the covered entity itself to satisfy
the requirement to make reasonable efforts to notify the individual
whose information has been requested or to seek a qualified protective
order. We intend this to be a permissible activity for covered entities:
we do not require covered entities to undertake these efforts in
response to a subpoena, discovery request, or similar process (other
than an order from a court or administrative tribunal). If a covered
entity receives such a request without receiving the satisfactory
assurances described above from the party requesting the information,
the covered entity is free to object to the disclosure and is not
required to undertake the reasonable efforts itself.
We clarify that the provisions of this paragraph do not supersede or
otherwise invalidate other provisions of this rule that permit uses and
disclosures of protected health information. For example, the fact that
protected health information is the subject of a matter before a court
or tribunal does not prevent its disclosure under another provision of
the rule, such as §§ 164.512(b), 164.512(d), or 164.512(f), even if a
public agency's method of requesting the information is pursuant to an
administrative proceeding. For example, where a public agency commences
a disciplinary action against a health professional, and requests
protected health information as part of its investigation, the
disclosure made be made to the agency under paragraph (d) of this
section (relating to health oversight) even if the method of making the
request is through the proceeding. As with any request for disclosure
under this section, the covered entity will need to verify the authority
under which the request is being made, and we expect that public
agencies will identify their authority when making such requests. We
note that covered entities may reasonably rely on assertions of
authority made by government agencies.
***Additional Considerations***
Where a disclosure made pursuant to this paragraph is required by law,
such as in the case of an order from a court or administrative tribunal,
the minimum necessary requirements in § 164.514(d) do not apply to
disclosures made under this paragraph. A covered entity making a
disclosure under this paragraph, however, may of course disclose only
that protected health information that is within the scope of the
permitted disclosure. For instance, in response to an order of a court
or administrative tribunal, the covered entity may disclose only the
protected health information that is expressly authorized by such an
order. Where a disclosure is not considered under this rule to be
required by law, the minimum necessary requirements apply, and the
covered entity must make reasonable efforts to limit the information
disclosed to that which is reasonably necessary to fulfill the request.
A covered entity is not required to second guess the scope or purpose of
the request, or take action to resist the request because they believe
that it is over broad. In complying with the request, however, the
covered entity must make reasonable efforts not to disclose more
information than is requested. For example, a covered entity may not
provide a party free access to its medical records under the theory that
the party can identify the information necessary for the request. In
some instances, it may be appropriate for a covered entity, presented
with a relatively broad discovery request, to permit access to a
relatively large amount of information in order for a party to identify
the relevant information. This is permissible as long as the covered
entity makes reasonable efforts to circumscribe the access as
appropriate.
The NPRM indicated that when a covered entity was itself a government
agency, the covered entity could use protected health information in all
cases in which it would have been allowed to disclose such information
in the course of any judicial or administrative proceeding. As explained
above, the final rule does not include this provision.
**Section 164.512(f)---Disclosure for Law Enforcement Purposes**
***Disclosures Pursuant to Process and as Otherwise Required by Law***
In the NPRM we would have allowed covered entities to disclose protected
health information without individual authorization as required by other
law. However, as explained above, if a legally mandated use or
disclosure fell into one or more of the national priority purposes
expressly identified in other paragraphs of proposed § 164.510, the
disclosure would have been subject to the terms and conditions specified
by the applicable paragraph of proposed § 164.510. For example,
mandatory reporting to law enforcement officials would not have been
allowed unless such disclosures conformed to the requirements of
proposed § 164.510(f) of the NPRM. Proposed § 164.510(f) did not
explicitly recognize disclosures required by other laws, and it would
not have permitted covered entities to comply with some state and other
mandatory reporting laws that require covered entities to disclose
protected health information to law enforcement officials, such as the
reporting of gun shot wounds, stab wounds, and/or burn injuries.
We did not intend to preempt generally state and other mandatory
reporting laws, and in § 164.512(f)(1)(i) of the final rule, we
explicitly permit covered entities to disclose protected health
information for law enforcement purposes as required by other law. This
provision permits covered entities to comply with these state and other
laws. Under this provision, to the extent that a mandatory reporting law
falls under the provisions of § 164.512(c)(1)(i) regarding reporting of
abuse, neglect, or domestic violence, the requirements of those
provisions supersede.
In the final rule, we specify that covered entities may disclose
protected health information pursuant to this provision in compliance
with and as limited by the relevant requirements of legal process or
other law. In the NPRM, for the purposes of this portion of the law
enforcement paragraph, we proposed to define "law enforcement inquiry or
proceeding" as an investigation or official proceeding inquiring into a
violation of or failure to comply with law; or a criminal, civil or
administrative proceeding arising from a violation of or failure to
comply with law. In the final rule, we do not include this definition in
§ 164.512(f), because it is redundant with the definition of "law
enforcement official" in § 164.501.
Proposed § 164.510(f)(1) of the NPRM would have authorized disclosure of
protected health information to a law enforcement official conducting or
supervising a law enforcement inquiry or proceeding authorized by law
pursuant to process, under three circumstances.
First, we proposed to permit such disclosures pursuant to a warrant,
subpoena, or other order issued by a judicial officer that documented a
finding by the officer. The NPRM did not specify requirements for the
nature of the finding. In the final rule, we eliminate the requirement
for a "finding," and we make changes to the list of orders in response
to which covered entities may disclose under this provision. Under the
final rule, covered entities may disclose protected health information
in compliance with and as limited by relevant requirements of: a court
order or court-ordered warrant, or a subpoena or summons issued by a
judicial officer. We made this change to the list to conform to the
definition of "required by law" in § 164.501.
Second, we proposed to permit such disclosures pursuant to a state or
federal grand jury subpoena. In the final rule, we leave this provision
of the NPRM unchanged.
Third, we proposed to permit such disclosures pursuant to an
administrative request, including an administrative subpoena or summons,
a civil investigative demand, or similar process, under somewhat
stricter standards than exist today for such disclosures. We proposed to
permit a covered entity to disclose protected health information
pursuant to an administrative request only if the request met three
conditions, as follows: (i) the information sought was relevant and
material to a legitimate law enforcement inquiry; (ii) the request was
as specific and narrowly drawn as reasonably practicable; and (iii)
de-identified information could not reasonably have been used to meet
the purpose of the request.
The final rules generally adopts this provision of the NPRM. In the
final rule, we modify the list of orders in response to which covered
entities may disclose protected health information, to include
administrative subpoenas or summons, civil or authorized investigative
demands, or similar process authorized by law. We made this change to
the list to conform with the definition of "required by law" in §
164.501. In addition, we slightly modify the second of the three
conditions under which covered entities may respond to such requests, to
allow disclosure if the request is specific and is limited in scope to
the extent reasonably practicable in light of the purpose for which the
information is sought.
***Limited Information for Identification and Location Purposes***
The NPRM would have allowed covered entities to disclose \"limited
identifying information\" for purposes of identifying a suspect,
fugitive, material witness, or missing person, in response to a law
enforcement request. We proposed to define "limited identifying
information" as (i) name; (ii) address; (iii) Social Security number;
(iv) date of birth; (v) place of birth; (vi) type of injury or other
distinguishing characteristic; and (vii) date and time of treatment.
The final rules generally adopts this provision of the NPRM with a few
modifications. In the final rule, we expand the circumstances under
which limited information about suspects, fugitives, material witnesses,
and missing persons may be disclosed, to include not only cases in which
law enforcement officials are seeking to identify such individuals, but
also cases in which law enforcement officials are seeking to locate such
individuals. In addition, the final rule modifies the list of data
elements that may be disclosed under this provision, in several ways. We
expand the list of elements that may be disclosed under these
circumstances, to include ABO blood type and Rh factor, as well as date
and time of death, if applicable. We remove "other distinguishing
characteristic" from the list of items that may be disclosed for the
location and identification purposes described in this paragraph, and
instead allow covered entities to disclose only a description of
distinguishing physical characteristics, such as scars and tattoos,
height, weight, gender, race, hair and eye color, and the presence or
absence of facial hair such as a beard or moustache. In addition, in the
final rule, protected health information associated with the following
cannot be disclosed pursuant to § 164.512(f)(2): DNA data and analyses;
dental records; or typing, samples or analyses of tissues or bodily
fluids other than blood (e.g., saliva). If a covered entity discloses
additional information under this provision, the covered entity will be
out of compliance and subject to sanction.
We clarify our intent not to allow covered entities to initiate
disclosures of limited identifying information to law enforcement in the
absence of a law enforcement request; a covered entity may disclose
protected health information under this provision only in response to a
request from law enforcement. We allow a " law enforcement official's
request" to be made orally or in writing, and we intend for it to
include requests by a person acting on behalf of law enforcement, for
example, requests by a media organization making a television or radio
announcement seeking the public's assistance in identifying a suspect.
Such a request also may include a "Wanted" poster and similar postings.
***Disclosure about a Victim of Crime***
The NPRM would have allowed covered entities to disclose protected
health information about a victim of a crime, abuse or other harm to a
law enforcement official, if the law enforcement official represented
that: (i) the information was needed to determine whether a violation of
law by a person other than the victim had occurred; and (ii) immediate
law enforcement activity that depended on obtaining the information may
have been necessary.
The final rule modifies the conditions under which covered entities can
disclose protected health information about victims. In addition, as
discussed above, the final rule includes a new § 164.512(c), which
establishes conditions for disclosure of protected health information
about victims of abuse, neglect or domestic violence. In addition, as
discussed above, we have added § 164.512(f)(1)(i) to this paragraph to
explicitly recognize that in some cases, covered entities' disclosure of
protected health information is mandated by state or other law. The
rule's requirements for disclosure in situations not covered under
mandatory reporting laws are different from the rule's provisions
regarding disclosure pursuant to a mandatory reporting law.
The final rule requires covered entities to obtain individual agreement
as a condition of disclosing the protected health information about
victims to law enforcement, unless the disclosure is permitted under §
164.512(b) or (c) or § 164.512(f)(1) above. The required agreement may
be obtained orally, and does not need to meet the requirements of §
164.508 of this rule (regarding authorizations). The rule waives the
requirement for individual agreement if the victim is unable to agree
due to incapacity or other emergency circumstance and: (1) the law
enforcement official represents that the protected health information is
needed to determine whether a violation of law by a person other than
the victim has occurred and the information is not intended to be used
against the victim; (2) the law enforcement official represents that
immediate law enforcement activity that depends on such disclosure would
be materially and adversely affected by waiting until the individual is
able to agree to the disclosure; and (3) the covered entity, in the
exercise of professional judgment, determines that the disclosure is in
the individual's best interests. We intend that assessing the
individual's best interests includes taking into account any further
risk of harm to the individual. This provision does not allow covered
entities to initiate disclosures of protected health information to law
enforcement; the disclosure must be in response to a request from law
enforcement.
We do not intend to create a new legal duty on the part of covered
entities with respect to the safety of their patients. Rather, we intend
to ensure that covered entities can continue to exercise their
professional judgment in these circumstances, on a case-by-case basis,
as they do today.
In some cases, a victim may also be a fugitive or suspect. For example,
an individual may receive a gunshot wound during a robbery and seek
treatment in a hospital emergency room. In such cases, when law
enforcement officials are requesting protected health information
because the individual is a suspect (and thus the information may be
used against the individual), covered entities may disclose the
protected health information pursuant to § 164.512(f)(2) regarding
suspects and not pursuant to § 164.512(f)(3) regarding victims. Thus, in
these situations, covered entities may disclose only the limited
identifying information listed in § 164.512(f)(2) -- not all of the
protected health information that may be disclosed under §
164.512(f)(3).
The proposed rule did not address whether a covered entity could
disclose protected health information to a law enforcement official to
alert the official of the individual's death.
***Disclosures About Decedents***
In the final rule, we add a new provision § 164.512(f)(4) in which we
permit covered entities to disclose protected health information about
an individual who has died to a law enforcement official for the purpose
of alerting law enforcement of the death if the covered entity has a
suspicion that such death may have resulted from criminal conduct. In
such circumstances consent of the individual is not available and it may
be difficult to determine the identity of a personal representative and
gain consent for disclosure of protected health information. Permitting
disclosures in this circumstance will permit law enforcement officials
to begin their investigation into the death more rapidly, increasingly
the likelihood of success.
***Intelligence and National Security Activities***
Section 164.510(f)(4) of the NPRM would have allowed covered entities to
disclose protected health information to a law enforcement official
without individual authorization for the conduct of lawful intelligence
activities conducted pursuant to the National Security Act of 1947 (50
U.S.C. 401 et seq.) or in connection with providing protective services
to the President or other individuals pursuant to section 3056 of Title
18, United States Code. In the final rule, we move provisions regarding
disclosures of protected health information for intelligence and
protective services activities to § 164.512(k) regarding uses and
disclosures for specialized government functions.
***Criminal Conduct on the Premises of a Covered Entity***
The NPRM would have allowed covered entities on their own initiative to
disclose to law enforcement officials protected health information that
the covered entity believed in good faith constituted evidence of
criminal conduct that arose out of and was directly related to: (A) the
receipt of health care or payment for health care, including a
fraudulent claim for health care; (B) qualification for or receipt of
benefits, payments, or services based on a fraudulent statement or
material misrepresentation of the health of the individual; that
occurred on the covered entity's premises or was witnessed by a member
of the covered entity's workforce.
In the final rule, we modify this provision substantially, by
eliminating language allowing disclosures already permitted in other
sections of the regulation. The proposed provision overlapped with other
sections of the NPRM, in particular proposed § 164.510(c) regarding
disclosure for health oversight activities. In the final regulation, we
clarify that this provision applies only to disclosures to law
enforcement officials of protected health information that the covered
entity believes in good faith constitutes evidence of a crime committed
on the premises. We eliminate proposed § 164.510(f)(5)(i) regarding
health care fraud from the law enforcement section, because all
disclosures that would have been allowed under that provision are
allowed under § 164.512(d) of the final rule (health oversight).
Similarly, in the final rule, we eliminate proposed § 164.510(f)(5)(iii)
on disclosure of protected health information to law enforcement
officials regarding criminal activity witnessed by a member of a health
plan workforce. All disclosures that would have been permitted by that
provision are included in § 164.512(f)(5), which allows disclosure of
information to report a crime committed on the covered entity's
premises, and by § 164.502, which provides that a covered entity is not
in violation of the rule when a member of its workforce or person
working for a business associate uses or discloses protected health
information while acting as a "whistle blower." Thus, § 164.512(f)(5)
allows covered entities to disclose health information only on the good
faith belief that it constitutes evidence of a crime on their premises.
The preamble to the NPRM said that if the covered entity disclosed
protected health information in good faith but was wrong in its belief
that the information was evidence of a violation of law, the covered
entity would not be subject to sanction under this regulation. The final
rule retains this approach.
***Reporting Crime in Emergencies***
The proposed rule did not address disclosures by emergency medical
personnel to a law enforcement official intended to alert law
enforcement about the commission of a crime. Because the provisions of
proposed rule were limited to individually identifiable health
information that was reduced to electronic form, many communications
that occur between emergency medical personnel and law enforcement
officials at the scene of a crime would not have been covered by the
proposed provisions.
In the final rule we include a new provision § 164.512(f)(6) that
addresses "911" calls for emergency medical technicians as well as other
emergency health care in response to a medical emergency. The final rule
permits a covered health care provider providing emergency health care
in response to a medical emergency, other than such emergency on the
premises of the covered health care provider, to disclose protected
health information to a law enforcement official if such disclosure
appears necessary to alert law enforcement to (1) the commission and
nature of a crime, (2) the location of such crime or of the victim(s) of
such crime, and (3) the identity, description, and location of the
perpetrator of such crime. A disclosure is not permitted under this
section if health care provider believes that the medical emergency is
the result of abuse, neglect, or domestic violence of the individual in
need of emergency health care. In such cases, disclosures to law
enforcement would be governed by paragraph (c) of this section.
This added provision recognizes the special role of emergency medical
technicians and other providers who respond to medical emergencies. In
emergencies, emergency medical personnel often arrive on the scene
before or at the same time as police officers, firefighters, and other
emergency response personnel. In these cases, providers may be in the
best position, and sometimes be the only ones in the position, to alert
law enforcement about criminal activity. For instance, providers may be
the first persons aware that an individual has been the victim of a
battery or an attempted murder. They may also be in the position to
report in real time, through use of radio or other mechanism,
information that may immediately contribute to the apprehension of a
perpetrator of a crime.
We note that disclosure under this provision is at the discretion of the
health care provider. Disclosures in some instances may be governed more
strictly, such as by applicable ethical standards and state and local
laws.
Finally, the NPRM also included a proposed § 164.510(f)(5), which
duplicated proposed § 164.510(f)(3). The final rule does not include
this duplicate provision.
***Additional Considerations***
As stated in the NPRM, this paragraph is not intended to limit or
preclude a covered entity from asserting any lawful defense or otherwise
contesting the nature or scope of the process when the procedural rules
governing the proceeding so allow. At the same time, it is not intended
to create a basis for appealing to federal court concerning a request by
state law enforcement officials. Each covered entity will continue to
have available legal procedures applicable in the appropriate
jurisdiction to contest such requests where warranted.
As was the case with the NPRM, this rule does not create any new
affirmative requirement for disclosure of protected health information.
Similarly, this section is not intended to limit a covered entity from
disclosing protected health information to law enforcement officials
where other sections of the rule permit such disclosure, e.g., as
permitted by § 164.512(j) to avert an imminent threat to health or
safety, for health oversight activities, to coroners or medical
examiners, and in other circumstances permitted by the rule. For
additional provisions permitting covered entities to disclose protected
health information to law enforcement officials, see § 164.512(j)(1)(i)
and (ii).
Under the NPRM and under the final rule, to obtain protected health
information, law enforcement officials must comply with whatever other
law is applicable. In certain circumstances, while this provision could
authorize a covered entity to disclose protected health information to
law enforcement officials, there could be additional applicable statutes
or rules that further govern the specific disclosure. If the preemption
provisions of this regulation do not apply, the covered entity must
comply with the requirements or limitations established by such other
law, regulation or judicial precedent. See §§ 160.201 through 160.205.
For example, if state law permits disclosure only after compulsory
process with court review, a provider or payor is not allowed to
disclose information to state law enforcement officials unless the
officials have complied with that requirement. Similarly, disclosure of
substance abuse patient records subject to, 42 U.S.C. 290dd-2, and the
implementing regulations, 42 CFR part 2, continue to be governed by
those provisions.
In some instances, disclosure of protected health information to law
enforcement officials will be compelled by other law, for example, by
compulsory judicial process or compulsory reporting laws (such as laws
requiring reporting of wounds from violent crimes, suspected child
abuse, or suspected theft of controlled substances). As discussed above,
disclosure of protected health information under such other mandatory
law is permitted under § 164.512(a).
In the responses to comments we clarify that items such as cells and
tissues are not protected health information, but that analyses of them
is. The same treatment would be given other physical items, such as
clothing, weapons, or a bloody knife. We note, however, that while these
items are not protected health information and may be disclosed, some
communications that could accompany the disclosure will be protected
health information under the rule. For example, if a person provides
cells to a researcher, and tells the researcher that these are an
identified individual's cancer cells, that accompanying statement is
protected health information about that individual. Similarly, if a
person provides a bullet to law enforcement, and tells law enforcement
that the bullet was extracted from an identified individual, the person
has disclosed the fact that the individual was treated for a wound, and
the additional statement is a disclosure of protected health
information.
To be able to make the additional statement accompanying the provision
of the bullet, a covered entity must look to the rule to find a
provision under which a disclosure may be made to law enforcement.
Section 164.512(f) of the rule addresses disclosures for law enforcement
purposes. Under § 164.512(f)(1), the additional statement may be
disclosed to a law enforcement official if required by law or with
appropriate process. Under § 164.512(f)(2), we permit covered entities
to disclose limited identifying information without legal process in
response to a request from a law enforcement official for the purpose of
identifying or locating a suspect, fugitive, material witness, or
missing person. Thus, in the case of bullet described above, the covered
entity may, in response to a law enforcement request, provide the
extracted bullet and such additional limited identifying information as
is permitted under § 164.512(f)(2).
**Section 164.512(g)---Uses and Disclosures About Decedents**
In the NPRM we proposed to allow covered entities to disclose protected
health information without individual authorization to coroners and
medical examiners, consistent with applicable law, for identification of
a deceased person or to determine cause of death.
In § 164.512(g) of the final rule, we permit covered entities to
disclose protected health information to coroners, medical examiners,
and funeral directors as part of a new paragraph on disclosures related
to death. The final rule retains the NPRM approach regarding disclosure
of protected health information to coroners and medical examiners, and
it allows the information disclosed to coroners and medical examiners to
include identifying information about other persons that may be included
in the individual's medical record. Redaction of such names is not
required prior to disclosing the individual's record to coroners or
medical examiners. Since covered entities may also perform duties of a
coroner or medical examiner, where a covered entity is itself a coroner
or medical examiner, the final rule permits the covered entity to use
protected health information in all cases in which it is permitted to
disclose such information for its duties as a coroner or medical
examiner.
Section 164.512(g) allows covered entities to disclose protected health
information to funeral directors, consistent with applicable law, as
necessary to carry out their duties with respect to a decedent. For
example, the rule allows hospitals to disclose to funeral directors the
fact that an individual has donated an organ or tissue, because this
information has implications for funeral home staff duties associated
with embalming. When necessary for funeral directors to carry out their
duties, covered entities may disclose protected health information prior
to and in reasonable anticipation of the individual's death.
Whereas the NPRM did not address the issue of disclosure of
psychotherapy notes without individual authorization to coroners and
medical examiners, the final rule allows such disclosures.
The NPRM did not include in proposed § 164.510(e) language stating that
where a covered entity was itself a coroner or medical examiner, it
could use protected health information for the purposes of engaging in a
coroner's or a medical examiner's activities. The final rule includes
such language to address situations such as where a public hospital
performs medical examiner functions. In such cases, the hospital's
on-staff coroners can use protected health information while conducting
post-mortem investigations, and other hospital staff can analyze any
information associated with these investigations, for example, as part
of the process of determining the cause of the individual's death.
**Section 164.512(h)---Uses and Disclosures for Cadaveric Donation of
Organs, Eyes, or Tissues**
In the NPRM we proposed to include the procurement or banking of blood,
sperm, organs, or any other tissue for administration to patients in the
definition of "health care" (described in proposed § 160.103). The
NPRM's proposed approach did not differentiate between situations in
which the donor was competent to consent to the donation -- for example,
when an individual is donating blood, sperm, a kidney, or a liver or
lung lobe -- and situations in which the donor was deceased, for
example, when cadaveric organs and tissues were being donated. We also
proposed to allow use and disclosure of protected health information for
treatment without consent.
In the final rule, we take a different approach. In § 164.512(h), we
permit covered entities to disclose protected health information without
individual authorization to organ procurement organizations or other
entities engaged in the procurement, banking, or transplantation of
cadaveric organs, eyes, or tissue for donation and transplantation. This
provision is intended to address situations in which an individual has
not previously indicated whether he or she seeks to donate organs, eyes,
or tissues (and therefore authorized release of protected health
information for this purpose). In such situations, this provision is
intended to allow covered entities to initiate contact with organ and
tissue donation and transplantation organizations to facilitate
transplantation of cadaveric organs, eyes, and tissues.
**Disclosures and Uses for Government Health Data Systems**
In the NPRM we proposed to permit covered entities to disclose protected
health information to a government agency, or to a private entity acting
on behalf of a government agency, for inclusion in a government health
data system collecting health data for analysis in support of policy,
planning, regulatory, or management functions authorized by law. The
NPRM stated that when a covered entity was itself a government agency
collecting health data for these functions, it could use protected
health information in all cases for which it was permitted to disclose
such information to government health data systems.
In the final rule, we eliminate the provision that would have allowed
covered entities to disclose protected health information to government
health data systems without authorization. Thus, under the final rule,
covered entities cannot disclose protected health information without
authorization to government health data systems -- or to private health
data systems -- unless the disclosure is permissible under another
provision of the rule.
**Disclosures for Payment Processes**
In the NPRM we proposed to permit covered entities to disclose, in
connection with routine banking activities or payment by debit, credit,
or other payment card, or other payment means, the minimum amount of
protected health information necessary to complete a banking or payment
activity to financial institutions or to entities acting on behalf of
financial institutions to authorize, process, clear, settle, bill,
transfer, reconcile, or collect payments for financial institutions.
The preamble to the NPRM clarified the proposed rule's intent regarding
disclosure of diagnostic and treatment information along with payment
information to financial institutions. The preamble to the proposed rule
said that diagnostic and treatment information never was necessary to
process a payment transaction. The preamble said we believed that in
most cases, the permitted disclosure would include only: (1) the name
and address of the account holder; (2) the name and address of the payor
or provider; (3) the amount of the charge for health services; (4) the
date on which health services were rendered; (5) the expiration date for
the payment mechanism, if applicable; and (6) the individual's
signature. The preamble noted that the proposed regulation text did not
include an exclusive list of information that could lawfully be
disclosed to process payments, and it solicited comments on whether more
elements would be needed for banking and payment transactions and on
whether including a specific list of protected health information that
could be disclosed was an appropriate approach.
The preamble also noted that under section 1179 of HIPAA, certain
activities of financial institutions were exempt from this rule, to the
extent that these activities constituted authorizing, processing,
clearing, settling, billing, transferring, reconciling, or collecting
payments for health care or health plan premiums.
In the final rule, we eliminate the NPRM's provision on "banking and
payment processes." All disclosures that would have been allowed
pursuant to proposed § 164.510(i) are allowed under § 164.502(a) of the
final rule, regarding disclosure for payment purposes.
**Section 164.512(i)---Uses and Disclosures for Research Purposes**
The NPRM would have permitted covered entities to use and disclose
protected health information for research--regardless of funding
source--without individual authorization, provided that the covered
entity obtained documentation of the following:
\(1\) a waiver, in whole or in part, of authorization for the use or
disclosure of protected health information was approved by an
Institutional Review Board (IRB) or a privacy board that was composed as
stipulated in the proposed rule;
\(2\) the date of approval of the waiver, in whole or in part, of
authorization by an IRB or privacy board;
\(3\) the IRB or privacy board had determined that the waiver, in whole
or in part satisfied the following criteria:
\(i\) the use or disclosure of protected health information involves no
more than minimal risk to the subjects;
\(ii\) the waiver will not adversely affect the rights and welfare of
the subjects;
\(iii\) the research could not practicably be conducted without the
waiver;
\(iv\) whenever appropriate, the subjects will be provided with
additional pertinent information after participation;
\(v\) the research could not practicably be conducted without access to
and use of the protected health information;
\(vi\) the research is of sufficient importance so as to outweigh the
intrusion of the privacy of the individual whose information is subject
to the disclosure;
\(vii\) there is an adequate plan to protect the identifiers from
improper use and disclosure; and
\(viii\) there is an adequate plan to destroy the identifiers at the
earliest opportunity consistent with the conduct of the research, unless
there is a health or research justification for retaining the
identifiers; and
\(4\) the written documentation was signed by the chair of, as
applicable, the IRB or the privacy board.
The NPRM also proposed that IRBs and privacy boards be permitted to
adopt procedures for "expedited review" similar to those provided in the
Common Rule (Common Rule § \_\_\_\_.110) for records research that
involved no more than minimal risk. However, this provision for
expedited review was not included in the proposed regulation text.
The board that would determine whether the research protocol met the
eight specified criteria for waiving the patient authorization
requirements (described above), could have been an IRB constituted as
required by the Common Rule, or a privacy board, whose proposed
composition is described below. The NPRM proposed no requirements for
the location or sponsorship of the IRB or privacy board. Under the NPRM,
the covered entity could have created such a board and could have relied
on it to review research proposals for uses and disclosures of protected
health information for research. A covered entity also could have relied
on the necessary documentation from an outside researcher's own
university IRB or privacy board. In addition, a covered entity could
have engaged the services of an outside IRB or privacy board to obtain
the necessary documentation.
Absent documentation that the requirements described above had been met,
the NPRM would have required individuals' authorization for the use or
disclosure of protected health information for research, pursuant to the
authorization requirements in proposed § 164.508. For research conducted
with patient authorization, documentation of IRB or privacy board
approval would not have been required.
The final rule retains the NPRM's proposed framework for permitting uses
and disclosures of protected health information for research purposes,
although we are making several important changes for the final rule.
These changes are discussed below:
***Documentation Requirements of IRB or Privacy Board Approval of
Waiver***
The final rule retains these documentation requirements, but modifies
some of them and includes two additional documentation requirements. The
final rule's modifications to the NPRM's proposed documentation
requirements are described first, followed by a description of the three
documentation requirements added in the final rule.
The final rule makes the following modifications to the NPRM's proposed
documentation requirements for the waiver of individual authorization:
1\. *IRB and privacy board membership*. The NPRM stipulated that to meet
the requirements of proposed § 164.510(j), the documentation would need
to indicate that the IRB had been composed as required by the Common
Rule (§ \_\_\_.107), and the privacy board had been composed as follows:
"(A) Has members with varying backgrounds and appropriate professional
competency as necessary to review the research protocol; (B) Includes at
least one member who is not affiliated with the entity conducting the
research, or related to a person who is affiliated with such entity; and
(C) Does not have any member participating in a review of any project in
which the member has a conflict of interest" (§ 164.510(j)(1)(ii)).
The final rule modifies the first of the requirements for the
composition of a privacy board to focus on the effect of the research
protocol on the individual's privacy rights and related interests.
Therefore, under the final rule, the required documentation must
indicate that the privacy board has members with varying backgrounds and
appropriate professional competency as necessary to review the effect of
the research protocol on the individual's privacy rights and related
interests.
In addition, the final rule further restricts the NPRM's proposed
requirement that the privacy board include at least one member who was
not affiliated with the entity conducting the research, or related to a
person who is affiliated with such entity. Under the final rule, the
board must include at least one member who is not affiliated with the
covered entity, not affiliated with any entity conducting or sponsoring
the research, and not related to any person who is affiliated with such
entities.
The other documentation requirements for the composition of an IRB and
privacy board remain the same.
2\. *Waiver of authorization criteria*. The NPRM proposed to prohibit
the use or disclosure of protected health information for research
without individual authorization as stipulated in proposed § 164.508
unless the covered entity had documentation indicating that an IRB or
privacy board had determined that the following waiver criteria had been
met:
\(i\) the use or disclosure of protected health information involves no
more than minimal risk to the subjects;
\(ii\) the waiver will not adversely affect the rights and welfare of
the subjects;
\(iii\) the research could not practicably be conducted without the
waiver;
\(iv\) whenever appropriate, the subjects will be provided with
additional pertinent information after participation;
\(v\) the research could not be practicably be conducted without access
to and use of the protected health information;
\(vi\) the research is of sufficient importance so as to outweigh the
intrusion of the privacy of the individual whose information is subject
to the disclosure;
\(vii\) there is an adequate plan to protect the identifiers from
improper use and disclosure; and
\(viii\) there is an adequate plan to destroy the identifiers at the
earliest opportunity consistent with the conduct of the research, unless
there is a health or research justification for retaining the
identifiers.
The final rule continues to permit the documentation of IRB or privacy
board approval of a waiver of an authorization as required by § 164.508,
to indicate that only some or all of the § 164.508 authorization
requirements have been waived. In addition, the final rule clarifies
that the documentation of IRB or privacy board approval may indicate
that the authorization requirements have been altered. Also, for all of
the proposed waiver of authorization criteria that used the term
"subject," we replace this term with the term "individual" in the final
rule.
In addition, the final rule (1) eliminates proposed waiver criterion iv,
(2) modifies proposed waiver criteria ii, iii, vi, and viii, and (3)
adds a waiver criterion.
Proposed waiver criterion ii (waiver criterion § 164.512(i)(2)(ii)(B) in
the final rule) is revised as follows to focus more narrowly on the
privacy interests of individuals, and to clarify that it also pertains
to alterations of individual authorization: "the alteration or waiver
will not adversely affect the privacy rights and the welfare of the
individuals." Under criterion § 164.512(i)(2)(ii)(B), the question is
whether the alteration or waiver of individual authorization would
adversely affect the privacy rights and the welfare of individuals, not
whether the research project itself would adversely affect the privacy
rights or the welfare of individuals.
Proposed waiver criterion iii (waiver criterion § 164.512(i)(2)(ii)(C)
in the final rule) is revised as follows to clarify that it also
pertains to alterations of individual authorization: "the research could
not practicably be conducted without the alteration or waiver."
Proposed waiver criterion vi (waiver criterion § 164.512(i)(2)(ii)(E) in
the final rule) is revised as follows to be more consistent with one of
the Common Rule's requirements for the approval of human subjects
research (Common Rule, § \_\_\_.111(a)(2)): "the privacy risks to
individuals whose protected health information is to be used or
disclosed are reasonable in relation to anticipated benefits if any to
individuals, and the importance of the knowledge that may reasonably be
expected to result from the research." Under criterion §
164.512(i)(2)(ii)(E), the question is whether the risks to an
individual's privacy from participating in the research are reasonable
in relation to the anticipated benefits from the research. This
criterion is unlike waiver criterion § 164.512(i)(2)(ii)(B) in that it
focuses on the privacy risks and benefits of the research project more
broadly, not on the waiver of individual authorization.
Proposed waiver criterion viii (waiver criterion § 164.512(i)(2)(ii)(G)
in the final rule) is revised as follows: "there is an adequate plan to
destroy the identifiers at the earliest opportunity consistent with the
conduct of the research, unless there is a health or research
justification for retaining the identifiers, or such retention is
otherwise required by law."
In addition, the final rule includes another waiver criterion: waiver
criterion § 164.512(i)(2)(ii)(H). The NPRM proposed no restriction on a
researchers' further use or disclosure of protected health information
that had been received under proposed § 164.510(j). The final rule
requires that the covered entity obtain written agreement from the
person or entity receiving protected health information under §
164.512(i) not to re-use or disclose protected health information to any
other person or entity, except: (1) as required by law, (2) for
authorized oversight of the research project, or (3) for other research
for which the use or disclosure of protected health information would be
permitted by this subpart. For instance, in assessing whether this
criterion has been met, we encourage IRBs and privacy boards to obtain
adequate assurances that the protected health information will not be
disclosed to an individual's employer for employment decisions without
the individual's authorization.
3\. *Required signature.* The rule broadens the types of individuals who
are permitted to sign the required documentation of IRB or privacy board
approval. The final rule requires the documentation of the alteration or
waiver of authorization to be signed by (1) the chair of, as applicable,
the IRB or the privacy board, or (2) a member of the IRB or privacy
board, as applicable, who is designated by the chair to sign the
documentation.
Furthermore, the final rule makes the following three additions to the
proposed documentation requirements for the alteration or waiver of
authorization:
1\. *Identification of the IRB or privacy board.* The NPRM did not
propose that the documentation of waiver include a statement identifying
the IRB or privacy board that approved the waiver of authorization. In
the final rule we require that such a statement be included in the
documentation of alteration or waiver of individual authorization. By
this requirement we mean that the name of the IRB or privacy board must
be included in such documentation, not the names of individual members
of the board.
2\. *Description of protected health information approved for use or
disclosure*. The NPRM did not propose that the documentation of waiver
include a description of the protected health information that the IRB
or privacy board had approved for use or disclosure without individual
authorization. In considering waiver of authorization criterion §
164.512(i)(2)(ii)(D), we expect the IRB or privacy board to consider the
amount of information that is minimally needed for the study. The final
rule requires that the documentation of IRB or privacy board approval of
the alteration or waiver of authorization describe the protected health
information for which use or access has been determined to be necessary
for the research by the IRB or privacy board. For example, if the IRB or
privacy board approves only the use or disclosure of certain information
from patients' medical records, and not patients' entire medical record,
this must be stated on the document certifying IRB or privacy board
approval.
3\. *Review and approval procedures.* The NPRM would not have required
documentation of IRBs' or privacy boards' review and approval
procedures. In the final rule, the documentation of the alteration or
waiver of authorization must state that the alteration or waiver has
been reviewed and approved by: (1) an IRB that has followed the voting
requirements stipulated in the Common Rule (§ \_\_\_.108(b)), or the
expedited review procedures as stipulated in § \_\_\_.110(b); or (2) a
privacy board that has reviewed the proposed research at convened
meetings at which a majority of the privacy board members are present,
including at least one member who is not affiliated with the covered
entity, not affiliated with any entity conducting or sponsoring the
research, and not related to any person who is affiliated with any such
entities, and the alteration or waiver of authorization is approved by
the majority of privacy board members present at the meeting, unless an
expedited review procedure is used.
For documentation of IRB approval that used an expedited review
procedure, the covered entity must ensure that the documentation
indicates that the IRB followed the expedited review requirements of the
Common Rule (§ \_\_\_.110). For documentation of privacy board approval
that used an expedited review procedure, the covered entity must ensure
that the documentation indicates that the privacy board met the
expedited review requirements of the privacy rule. In the final rule, a
privacy board may use an expedited review procedure if the research
involves no more than minimal risk to the privacy of the individuals who
are the subject of the protected health information for which disclosure
is being sought. If a privacy board elects to use an expedited review
procedure, the review and approval of the alteration or waiver of
authorization may be carried out by the chair of the privacy board, or
by one or more members of the privacy board as designated by the chair.
Use of the expedited review mechanism permits review by a single member
of the IRB or privacy board, but continues to require that the covered
entity obtain documentation that all of the specified waiver criteria
have been met.
***Reviews Preparatory to Research***
Under the NPRM, if a covered entity used or disclosed protected health
information for research, but the researcher did not record the
protected health information in a manner that persons could be
identified, such an activity would have constituted a research use or
disclosure that would have been subject to either the individual
authorization requirements of proposed § 164.508 or the documentation of
the waiver of authorization requirements of proposed § 164.510(j).
The final rule permits the use and disclosure of protected health
information for research without requiring authorization or
documentation of the alteration or waiver of authorization, if the
research is conducted in such a manner that only de-identified protected
health information is recorded by the researchers and the protected
health information is not removed from the premises of the covered
entity. For such uses and disclosures of protected health information,
the final rule requires that the covered entity obtain from the
researcher representations that use or disclosure is sought solely to
review protected health information as necessary to prepare a research
protocol or for similar purposes preparatory to research, no protected
health information is to be removed from the covered entity by the
researcher in the course of the review, and the protected health
information for which use or access is sought is necessary for the
research purposes. The intent of this provision is to permit covered
entities to use and disclose protected health information to assist in
the development of a research hypothesis and aid in the recruitment of
research participants. We understand that researchers sometimes require
access to protected health information to develop a research protocol,
and to determine whether a specific covered entity has protected health
information of prospective research participants that would meet the
eligibility criteria for enrollment into a research study. Therefore,
this provision permits covered entities to use and disclose protected
health information for these preliminary research activities without
individual authorization and without documentation that an IRB or
privacy board has altered or waived individual authorization.
***Research on Protected Health Information of the Deceased***
The NPRM would have permitted the use and disclosure of protected health
information of deceased persons for research without the authorization
of a legal representative, and without the requirement for written
documentation of IRB or privacy board approval in proposed § 164.510(j).
In the final rule, we retain the exception for uses and disclosures for
research purposes but in addition require that the covered entity take
certain protective measures prior to release of the decedent's protected
health information for such purposes. Specifically, the final rule
requires that the covered entity obtain representation that the use or
disclosure is sought solely for research on the protected health
information of decedent, and representation that the protected health
information for which use or disclosure is sought is necessary for the
research purposes. In addition, the final rule allows covered entities
to request from the researcher documentation of the death of the
individuals about whom protected health information is being sought.
***Good Faith Reliance***
The final rule clarifies that covered entities are allowed to rely on
the IRB's or privacy board's representation that the research proposal
meets the documentation requirements of § 164.512(i)(1)(i) and the
minimum necessary requirements of § 164.514.
In addition, when using or disclosing protected health information for
reviews preparatory to research (§ 164.512(i)(1)(ii)) or for research
solely on the protected health information of decedents (§
164.512)(1)(iii)), the final rule clarifies that the covered entity may
rely on the requesting researcher's representation that the purpose of
the request is for one of these two purpose, and that the request meets
the minimum necessary requirements of § 164.514. Therefore, the covered
entity has not violated the rule if the requesting researcher
misrepresents his or her intended use of the protected health
information to the covered entity.
***Additional Research Provisions***
*Research Including Treatment*
To the extent that a researcher provided treatment to persons as part of
a research study, the NPRM would have covered such researchers as health
care providers for purposes of that treatment, and required that the
researcher comply with all of the provisions of the rule that would be
applicable to health care providers. The final rule retains this
requirement.
*Individual Access to Research Information*
Under proposed § 164.514, the NPRM would have applied the proposed
provision regarding individuals' access to records to research that
includes the delivery of treatment. The NPRM proposed an exception to
individuals' right to access protected health information for clinical
trials, where (1) protected health information was obtained by a covered
entity in the course of clinical trial, (2) the individual agreed to the
denial of access when consenting to participate in the trial (if the
individual's consent to participate was obtained), and (3) the trial was
still in progress.
Section 164.524 of the final rule retains this exception to access for
research that includes treatment. In addition, the final rule requires
that participants in such research be informed that their right of
access to protected health information about them will be reinstated
once the research is complete.
*Obtaining the Individual's Authorization for Research*
The NPRM would have required covered entities obtaining individuals'
authorization for the use or disclosure of information for research to
comply with the requirements applicable to individual authorization for
the release of protected health information (proposed § 164.508(a)(2)).
If an individual had initiated the use or disclosure of his/her
protected health information for research, or any other purpose, the
covered entity would have been required to obtain a completed
authorization for the use or disclosure of protected health information
as proposed in § 164.508(c).
The final rule retains these requirements for research conducted with
authorization, as required by § 164.508. In addition, for the use and
disclosure of protected health information created by a covered entity
for the purpose, in whole or in part, of research that includes
treatment of the individual, the covered entity must meet the
requirements of § 164.508(f).
*Interaction with the Common Rule*
The NPRM stated that the proposed rule would not override the Common
Rule. Where both the NPRM and the Common Rule would have applied to
research conducted by the covered entity--either with or without
individuals' authorization--both sets of regulations would have needed
to be followed. This statement remains true in the final rule. In
addition, we clarify that FDA's human subjects regulations must also be
followed if applicable.
**Section 164.512(j)---Uses and Disclosures to Avert a Serious Threat to
Health or Safety**
In the NPRM we proposed to allow covered entities to use or disclose
protected health information without individual authorization --
consistent with applicable law and ethics standards -- based on a
reasonable belief that use or disclosure of the protected health
information was necessary to prevent or lessen a serious and imminent
threat to health or safety of an individual or of the public. Pursuant
to the NPRM, covered entities could have used or disclosed protected
health information in these emergency circumstances to a person or
persons reasonably able to prevent or lessen the threat, including the
target of the threat. The NPRM stated that covered entities that made
disclosures in these circumstances were presumed to have acted under a
reasonable belief if the disclosure was made in good faith, based on
credible representation by a person with apparent knowledge or
authority. The NPRM did not include verification requirements specific
to this paragraph.
In § 164.512(j) of the final rule, we retain the NPRM's approach to uses
and disclosures made to prevent or lessen serious and imminent threats
to health or safety, as well as its language regarding the presumption
of good faith. We also clarify that: (1) rules governing these
situations, which the NPRM referred to as "emergency circumstances," are
not intended to apply to emergency care treatment, such as health care
delivery in a hospital emergency room; and (2) the "presumption of good
faith belief" is intended to apply only to this provision and not to all
disclosures permitted without individual authorization. The final rule
allows covered entities to use or disclose protected health information
without an authorization on their own initiative in these circumstances,
when necessary to prevent or lessen a serious and imminent threat,
consistent with other applicable ethical or legal standards.
The rule's approach is consistent with the "duty to warn" third persons
at risk, which has been established through case law. In *Tarasoff v.
Regents of the University of California* (17 Cal. 3d 425 (1976)), the
Supreme Court of California found that when a therapist's patient had
made credible threats against the physical safety of a specific person,
the therapist had an obligation to use reasonable care to protect the
intended victim of his patient against danger, including warning the
victim of the danger. Many states have adopted, through either statutory
or case law, versions of the *Tarasoff* duty to warn. The rule is not
intended to create a duty to warn or disclose. Rather, it permits
disclosure to avert a serious and imminent threat to health or safety
consistent with other applicable legal or ethical standards. If
disclosure in these circumstances is prohibited by state law, this rule
would not allow the disclosure.
As indicated above, in some situations (for example, when a person is
both a fugitive and a victim and thus covered entities could disclose
protected health information pursuant either to § 164.512(f)(2)
regarding fugitives or to § 164.512(f)(3) establishing conditions for
disclosure about victims), more than one section of this rule
potentially could apply with respect to a covered entity's potential
disclosure of protected health information. Similarly, in situations
involving a serious and imminent threat to public health or safety, law
enforcement officials may be seeking protected health information from
covered entities to locate a fugitive. In the final rule, we clarify
that if a situation fits one section of the rule (for example, §
164.512(j) on serious and imminent threats to health or safety), covered
entities may disclose protected health information pursuant to that
section, regardless of whether the disclosure also could be made
pursuant to another section (e.g., § 164.512(f)), regarding disclosure
to law enforcement officials).
The proposed rule did not address situations in which covered entities
could make disclosures to law enforcement officials about oral
statements admitting participation in violent conduct or about escapees.
In the final rule we permit, but do not require, covered entities to use
or disclose protected health information, consistent with applicable law
and standards of ethical conduct, in specific situations in which the
covered entity, in good faith, believes the use or disclosure is
necessary to permit law enforcement authorities to identify or apprehend
an individual. Under paragraph (j)(1)(ii)(A) of this section, a covered
entity may take such action because of a statement by an individual
admitting participation in a violent crime that the covered entity
reasonably believes may have resulted in serious physical harm to the
victim. The protected health information that is disclosed in this case
is limited to the statement and to the protected health information
included under the limited identifying and location information in §
164.512(f)(2), such as name, address, and type of injury. Under
paragraph (j)(1)(ii)(B) of this section, a covered entity may take such
action where it appears from all the circumstances that the individual
has escaped from a correctional institution or from lawful custody.
A disclosure may not be made under paragraph (j)(1)(ii)(A) for a
statement admitting participation in a violent crime if the covered
entity learns the information in the course of counseling or therapy.
Similarly, such a disclosure is not permitted if the covered entity
learns the information in the course of treatment to affect the
propensity to commit the violent crimes that are described in the
individual\'s statements. We do not intend to discourage individuals
from speaking accurately in the course of counseling or therapy
sessions, or to discourage other treatment that specifically seeks to
reduce the likelihood that someone who has acted violently in the past
will do so again in the future. This prohibition on disclosure is
triggered once an individual has made a request to initiate or be
referred to such treatment, therapy, or counseling.
The provision permitting use and disclosure has been added in light of
the broadened definition in the final rule of protected health
information. Under the NPRM, protected health information meant
individually identifiable health information that is or has been
electronically transmitted or electronically maintained by a covered
entity. Under the final rule, protected health information includes
information transmitted by electronic media as well as such information
transmitted or maintained in any other form or medium. The new
definition includes oral statements to covered entities as well as
individually identifiable health information transmitted \"in any other
form.\"
The definition of protected health information, for instance, would now
apply to a statement by a patient that is overheard by a hospital
security guard in a waiting room. Such a statement would have been
outside the scope of the proposed rule (unless it was memorialized in an
electronic record), but is within the scope of the final rule. For the
example with the hospital guard, the new provision permitting disclosure
of a statement by an individual admitting participation in a violent
crime would have the same effect as the proposed rule \-- the statement
could be disclosed to law enforcement, so long as the other aspects of
the regulation are followed. Similarly, where it appears from all the
circumstances that the individual has escaped from prison, the expanded
definition of protected health information should not prevent the
covered entity from deciding to report this information to law
enforcement.
The disclosures that covered entities may elect to make under this
paragraph are entirely at their discretion. These disclosures to law
enforcement are in addition to other disclosure provisions in the rule.
For example, under paragraph § 164.512(f)(2) of this section, a covered
entity may disclose limited categories of protected health information
in response to a request from a law enforcement official for the purpose
of identifying or locating a suspect, fugitive, material witness, or
missing person. Paragraph § 164.512(f)(1) of this section permits a
covered entity to make disclosures that are required by other laws, such
as state mandatory reporting laws, or are required by legal process such
as court orders or grand jury subpoena.
**Section 164.512(k)---Uses and Disclosures for Specialized Government
Functions**
***Application to Military Services***
In the NPRM we would have permitted a covered entity providing health
care to Armed Forces personnel to use and disclose protected health
information for activities deemed necessary by appropriate military
command authorities to assure the proper execution of the military
mission, where the appropriate military authority had published by
notice in the *Federal Register* (In the NPRM, we proposed that the
Department of Defense would publish this *Federal Register* notice in
the future.) The final rule takes a similar approach while making some
modifications to the NPRM. One modification concerns the information
that will be required in the *Federal Register* notice. The NPRM would
have required a listing of (i) appropriate military command authorities;
(ii) the circumstances for which use or disclosure without individual
authorization would be required; and (iii) activities for which such use
or disclosure would occur in order to assure proper execution of the
military mission. In the final rule, we eliminate the third category and
also slightly modify language in the second category to read: "the
purposes for which the protected health information may be used or
disclosed."
An additional modification concerns the rule's application to foreign
military and diplomatic personnel. The NPRM would have excluded foreign
diplomatic and military personnel, as well as their dependents, from the
proposed definition of "individual," thereby excluding any protected
health information created about these personnel from the NPRM's privacy
protections. Foreign military and diplomatic personnel affected by this
provision include, for example, allied military personnel who are in the
United States for training. The final rule applies a more limited
exemption to foreign military personnel only (Foreign diplomatic
personnel will have the same protections granted to all other
individuals under the rule). Under the final rule, foreign military
personnel are not excluded from the definition of "individual." Covered
entities will be able to use and disclose protected health information
of foreign military personnel to their appropriate foreign military
authority for the same purposes for which uses and disclosures are
permitted for U.S. Armed Forces personnel under the notice to be
published in the *Federal Register*. Foreign military personnel do have
the same rights of access, notice, right to request privacy protection,
copying, amendment, and accounting as do other individuals pursuant to
§§ 164.520-164.526 (sections on access, notice, right to request privacy
protection for protected health information, amendment, inspection,
copying) of the rule.
The NPRM likewise would have exempted overseas foreign national
beneficiaries from the proposed rule's requirements by excluding them
from the definition of "individual." Under the final rule, these
beneficiaries no longer are exempt from the definition of "individual."
However, the rule's provisions do not apply to the individually
identifiable health information of overseas foreign nationals who
receive care provided by the Department of Defense, other federal
agencies, or by non-governmental organizations incident to U.S.
sponsored missions or operations.
The final rule includes a new provision to address separation or
discharge from military service. The preamble to the NPRM noted that
upon completion of individuals' military service, DOD and the Department
of Transportation routinely transfer entire military service records,
including protected health information to the Department of Veterans
Affairs so that the file can be retrieved quickly if the individuals or
their dependents apply for veterans benefits. The NPRM would have
required consent for such transfers. The final rule no longer requires
consent in such situations. Thus, under the final rule, a covered entity
that is a component of DOD or the Department of Transportation may
disclose to DVA the protected health information of an Armed Forces
member upon separation or discharge from military service for the
purpose of a determination by DVA of the individual's eligibility for or
entitlement to benefits under laws administered by the Secretary of
Veterans Affairs.
*Department of Veterans Affairs*
Under the NPRM, a covered entity that is a component of the Department
of Veterans Affairs could have used and disclosed protected health
information to other components of the Department that determine
eligibility for, or entitlement to, or that provide benefits under the
laws administered by the Secretary of Veterans Affairs. In the final
rule, we retain this approach.
*Application to Intelligence Community*
The NPRM would have provided an exemption from its proposed requirements
to the intelligence community. As defined in section 4 of the National
Security Act, 50 U.S.C. 401a, the intelligence community includes: the
Office of the Director of Central Intelligence Agency; the Office of the
Deputy Director of Central Intelligence; the National Intelligence
Council and other such offices as the Director may designate; the
Central Intelligence Agency; the National Security Agency; the Defense
Intelligence Agency; the National Imagery and Mapping Agency ; the
National Reconnaissance Office; other offices within the DOD for the
collection of specialized national intelligence through reconnaissance
programs; the intelligence elements of the Army, the Navy, the Air
Force, the Marine Corps, the Federal Bureau of Investigation, the
Department of the Treasury, and the Department of Energy; the Bureau of
Intelligence and Research of the Department of State; and such other
elements of any other department or agency as may be designated by the
President, or designated jointly by the Director of Central Intelligence
and the head of the department or agency concerned, as an element of the
intelligence community. It would have allowed a covered entity to use
without individual authorization protected health information of
employees of the intelligence community, and of their dependents, if
such dependents were being considered for posting abroad. The final rule
does not include such an exemption. Rather, the final rule does not
except intelligence community employees and their dependents from the
general rule requiring an authorization in order for protected health
information to be used and disclosed.
***National Security and Intelligence Activities***
The NPRM included a provision, in § 164.510(f) -- Disclosure for Law
Enforcement Purposes -- that would allow covered entities to disclose
protected health information without consent for the conduct of lawful
intelligence activities under the National Security Act, and in
connection with providing protective services to the President or to
foreign heads of state pursuant to 18 U.S.C. 3056 and 22 U.S.C.
2709(a)(3) respectively. The final rule preserves these exemptions, with
slight modifications, but moves them from proposed § 164.510(f) to §
164.512(k). It also divides this area into two paragraphs -- one called
\"National Security and Intelligence Activities\" and the second called
\"Protective services for the President and Others.\"
The final rule, with modifications, allows a covered entity to disclose
protected health information to an authorized federal official for the
conduct of lawful intelligence, counter-intelligence, and other national
security activities authorized by the National Security Act and
implementing authority (e.g., Executive Order 1233). The references to
"counter-intelligence and other national security activities" are new to
the final rule. The reference to "implementing authority (e.g. Executive
Order 12333)" is also new. The final rule also adds specificity to the
provision on protective services. It states that a covered entity may
disclose protected health information to authorized federal officials
for the provision of protective services to the President or other
persons as authorized by 18 U.S.C. 3056, or to foreign heads of state or
other persons as authorized by 22 U.S.C. 2709(a)(3), or for the conduct
of investigations authorized by 18 U.S.C. 871 and 879.
***Application to the State Department***
The final rule creates a narrower exemption for Department of State for
uses and disclosures of protected health information (1) for purposes of
a required security clearance conducted pursuant to Executive Orders
10450 and 12698; (2) as necessary to meet the requirements of
determining worldwide availability or availability for mandatory service
abroad under Sections 101(a)(4) and 504 of the Foreign Service Act; and
(3) for a family member to accompany a Foreign Service Officer abroad,
consistent with Section 101(b)(5) and 904 of the Foreign Service Act.
Regarding security clearances, nothing prevents any employer from
requiring that individuals provide authorization for the purpose of
obtaining a security clearance. For the Department of the State,
however, the final rule provides a limited exemption that allows a
component of the Department of State without an authorization to (1) use
protected health information to make medical suitability determinations
and (2) to disclose whether or not the individual was determined to be
medically suitable to authorized officials in the Department of State
for the purpose of a security clearance investigation conducted pursuant
to Executive Order 10450 and 12698.
Sections 101(a)(4) and 504 of the Foreign Service Act require that
Foreign Service members be available to serve in assignments throughout
the world. The final rule permits disclosures to officials who need
protected health information to determine availability for duty
worldwide.
Section 101(b)(5) of the Foreign Service Act requires the Department of
State to mitigate the impact of hardships, disruptions, and other
unusual conditions on families of Foreign Service Officers. Section 904
requires the Department to establish a health care program to promote
and maintain the physical and mental health of Foreign Service member
family members. The final rule permits disclosure of protected health
information to officials who need protected health information for a
family member to accompany a Foreign Service member abroad.
This exemption does not permit the disclosure of specific medical
conditions, diagnoses, or other specific medical information. It permits
only the disclosure of the limited information needed to determine
whether the individual should be granted a security clearance or whether
the Foreign Service member of his or her family members should be posted
to a certain overseas assignment.
***Application to Correctional Facilities***
The NPRM would have excluded the individually identifiable health
information of correctional facility inmates and detention facility
detainees from the definition of protected health information. Thus,
none of the NPRM's proposed privacy protections would have applied to
correctional facility inmates or to detention facility detainees while
they were in these facilities or after they had been released.
The final rule takes a different approach. First, to clarify that we are
referring to individuals who are incarcerated in correctional facilities
that are part of the criminal justice system or in the lawful custody of
a law enforcement official -- and not to individuals who are "detained"
for non-criminal reasons, for example, in psychiatric institutions -- §
164.512(k) covers disclosure of protected health information to
correctional institutions or law enforcement officials having such
lawful custody. In addition, where a covered health care provider is
also a health care component of a correctional institution, the final
rule permits the covered entity to use protected health information in
all cases in which it is permitted to disclose such information.
We define correctional institution as defined pursuant to 42 U.S.C.
13725(b)(1), as a "prison, jail, reformatory, work farm, detention
center, or halfway house, or any other similar institution designed for
the confinement or rehabilitation of criminal offenders." The rules
regarding disclosure and use of protected health information specified
in § 164.512(k) cover individuals who are in transitional homes, and
other facilities in which they are required by law to remain for
correctional reasons and from which they are not allowed to leave. This
section also covers individuals who are confined to psychiatric
institutions for correctional reasons and who are not allowed to leave;
however, it does not apply to disclosure of information about
individuals in psychiatric institutions for treatment purposes only, who
are not there due to a crime or under a mandate from the criminal
justice system. The disclosure rules described in this section do not
cover release of protected health information about individuals in
pretrial release, probation, or on parole, such persons are not
considered to be incarcerated in a correctional facility.
As described in § 164.512(k), correctional facility inmates'
individually identifiable health information is not excluded from the
definition of protected health information. When individuals are
released from correctional facilities, they will have the same privacy
rights that apply to all other individuals under this rule.
Section 164.512(k) of the final rule states that while individuals are
in a correctional facility or in the lawful custody of a law enforcement
official, covered entities (for example, the prison's clinic) can use or
disclose protected health information about these individuals without
authorization to the correctional facility or the law enforcement
official having custody as necessary for: (1) the provision of health
care to such individuals; (2) the health and safety of such individual
or other inmates; (3) the health and safety of the officers of employees
of or others at the correctional institution; and (4) the health and
safety of such individuals and officers or other persons responsible for
the transporting of inmates or their transfer from one institution or
facility to another; (5) law enforcement on the premises of the
correctional institution; and (6) the administration and maintenance of
the safety, security, and good order of the correctional institution.
This section is intended to allow, for example, a prison's doctor to
disclose to a van driver transporting a criminal that the individual is
a diabetic and frequently has seizures, as well as information about the
appropriate action to take if the individual has a seizure while he or
she is being transported.
We permit covered entities to disclose protected health information
about these individuals if the correctional institution or law
enforcement official represents that the protected health information is
necessary for these purposes. Under 164.514(h), a covered entity may
reasonably rely on the representation of such public officials.
***Application to Public Benefits Programs Required to Share Eligibility
Information***
We create a new provision for covered entities that are a government
program providing public benefits. This provision allows the following
disclosures of protected health information.
First, where other law requires or expressly authorizes information
relating to the eligibility for, or enrollment in more than one public
program to be shared among such public programs and/or maintained in a
single or combined data system, a public agency that is administering a
health plan may maintain such a data base and may disclose information
relating to such eligibility or enrollment in the health plan to the
extent authorized by such other law.
Where another public entity has determined that the appropriate balance
between the need for efficient administration of public programs and
public funds and individuals' privacy interests is to allow information
sharing for these limited purposes, we do not upset that determination.
For example, section 1137 of the Social Security Act requires a variety
of public programs, including the Social Security program, state
medicaid programs, the food stamp program, certain unemployment
compensation programs, and others, to participate in a joint income and
eligibility verification system. Similarly, section 222 of the Social
Security Act requires the Social Security Administration to provide
information to certain state vocational rehabilitation programs for
eligibility purposes. In some instances, it is a covered entity that
first collects or creates the information that is then disclosed for
these systems. We do not prohibit those disclosures.
This does not authorize these entities to share information for claims
determinations or ongoing administration of these public programs. This
provision is limited to the agencies and activities described above.
Second, § 164.512(k)(6) permits a covered entity that is a government
agency administering a government program providing public benefits to
disclose protected health information relating to the program to another
covered entity that is a government agency administering a government
program providing public benefits if the programs serve the same or
similar populations and the disclosure of protected health information
is necessary to coordinate the covered functions of such programs.
The second provision permits covered entities that are government
program providing public benefits that serve the same or similar
populations to share protected health information for the purposes of
coordinating covered functions of the programs and for general
management and administration relating to the covered functions of the
programs. Often, similar government health programs are administered by
different government agencies. For example, in some states, the Medicaid
program and the State Children's Health Insurance Program are
administered by different agencies, although they serve similar
populations. Many states coordinate eligibility for these two programs,
and sometimes offer services through the same delivery systems and
contracts. This provision would permit the covered entities
administering these programs to share protected health information of
program participants to coordinate enrollment and services and to
generally improve the health care operations of the programs. We note
that this provision does not authorize the agencies to use or disclose
the protected health information that is shared for purposes other than
as provided for in this paragraph.
**Section 164.512(l)---Disclosures For Workers' Compensation**
The NPRM did not contain special provisions permitting covered entities
to disclose protected health information for the purpose of complying
with workers' compensation and similar laws. Under HIPAA, workers'
compensation and certain other forms of insurance (such as automobile or
disability insurance) are "excepted benefits." Insurance carriers that
provide this coverage are not covered entities even though they provide
coverage for health care services. To carry out their insurance
functions, these non-covered insurers typically seek individually
identifiable health information from covered health care providers and
group health plans. In drafting the proposed rule, the Secretary was
faced with the challenge of trying to carry out the statutory mandate of
safeguarding the privacy of individually identifiable health information
by regulating the flow of such information from covered entities while
at the same time respecting the Congressional intent to shield workers'
compensation carriers and other excepted benefit plans from regulation
as covered entities.
In the proposed rule we allowed covered entities to disclose protected
health information without individual consent for purposes of treatment,
payment or health care operations - even when the disclosure was to a
non-covered entity such as a workers' compensation carrier. In addition,
we allowed protected health information to be disclosed if required by
state law for purposes of determining eligibility for coverage or
fitness for duty. The proposed rule also required that whenever a
covered entity disclosed protected health information to a non-covered
entity, even though authorized under the rule, the individual who was
the subject of the information must be informed that the protected
health information was no longer subject to privacy protections.
Like other disclosures under the proposed rule, the information provided
to workers' compensation carriers for treatment, payment or health care
operations was subject to the minimum necessary standard. However, to
the extent that protected health information was disclosed to the
carrier because it was required by law, it was not subject to the
minimum necessary standard. In addition, individuals were entitled to an
accounting when protected health information was disclosed for purposes
other than treatment, payment or health care operations.
In the final rule, we include a new provision in this section that
clarifies the ability of covered entities to disclose protected health
information without authorization to comply with workers' compensation
and similar programs established by law that provide benefits for
work-related illnesses or injuries without regard to fault. Although
most disclosures for workers' compensation would be permissible under
other provisions of this rule, particularly the provisions that permit
disclosures for payment and as required by law, we are aware of the
significant variability among workers' compensation and similar laws,
and include this provision to ensure that existing workers' compensation
systems are not disrupted by this rule. We note that the minimum
necessary standard applies to disclosures under this paragraph.
Under this provision, a covered entity may disclose protected health
information regarding an individual to a party responsible for payment
of workers' compensation benefits to the individual, and to an agency
responsible for administering and /or adjudicating the individual's
claim for workers' compensation benefits. For purposes of this
paragraph, workers' compensation benefits include benefits under
programs such as the Black Lung Benefits Act, the federal Employees'
Compensation Act, the Longshore and Harbor Workers' Compensation Act,
and the Energy Employees' Occupational Illness Compensation Program Act.
***Additional Considerations***
We have included a general authorization for disclosures under workers'
compensation systems to be consistent with the intent of Congress, which
defined workers' compensation carriers as excepted benefits under HIPAA.
We recognize that there are significant privacy issues raised by how
individually identifiable health information is used and disclosed in
workers' compensation systems, and believe that states or the federal
government should enact standards that address those concerns.
**SECTION 164.514---OTHER PROCEDURAL REQUIREMENTS RELATING TO USES AND
DISCLOSURES OF PROTECTED HEALTH INFORMATION**
**Section 164.514(a)-(c)---De-identification**
In § 164.506(d) of the NPRM, we proposed that the privacy standards
would apply to "individually identifiable health information," and not
to information that does not identify the subject individual. The
statute defines individually identifiable health information as certain
health information:
\(i\) Which identifies the individual, or
> \(ii\) With respect to which there is a reasonable basis to believe
> that the information can be used to identify the individual.
As we pointed out in the NPRM, difficulties arise because, even after
removing obvious identifiers (e.g., name, social security number,
address), there is always some probability or risk that any information
about an individual can be attributed to that individual.
The NPRM proposed two alternative methods for determining when
sufficient identifying information has been removed from a record to
render the information de-identified and thus not subject to the rule.
First, the NPRM proposed the establishment of a "safe harbor": if all of
a list of 19 specified items of information had been removed, and the
covered entity had no reason to believe that the remaining information
could be used to identify the subject of the information (alone or in
combination with other information), the covered entity would have been
presumed to have created de-identified information. Second, the NPRM
proposed an alternative method so that covered entities with sufficient
statistical experience and expertise could remove or encrypt a
combination of information different from the enumerated list, using
commonly accepted scientific and statistical standards for disclosure
avoidance. Such covered entities would have been able to include
information from the enumerated list of 19 items if they (1) believed
that the probability of re-identification was very low, and (2) removed
additional information if they had a reasonable basis to believe that
the resulting information could be used to re-identify someone.
We proposed that covered entities and their business partners be
permitted to use protected health information to create de-identified
health information using either of these two methods. Covered entities
would have been permitted to further use and disclose such de-identified
information in any way, provided that they did not disclose the key or
other mechanism that would have enabled the information to be
re-identified, and provided that they reasonably believed that such use
or disclosure of de-identified information would not have resulted in
the use or disclosure of protected health information.
A number of examples were provided of how valuable such de-identified
information would be for various purposes. We expressed the hope that
covered entities, their business partners, and others would make greater
use of de-identified health information than they do today, when it is
sufficient for the purpose, and that such practice would reduce the
burden and the confidentiality concerns that result from the use of
individually identifiable health information for some of these purposes.
In §§ 164.514(a)-(c) of this final rule, we make several modifications
to the provisions for de-identification. First, we explicitly adopt the
statutory standard as the basic regulatory standard for whether health
information is individually identifiable health information under this
rule. Information is not individually identifiable under this rule if it
does not identify the individual, or if the covered entity has no
reasonable basis to believe it can be used to identify the individual.
Second, in the implementation specifications we reformulate the two ways
in which a covered entity can demonstrate that it has met the standard.
One way a covered entity may demonstrate that it has met the standard is
if a person with appropriate knowledge and experience applying generally
accepted statistical and scientific principles and methods for rendering
information not individually identifiable makes a determination that the
risk is very small that the information could be used, either by itself
or in combination with other available information, by anticipated
recipients to identify a subject of the information. The covered entity
must also document the analysis and results that justify the
determination. We provide guidance regarding this standard in our
responses to the comments we received on this provision.
We also include an alternate, safe harbor, method by which covered
entities can demonstrate compliance with the standard. Under the safe
harbor, a covered entity is considered to have met the standard if it
has removed all of a list of enumerated identifiers, and if the covered
entity has no actual knowledge that the information could be used alone
or in combination to identify a subject of the information. We note that
in the NPRM, we had proposed that to meet the safe harbor, a covered
entity must have "no reason to believe" that the information remained
identifiable after the enumerated identifiers were removed. In the final
rule, we have changed the standard to one of actual knowledge in order
to provide greater certainty to covered entities using the safe harbor
approach.
In the safe harbor, we explicitly allow age and some geographic location
information to be included in the de-identified information, but all
dates directly related to the subject of the information must be removed
or limited to the year, and zip codes must be removed or aggregated (in
the form of most 3-digit zip codes) to include at least 20,000 people.
Extreme ages of 90 and over must be aggregated to a category of 90+ to
avoid identification of very old individuals. Other demographic
information, such as gender, race, ethnicity, and marital status are not
included in the list of identifiers that must be removed.
The intent of the safe harbor is to provide a means to produce some
de-identified information that could be used for many purposes with a
very small risk of privacy violation. The safe harbor is intended to
involve a minimum of burden and convey a maximum of certainty that the
rules have been met by interpreting the statutory \"reasonable basis to
believe that the information can be used to identify the individual\" to
produce an easily followed, cook book approach.
Covered entities may use codes and similar means of marking records so
that they may be linked or later re-identified, if the code does not
contain information about the subject of the information (for example,
the code may not be a derivative of the individual's social security
number), and if the covered entity does not use or disclose the code for
any other purpose. The covered entity is also prohibited from disclosing
the mechanism for re-identification, such as tables, algorithms, or
other tools that could be used to link the code with the subject of the
information.
Language to clarify that covered entities may contract with business
associates to perform the de-identification has been added to the
section on business associates.
**Section 164.514(d)---Minimum Necessary**
The proposed rule required a covered entity to make all reasonable
efforts not to use or disclose more than the minimum amount of protected
health information necessary to accomplish the intended purpose of the
use or disclosure (proposed § 164.506(b)).
The proposed minimum necessary standard did not apply to uses or
disclosures that were made by covered entities at the request of the
individual, either to allow the individual access to protected health
information about him or her or pursuant to an authorization initiated
by the individual. The requirement also did not apply to uses and
disclosures made: pursuant to the compliance and enforcement provisions
of the rule; as required by law and permitted by the regulation without
individual authorization; by a covered health care provider to a health
plan, when the information was requested for audit and related purposes.
Finally, the standard did not apply to the HIPAA administrative
simplification transactions.
The proposed implementation specifications would have required a covered
entity to have procedures to: (i) identify appropriate persons within
the entity to determine what information should be used or disclosed
consistent with the minimum necessary standard; (ii) ensure that those
persons make the minimum necessary determinations, when required; and
(iii) within the limits of the entity's technological capabilities,
provide for the making of such determinations individually. The proposal
allowed a covered entity, when making disclosures to public officials
that were permitted without individual authorization but not required by
other law, to reasonably rely on the representations of such officials
that the information requested was the minimum necessary for the stated
purpose(s).
The preamble provided further guidance. The preamble explained that
covered entities could not have general policies of approving all
requests (or all requests of a particular type) without carefully
considering certain criteria (see "Criteria," below) as well as other
information specific to the request. The minimum necessary determination
would have needed to be consistent with and directly related to the
purpose of the use or disclosure. Where there was ambiguity regarding
the information to be used or disclosed, the preamble directed covered
entities to interpret the "minimum necessary" standard to "require" the
covered entity to make some effort to limit the amount of protected
health information used/disclosed.
The proposal would have required the minimum necessary determination to
take into consideration the ability of a covered entity to delimit the
amount of information used or disclosed. The preamble noted that these
determinations would have to be made under a reasonableness standard:
covered entities would be required to make reasonable efforts and to
incur reasonable expense to limit the use or disclosure. The
"reasonableness" of limiting particular uses or disclosures was to be
determined based on the following factors (which were not included in
the regulatory text):
a\. The extent to which the use or disclosure would extend the number of
persons with access to the protected health information.
b\. The likelihood that further uses or disclosures of the protected
health information could occur.
c\. The amount of protected health information that would be used or
disclosed.
d\. The importance of the use or disclosure.
e\. The potential to achieve substantially the same purpose with
de‑identified information. For disclosures, each covered entity would
have been required to have policies for determining when protected
health information must be stripped of identifiers.
f\. The technology available to limit the amount of protected health
information used/disclosed.
g\. The cost of limiting the use/disclosure.
h\. Any other factors that the covered entity believed were relevant to
the determination.
The proposal shifted the "minimum necessary" burden off of covered
providers when they were being audited by a health plan. The preamble
explained that the duty would have been shifted to the payor to request
the minimum necessary information for the audit purpose, although the
regulatory text did not include such a requirement. Outside of the audit
context, the preamble stated that a health plan would be required, when
requesting a disclosure, to limit its requests to the information
required to achieve the purpose of the request; the regulation text did
not include this requirement.
The preamble stated that disclosure of an entire medical record, in
response to a request for something other than the entire medical
record, would presumptively violate the minimum necessary standard.
This final rule significantly modifies the proposed requirements for
implementing the minimum necessary standard. For all uses and many
disclosures and requests for disclosures from other covered entities, we
require covered entities to implement policies and procedures for
"minimum necessary" uses and disclosures. Implementation of such
policies and procedures is required in lieu of making the "minimum
necessary" determination for each separate use or disclosure as
discussed in the proposal. Disclosures to or requests by a health care
provider for treatment purposes are not subject to the standard (see §
164.502).
Specifically (and as further described below), the proposed requirement
for individual review of all uses of protected health information is
replaced with a requirement for covered entities to implement policies
and procedures that restrict access and uses based on the specific roles
of members of the covered entity's workforce. Routine disclosures also
are not subject to individual review; instead, covered entities must
implement policies and procedures to limit the protected health
information in routine disclosures to the minimum necessary to achieve
the purpose of that type of disclosure. The proposed exclusion of
disclosures to health plans for audit purposes is deleted and replaced
with a general requirement that covered entities must limit requests to
other covered entities for individually identifiable health information
to what is reasonably necessary for the use or disclosure intended. The
other exclusions from the standard are unchanged from the proposed rule
(e.g., for individuals' access to information about themselves, pursuant
to an authorization initiated by the individual, for enforcement of this
rule, as required by law).
The language of the basic "standard" itself is largely unchanged;
covered entities must make reasonable efforts to use or disclose or to
request from another covered entity, only the minimum amount of
protected health information required to achieve the purpose of a
particular use or disclosure. We delete the word "all" from the
"reasonable efforts" that covered entities must take in making a
"minimum necessary" determination. The implementation specifications are
significantly modified, and differ based on whether the activity is a
use or disclosure.
Similarly, a "minimum necessary" disclosure for oversight purposes in
accordance with § 164.512(d) could include large numbers of records to
allow oversight agencies to perform statistical analyses to identify
deviations in payment or billing patterns, and other data analyses.
***Uses of Protected Health Information***
A covered entity must implement policies and procedures to identify the
persons or classes of persons in the entity's workforce who need access
to protected health information to carry out their duties, the category
or categories of protected health information to which such persons or
classes need access, and the conditions, as appropriate, that would
apply to such access. Covered entities must also implement policies and
procedures to limit access to only the identified persons, and only to
the identified protected health information. The policies and procedures
must be based on reasonable determinations regarding the persons or
classes of persons who require protected health information, and the
nature of the health information they require, consistent with their job
responsibilities.
For example, a hospital could implement a policy that permitted nurses
access to all protected health information of patients in their ward
while they are on duty. A health plan could permit its underwriting
analysts unrestricted access to aggregate claims information for rate
setting purposes, but require documented approval from its department
manager to obtain specific identifiable claims records of a member for
the purpose of determining the cause of unexpected claims that could
influence renewal premium rate setting.
The "minimum necessary"standard is intended to reflect and be consistent
with, not override, professional judgment and standards. For example, we
expect that covered entities will implement policies that allow persons
involved in treatment to have access to the entire record, as needed.
***Disclosures of Protected Health Information***
For any type of disclosure that is made on a routine, recurring basis, a
covered entity must implement policies and procedures (which may be
standard protocols) that permit only the disclosure of the minimum
protected health information reasonably necessary to achieve the purpose
of the disclosure. Individual review of each disclosure is not required.
Instead, under § 164.514(d)(3), these policies and procedures must
identify the types of protected health information to be disclosed, the
types of persons who would receive the protected health information, and
the conditions that would apply for such access. We recognize that
specific disclosures within a type may vary, and require that the
policies address what is the norm for the type of disclosure involved.
For example, a covered entity may decide to participate in research
studies and therefore establish a protocol to minimize the information
released for such purposes, e.g., by requiring researchers requesting
disclosure of data contained in paper-based records to review the paper
records on-site and to abstract only the information relevant to the
research. Covered entities must develop policies and procedures (which
may be standard protocols) to apply to disclosures to routinely hired
types of business associates. For instance, a standard protocol could
describe the subset of information that may be disclosed to medical
transcription services.
For non-routine disclosures, a covered entity must develop reasonable
criteria for determining, and limiting disclosure to, only the minimum
amount of protected health information necessary to accomplish the
purpose of the disclosure. They also must establish and implement
procedures for reviewing such requests for disclosures on an individual
basis in accordance with these criteria.
Disclosures to health care providers for treatment purposes are not
subject to these requirements.
Covered entities' policies and procedures must provide that disclosure
of an entire medical record will not be made except pursuant to policies
which specifically justify why the entire medical record is needed. For
instance, disclosure of all protected health information to an
accreditation group would not necessarily violate the regulation,
because the entire record may be the "minimum necessary" for its
purpose; covered entities may establish policies allowing for and
justifying such a disclosure. Disclosure of the entire medical record
absent such documented justification is a presumptive violation of this
rule.
***Requests for Protected Health Information***
For requests for protected health information from other covered
entities made on a routine, recurring basis, the requesting covered
entities' policies and procedures may establish standard protocols
describing what information is reasonably necessary for the purposes and
limiting their requests to only that information, in lieu of making this
determination individually for each request. For all other requests, the
policies and procedures must provide for review of the requests on an
individualized basis. A request by a covered entity may be made in order
to obtain information that will subsequently be disclosed to a third
party, for example, to obtain information that will then be disclosed to
a business associate for quality assessment purposes; such requests are
subject to this requirement.
Covered entities' policies and procedures must provide that requests for
an entire medical record will not be made except pursuant to policies
which specifically justify why the entire medical record is needed. For
instance, a health plan's request for all protected health information
from an applicant for insurance would not necessarily violate the
regulation, because the entire record may be the "minimum necessary" for
its purpose. Covered entities may establish policies allowing for and
justifying such a request. A request for the entire medical record
absent such documented justification is a presumptive violation of this
rule.
***Reasonable Reliance***
A covered entity may reasonably rely on the assertion of a requesting
covered entity that it is requesting the minimum protected health
information necessary for the stated purpose. A covered entity may also
rely on the assertions of a professional (such as attorneys and
accountants) who is a member of its workforce or its business associate
regarding what protected health information he or she needs in order to
provide professional services to the covered entity when such person
represents that the information requested is the minimum necessary. As
we proposed in the NPRM, covered entities making disclosures to public
officials that are permitted under § 164.512 may rely on the
representation of a public official that the information requested is
the minimum necessary.
***Uses and Disclosures for Research***
In making a minimum necessary determination regarding the use or
disclosure of protected health information for research purposes, a
covered entity may reasonably rely on documentation from an IRB or
privacy board describing the protected health information needed for
research and consistent with the requirements of § 164.512(i), "Uses and
Disclosures for Research Purposes." A covered entity may also reasonably
rely on a representation made by the requestor that the information is
necessary to prepare a research protocol or for research on decedents.
The covered entity must ensure that the representation or documentation
of IRB or privacy board approval it obtains from a researcher describes
with sufficient specificity the protected health information necessary
for the research. Covered entities must use or disclose such protected
health information in a manner that minimizes the scope of the use or
disclosure.
***Standards for Electronic Transactions***
We clarify that under § 164.502(b)(2)(v), covered entities are not
required to apply the minimum necessary standard to the required or
situational data elements specified in the implementation guides for
HIPAA administrative simplification standard transactions in the
Transactions Rule. The standard does apply for uses or disclosures in
standard transactions that are made at the option of the covered entity.
**Section 164.514(e)---Marketing**
In the proposed rule, we would have required covered entities to obtain
the individual's authorization in order to use or disclose protected
health information to market health and non-health items and services.
We have made a number of changes in the final rule that relate to
marketing. In the final rule, we retain the general rule that covered
entities must obtain the individual's authorization before making uses
or disclosures of protected health information for marketing. However,
we add a new definition of "marketing" that clarifies that certain
activities, such as communications made by a covered entity for the
purpose of describing the products and services it provides, are not
marketing. See § 164.501 and the associated preamble regarding the
definition of marketing. In the final rule we also permit covered
entities to use and disclose protected health information for certain
marketing activities without individual authorization, subject to
conditions enumerated at § 164.514(e).
First, § 164.514(e) permits a covered entity to use or disclose
protected health information without individual authorization to make a
marketing communication if the communication occurs in a face-to-face
encounter with the individual. This provision would permit a covered
entity to discuss any services and products, including those of a
third-party, without restriction during a face-to-face communication. A
covered entity also could give the individual sample products or other
information in this setting.
Second, we permit a covered entity to use or disclose protected health
information without individual authorization to make marketing
communications involving products or services of only nominal value.
This provision ensures that covered entities do not violate the rule
when they distribute calendars, pens and other merchandise that
generally promotes the covered entity.
Third, we permit a covered entity to use or disclose protected health
information without individual authorization to make marketing
communications about the health-related products or services of the
covered entity or of a third party if the communication: (1) identifies
the covered entity as the party making the communication; (2) to the
extent that the covered entity receives direct or indirect remuneration
from a third-party for making the communication, prominently states that
fact; (3) except in the case of a general communication (such as a
newsletter), contains instructions describing how the individual may
opt-out of receiving future communications about health-related products
and services; and (4) where protected health information is used to
target the communication about a product or service to individuals based
on their health status or health condition, explains why the individual
has been targeted and how the product or service relates to the health
of the individual. The final rule also requires a covered entity to make
a determination, prior to using or disclosing protected health
information to target a communication to individuals based on their
health status or condition, that the product or service may be
beneficial to the health of the type or class of individual targeted to
receive the communication.
This third provision accommodates the needs of health care entities to
be able to discuss their own health-related products and services, or
those of third parties, as part of their everyday business and as part
of promoting the health of their patients and enrollees. The provision
is restricted to uses by covered entities or disclosures to their
business associates pursuant to a contract that requires
confidentiality, ensuring that protected health information is not
distributed to third parties. To provide individuals with a better
understanding of how their protected health information is being used
for marketing, the provision requires that the communication identify
that the covered entity is the source of the communication; a covered
entity may not send out information about the product of a third party
without disclosing to the individual where the communication originated.
We also require covered entities to disclose any direct or indirect
remuneration from third parties. This requirement permits individuals to
better understand why they are receiving a communication, and to weigh
the extent to which their information is being used to promote their
health or to enrich the covered entity. Covered entities also are
required to include in their communication (unless it is a general
newsletter or similar device) how the individual may prevent further
communications about health-related products and services. This
provision enhances individuals' control over how their information is
being used. Finally, where a covered entity targets communications to
individuals on the basis of their health status or condition, we require
that the entity make a determination that the product or service being
communicated may be beneficial to the health of the type of individuals
targeted, and that the communication to the targeted individuals explain
why they have been targeted and how the product or service relates to
their health. This final provision balances the advantages that accrue
from health care entities informing their patients and enrollees of new
or valuable health products with individuals' expectations that their
protected health information will be used to promote their health.
**Section 164.514(f)---Fundraising**
We proposed in the NPRM to require covered entities to obtain
authorization from an individual in order to use the individual's
protected health information for fundraising activities.
As noted in § 164.501, in the final rule we define fundraising on behalf
of a covered entity to be a health care operation. In § 164.514, we
permit a covered entity to use protected health information without
individual authorization for fundraising on behalf of itself, provided
that it limits the information that it uses to demographic information
about the individual and the dates that it has provided service to the
individual (see the § 164.501 discussion of "health care operations").
In addition, we require fundraising materials to explain how the
individual may opt out of any further fundraising communications, and
covered entities are required to honor such requests. We permit a
covered entity to disclose the limited protected health information to a
business associate for fundraising on its own behalf. We also permit a
covered entity to disclose the information to an institutionally related
foundation.
By "institutionally related foundation," we mean a foundation that
qualifies as a nonprofit charitable foundation under sec. 501(c)(3) of
the Internal Revenue Code and that has in its charter statement of
charitable purposes an explicit linkage to the covered entity. An
institutionally related foundation may, as explicitly stated in its
charter, support the covered entity as well as other covered entities or
health care providers in its community. For example, a covered hospital
may disclose for fundraising on its own behalf the specified protected
health information to a nonprofit foundation established for the
specific purpose of raising funds for the hospital or to a foundation
that has as its mission the support of the members of a particular
hospital chain that includes the covered hospital. The term does not
include an organization with a general charitable purpose, such as to
support research about or to provide treatment for certain diseases,
that may give money to a covered entity, because its charitable purpose
is not specific to the covered entity.
**Section 164.514(g)---Underwriting**
As described under the definition of "health care operations" (§
164.501), protected health information may be used or disclosed for
underwriting and other activities relating to the creation, renewal, or
replacement of a contract of health insurance or health benefits. This
final rule includes a requirement, not included in the NPRM, that health
plans receiving such information for these purposes may not use or
disclose it for any other purpose, except as may be required by law, if
the insurance or benefits contract is not placed with the health plan.
**Section 164.514(h)---Verification of Identity and Authority of Persons
Requesting Protected Health Information**
***Disclosure of Protected Health Information***
We reorganize the provision regarding verification of identity of
individuals requesting protected health information to improve clarity,
but we retain the substance of requirements proposed in the NPRM in §
164.518(c), as follows.
The covered entity must establish and use written policies and
procedures (which may be standard protocols) that are reasonably
designed to verify the identity and authority of the requestor where the
covered entity does not know the person requesting the protected health
information. The knowledge of the person may take the form of a known
place of business, address, phone or fax number, as well a known human
being. Where documentation, statements or representations, whether oral
or written, from the person requesting the protected health information
is a condition of disclosure under this rule or other law, this
verification must involve obtaining such documentation statement, or
representation. In such a case, additional verification is only required
where this regulation (or other law) requires additional proof of
authority and identity.
The NPRM proposed that covered entities would be permitted to rely on
the required documentation of IRB or privacy board approval to
constitute sufficient verification that the person making the request
was a researcher and that the research is authorized. The final rule
retains this provision.
For most disclosures, verifying the authority for the request means
taking reasonable steps to verify that the request is lawful under this
regulation. Additional proof is required by other provisions of this
regulation where the request is made pursuant to § 164.512 for national
priority purposes. Where the person requesting the protected health
information is a public official, covered entities must verify the
identity of the requester by examination of reasonable evidence, such as
a written statement of identity on agency letterhead, an identification
badge, or similar proof of official status. Similarly, covered entities
are required to verify the legal authority supporting the request by
examination of reasonable evidence, such as a written request provided
on agency letterhead that describes the legal authority for requesting
the release. Where § 164.512 explicitly requires written evidence of
legal process or other authority before a disclosure may be made, a
public official\'s proof of identity and the official\'s oral statement
that the request is authorized by law are not sufficient to constitute
the required reasonable evidence of legal authority; under these
provisions, only the required written evidence will suffice.
In some circumstances, a person or entity acting on behalf of a
government agency may make a request for disclosure of protected health
information under these subsections. For example, public health agencies
may contract with a nonprofit agency to collect and analyze certain
data. In such cases, the covered entity is required to verify the
requestor\'s identity and authority through examination of reasonable
documentation that the requestor is acting on behalf of the government
agency. Reasonable evidence includes a written request provided on
agency letterhead that describes the legal authority for requesting the
release and states that the person or entity is acting under the
agency\'s authority, or other documentation, including a contract, a
memorandum of understanding, or purchase order that confirms that the
requestor is acting on behalf of the government agency.
In some circumstances, identity or authority will be verified as part of
meeting the underlying requirements for disclosure. For example, a
disclosure under § 164.512(j)(1)(i) to avert an imminent threat to
safety is lawful only if made in the good faith belief that the
disclosure is necessary to prevent or lessen a serious and imminent
threat to the health or safety of a person or the public, and to a
person reasonably able to prevent or lessen the threat. If these
conditions are met, no further verification is needed. In such
emergencies, the covered entity is not required to demand written proof
that the person requesting the protected health information is legally
authorized. Reasonable reliance on verbal representations are
appropriate in such situations.
Similarly, disclosures permitted under § 164.510(a) for facility
directories may be made to the general public; the covered entity's
policies and procedures do not need to address verifying the identity
and authority for these disclosures. In § 164.510(b) we do not require
verification of identity for persons assisting in an individual\'s care
or for notification purposes. For disclosures when the individual is not
present, such as when a friend is picking up a prescription, we allow
the covered entity to use professional judgment and experience with
common practice to make reasonable inferences.
Under § 164.524, a covered entity is required to give individuals access
to protected health information about them (under most circumstances).
Under the general verification requirements of § 164.514(h), the covered
entity is required to take reasonable steps to verify the identity of
the individual making the request. We do not mandate particular
identification requirements (e.g., drivers licence, photo ID), but
rather leave this to the discretion of the covered entity. The covered
entity must also establish and document procedures for verification of
identity and authority of personal representatives, if not known to the
entity. For example, a health care provider can require a copy of a
power of attorney, or can ask questions to determine that an adult
acting for a young child has the requisite relationship to the child.
In Subpart C of Part 160, we require disclosure to the Secretary for
purposes of enforcing this regulation. When a covered entity is asked by
the Secretary to disclose protected health information for compliance
purposes, the covered entity must verify the same information that it is
required to verify for any other law enforcement or oversight request
for disclosure.
***Use of Protected Health Information***
The proposed rule's verification requirements applied to any person
requesting protected health information, whether for a use or a
disclosure. In the final regulation, the verification provisions apply
only to disclosures of protected health information. The requirements in
§ 164.514(d), for implementation of policies and procedures for 'minimum
necessary' uses of protected health information, are sufficient to
ensure that only appropriate persons within a covered entity will have
access to protected health information.
**SECTION 164.520---NOTICE OF PRIVACY PRACTICES FOR PROTECTED HEALTH
INFORMATION**
**Section 164.520(a)---Right to Notice**
We proposed to establish a right for individuals to receive adequate
notice of how covered health care providers and health plans use and
disclose protected health information, and of the individual's rights
with respect to that information.
In the final regulation, we retain the general right for individuals to
receive and the requirement for covered entities to produce a notice of
privacy practices, with significant modifications to the content and
distribution requirements.
We also modify the requirements with respect to certain covered
entities. First, in § 164.500(b)(2), we clarify that a health care
clearinghouse that creates or receives protected health information
other than as a business associate of a covered entity must produce a
notice. If a health care clearinghouse creates or receives protected
health information only as a business associate of other covered
entities, it is not required to produce a notice.
Second, in § 164.520(a)(2), we clarify the notice requirements with
respect to group health plans. Individuals who receive health benefits
under a group health plan other than through insurance are entitled to a
notice from the group health plan; self-insured group health plans must
maintain a notice that meets the requirements of this section and must
provide the notice in accordance with the requirements of § 164.520(c).
At a minimum, the self-insured group health plan's notice must describe
the group health plan's privacy practices with respect to the protected
health information it creates or receives through its self-insured
arrangements. For example, if a group health plan maintains both
fully-insured and self-insured arrangements, the group health plan must,
at a minimum, maintain and provide a notice that describes its privacy
practices with respect to protected health information it creates or
receives through the self-insured arrangements. This notice would be
distributed to all participants in the self-insured arrangements (in
accordance with § 164.520(c)(1)) and would also be available on request
to other persons, including participants in the fully-insured
arrangements.
Individuals who receive health benefits under a group health plan
through an insurance contract (i.e., a fully-insured group health plan)
are entitled to a notice from the issuer or HMO through which they
receive their health benefits. The health insurance issuer or HMO must
maintain and provide the notice in accordance with § 164.520(c)(1). In
addition, some fully-insured group health plans are required to maintain
and provide a notice of the group health plan's privacy practices. If a
group health plan provides health benefits solely through an insurance
contract with a health insurance issuer or HMO, and the group health
plan creates or receives protected health information in addition to
summary information (as defined in § 164.504(a)) and information about
individuals' enrollment in or disenrollment from a health insurance
issuer or HMO offered by the group health plan, the group health plan
must maintain a notice that meets the requirements of this section and
must provide the notice upon request of any person. The group health
plan is not required to meet the other distribution requirements of §
164.520(c)(1). Individuals enrolled in such group health plans have the
right to notice of the health insurance issuer or HMO's privacy
practices and, on request, to notice of the group health plan's privacy
practices. If the group health plan, however, provides health benefits
solely through an insurance contract with a health insurance issuer or
HMO, and the only protected health information the group health plan
creates or receives is summary information (as defined in § 164.504(a))
and information about individuals' enrollment in or disenrollment from a
health insurance issuer or HMO offered by the group health plan, the
group health plan is not required to maintain or provide a notice under
this section. In this case, the individuals enrolled in the group health
plan would receive notice of the health insurance issuer or HMO's
privacy practices, but would not be entitled to notice of the group
health plan's privacy practices.
Third, in § 164.520(a)(3), we clarify that inmates do not have a right
to notice under this section and a correctional institution that is a
covered entity is not required to produce a notice. No person, including
a current or former inmate, has the right to notice of such a covered
entity's privacy practices.
**Section 164.520(b)---Content of Notice**
We proposed to require the notice to be written in plain language and
contain each of the following elements: a description of the uses and
disclosures expected to be made without individual authorization;
statements that other uses and disclosures would be made only with the
individual's authorization and that the individual could revoke such
authorization; descriptions of the rights to request restrictions,
inspect and copy protected health information, amend or correct
protected health information, and receive an accounting of disclosures
of protected health information; statements about the entity's legal
requirements to protect privacy, provide notice, and adhere to the
notice; a statement about how individuals would be informed of changes
to the entity's policies and procedures; instructions on how to make
complaints with the entity or Secretary; the name and telephone number
of a contact person or office; and the date the notice was produced. We
provided a model notice of information policies and procedures for
covered health care providers.
In § 164.520(b), and immediately below in this preamble, we describe the
notice content requirements for the final rule. As described in detail,
below, we make substantial changes to the uses and disclosures of
protected health information that must be described in the notice.
Unlike the proposed rule, we do not include a model notice. We intend to
develop further guidance on notice requirements prior to the compliance
date of this rule. In this section of the final rule, we also refer to
the covered entity's privacy "practices," rather than its "policies and
procedures." The purpose of this change in vocabulary is to clarify that
a covered entity's "policies and procedures" is a detailed documentation
of all of the entity's privacy practices as required under this rule,
not just those described in the notice. For example, we require covered
entities to have policies and procedures implementing the requirements
for "minimum necessary" uses and disclosures of protected health
information, but these policies and procedures need not be reflected in
the entity's notice. Similarly, we require covered entities to have
policies and procedures for assuring individuals access to protected
health information about them. While such policies and procedures will
need to include documentation of the designated record sets subject to
access, who is authorized to determine when information will be withheld
from an individual, and similar details, the notice need only explain
generally that individuals have the right to inspect and copy
information about them, and tell individuals how to exercise that right.
A covered entity that adopts and follows the notice content and
distribution requirements described below will have provided adequate
notice. However, the requirements for the content of the notice are not
intended to be exclusive. As with the rest of the rule, we specify
minimum requirements, not best practices. Covered entities may want to
include more detail. We note that all federal agencies must still comply
with the Privacy Act of 1974. This means that federal agencies that are
covered entities or have covered health care components must comply with
the notice requirements of the Privacy Act as well as those included in
this rule.
In addition, covered entities may want or be required to produce more
than one notice in order to satisfy the notice content requirements
under this rule. For example, a covered entity that conducts business in
multiple states with different laws regarding the uses and disclosures
that the covered entity is permitted to make without authorization may
be required to produce a different notice for each state. A covered
entity that conducts business both as part of an organized health care
arrangement or affiliated covered entity and as an independent
enterprise (e.g., a physician who sees patients through an on-call
arrangement with a hospital and through an independent private practice)
may want to adopt different privacy practices with respect to each line
of business; such a covered entity would be required to produce a
different notice describing the practices for each line of business.
Covered entities must produce notices that accurately describe the
privacy practices that are relevant to the individuals receiving the
notice.
***Required Elements***
*Plain Language*
As in the proposed rule, we require the notice to be written in plain
language. A covered entity can satisfy the plain language requirement if
it makes a reasonable effort to: organize material to serve the needs of
the reader; write short sentences in the active voice, using "you" and
other pronouns; use common, everyday words in sentences; and divide
material into short sections.
We do not require particular formatting specifications, such as
easy‑to‑read design features (e.g., lists, tables, graphics, contrasting
colors, and white space), type face, and font size. However, the purpose
of the notice is to inform the recipients about their rights and how
protected health information collected about them may be used or
disclosed. Recipients who cannot understand the covered entity's notice
will miss important information about their rights under this rule and
about how the covered entity is protecting health information about
them. One of the goals of this rule is to create an environment of open
communication and transparency with respect to the use and disclosure of
protected health information. A lack of clarity in the notice could
undermine this goal and create misunderstandings. Covered entities have
an incentive to make their notice statements clear and concise. We
believe that the more understandable the notice is, the more confidence
the public will have in the covered entity's commitment to protecting
the privacy of health information.
It is important that the content of the notice be communicated to all
recipients and therefore we encourage the covered entity to consider
alternative means of communicating with certain populations. We note
that any covered entity that is a recipient of federal financial
assistance is generally obligated under Title VI of the Civil Rights Act
of 1964 to provide material ordinarily distributed to the public in the
primary languages of persons with limited English proficiency in the
recipients' service areas. Specifically, this Title VI obligation
provides that, where a significant number or proportion of the
population eligible to be served or likely to be directly affected by a
federally assisted program needs service or information in a language
other than English in order to be effectively informed of or participate
in the program, the recipient shall take reasonable steps, considering
the scope of the program and the size and concentration of such
population, to provide information in languages appropriate to such
persons. For covered entities not subject to Title VI, the Title VI
standards provide helpful guidance for effectively communicating the
content of their notices to non‑English speaking populations.
We also encourage covered entities to be attentive to the needs of
individuals who cannot read. For example, an employee of the covered
entity could read the notice to individuals upon request or the notice
could be incorporated into a video presentation that is played in the
waiting area.
*Header*
Unlike the proposed rule, covered entities must include prominent and
specific language in the notice that indicates the importance of the
notice. This is the only specific language we require covered entities
to include in the notice. The header must read, "THIS NOTICE DESCRIBES
HOW MEDICAL INFORMATION ABOUT YOU MAY BE USED AND DISCLOSED AND HOW YOU
CAN GET ACCESS TO THIS INFORMATION. PLEASE REVIEW IT CAREFULLY."
*Uses and Disclosures*
We proposed to require covered entities to describe in plain language
the uses and disclosures of protected health information, and the
covered entity's policies and procedures with respect to such uses and
disclosures, that the health plan or covered provider expected to make
without individual authorization. The covered provider or health plan
would have had to distinguish between those uses and disclosures
required by law and those permitted but not required by law.
We also proposed to require covered health care providers and health
plans to state in the notice that all other uses and disclosures would
be made only with the individual's authorization and that such
authorization could be revoked. The notice would also have been required
to state that the individual could request restrictions on certain uses
and disclosures and that the covered entity would not be required to
agree to such a request.
We significantly modify these requirements in the final rule. Covered
entities must describe all uses and disclosures of protected health
information that they are permitted or required to make under this rule
without authorization, including those uses and disclosures subject to
the consent requirements under § 164.506. If other applicable law
prohibits or materially limits the covered entity's ability to make any
uses or disclosures that would otherwise be permitted under the rule,
the covered entity must describe only the uses and disclosures permitted
under the more stringent law.
Covered entities must separately describe each purpose for which they
are permitted to use or disclose protected health information under this
rule without authorization, and must do so in sufficient detail to place
the individual on notice of those uses and disclosures. With respect to
uses and disclosures to carry out treatment, payment, and health care
operations, the description must include at least one example of the
types of uses and disclosures that the covered entity is permitted to
make. This requirement is intended to inform individuals of all the uses
and disclosures that the covered entity is legally required or permitted
to make under applicable law, even if the covered entity does not
anticipate actually making such uses and disclosures. We do not require
covered entities to distinguish in their notices between those uses and
disclosures required by law and those permitted but not required by law.
Unlike the proposed rule, we additionally require covered entities that
wish to contact individuals for any of the following activities to list
these activities in the notice: providing appointment reminders,
describing or recommending treatment alternatives, providing information
about health-related benefits and services that may be of interest to
the individual, or soliciting funds to benefit the covered entity. If
the covered entity does not include these statements in its notice, it
is prohibited from using or disclosing protected health information for
these activities without authorization. See § 164.502(i).
In addition, if a group health plan, or a health insurance issuer or HMO
with respect to a group health plan, wants the option to disclose
protected health information to a group health plan sponsor without
authorization as permitted under § 164.504(f), the group health plan,
health insurance issuer or HMO must describe that practice in its
notice.
As in the proposed rule, the notice must state that all other uses and
disclosures will be made only with the individual's authorization and
that the individual has the right to revoke such authorization.
We anticipate this requirement will lead to significant standardization
of the notice. This language could be the same for every covered entity
of a particular type within a state, territory, or other locale. We
encourage states, state professional associations, and other
organizations to develop model language to assist covered entities in
preparing their notices.
*Individual Rights*
As in the proposed rule, covered entities must describe individuals'
rights under the rule and how individuals may exercise those rights with
respect to the covered entity. Covered entities must describe each of
the following rights, as provided under the rule: the right to request
restrictions on certain uses and disclosures, including a statement that
the covered entity is not required to agree to a requested restriction
(§ 164.522(a)); the right to receive confidential communications of
protected health information (§ 164.522(b)); the right to inspect and
copy protected health information (§ 164.524); the right to amend
protected health information (§ 164.526); and the right to an accounting
of disclosures of protected health information (§ 164.528). We
additionally require the notice to describe the right of an individual,
including an individual that has agreed to receive the notice
electronically, to obtain a paper copy of the notice upon request.
*Covered Entity's Duties*
As in the proposed rule, covered entities must state in the notice that
they are required by law to maintain the privacy of protected health
information, to provide a notice of their legal duties and privacy
practices, and to abide by the terms of the notice currently in effect.
In the final rule, we additionally require the covered entity, if it
wishes to reserve the right to change its privacy practices and apply
the revised practices to protected health information previously created
or received, to make a statement to that effect and describe how it will
provide individuals with a revised notice. (See below for a more
detailed discussion of a covered entity's responsibilities when it
changes its privacy practices.)
*Complaints*
As in the proposed rule, a covered entity's notice must inform
individuals about how they can lodge complaints with the covered entity
if they believe their privacy rights have been violated. See §
164.530(d) and the corresponding preamble discussion for the
requirements on covered entities for receiving complaints. The notice
must also state that individuals may file complaints with the Secretary.
In the final rule, we additionally require the notice to include a
statement that the individual will not suffer retaliation for filing a
complaint.
*Contact*
As in the proposed rule, the notice must identify a point of contact
where the individual can obtain additional information about any of the
matters identified in the notice.
*Effective Date*
The notice must include the date the notice went into effect, rather
than the proposed requirement to include the date the notice was
produced. The effective date cannot be earlier than the date on which
the notice was first printed or otherwise published. Covered entities
may wish to highlight or otherwise emphasize any material modifications
that it has made, in order to help the individual recognize such
changes.
***Optional Elements***
As described above, we proposed to require covered entities to describe
the uses and disclosures of protected health information that the
covered entity in fact expected to make without the individual's
authorization. We did not specify any optional elements.
While the final rule requires covered entities to describe all of the
types of uses and disclosures permitted or required by law (not just
those that the covered entity intends to make), we also permit and
encourage covered entities to include optional elements that describe
the actual, more limited, uses and disclosures they intend to make
without authorization. We anticipate that some covered entities will
want to distinguish themselves on the basis of their more stringent
privacy practices. For example, covered health care providers who
routinely treat patients with particularly sensitive conditions may wish
to assure their patients that, even though the law permits them to
disclose information for a wide array of purposes, the covered health
care provider will only disclose information in very specific
circumstances, as required by law, and to avert a serious and imminent
threat to health or safety. A covered entity may not include statements
in the notice that purport to limit the entity's ability to make uses or
disclosures that are required by law or necessary to avert a serious and
imminent threat to health or safety.
As described above, if the covered entity wishes to reserve the right to
change its privacy practices with respect to the more limited uses and
disclosures and apply the revised practices to protected health
information previously created or received, it must make a statement to
that effect and describe how it will provide individuals with a revised
notice. (See below for a more detailed discussion of a covered entity's
responsibilities when it changes its privacy practices.)
***Revisions to the Notice***
We proposed to require a covered entity to adhere to the terms of its
notice, and would have permitted it to change its information policies
and procedures at any time. We would have required covered health care
providers and health plans to update the notice to reflect material
changes to the information policies and procedures described in the
notice. Changes to the notice would have applied to all protected health
information held by the covered entity, including information collected
under prior notices. That is, we would not have require covered entities
to segregate their records according to the notice in effect at the time
the record was created. We proposed to prohibit covered entities from
implementing a change to an information policy or procedure described in
the notice until the notice was updated to reflect the change, unless a
compelling reason existed to make a use or disclosure or take other
action that the notice would not have permitted. In these situations, we
proposed to require covered entities to document the compelling reason
and, within 30 days of the use, disclosure, or other action, change its
notice to permit the action.
As in the proposed rule, covered entities are required to adhere to the
terms of the notice currently in effect. See § 164.502(i). When a
covered entity materially changes any of the uses or disclosures, the
individual's rights, the covered entity's legal duties, or other privacy
practices described in its notice, it must promptly revise its notice
accordingly. See § 164.520(b)(3). (Pursuant to § 164.530(i), it must
also revise its policies and procedures.) Except when required by law, a
material change to any term in the notice may not be implemented prior
to the effective date of the notice in which such material change is
reflected. In the final rule, however, we revise the circumstances under
and extent to which the covered entity may revise the practices stated
in the notice and apply the new practices to protected health
information it created or received under prior notice.
Under § 164.530(i), a covered entity that wishes to change its practices
over time without segregating its records according to the notice in
effect at the time the records were created must reserve the right to do
so in its notice. For example, a covered hospital that states in its
notice that it will only make public health disclosures required by law,
and that does not reserve the right to change this practice, is
prohibited from making any discretionary public health disclosures of
protected health information created or received during the effective
period of that notice. If the covered hospital wishes at some point in
the future to make discretionary disclosures for public health purposes,
it must revise its notice to so state, and must segregate its records so
that protected health information created or received under the prior
notice is not disclosed for discretionary public health purposes. This
hospital may then make discretionary public health disclosures of
protected health information created or received after the effective
date of the revised notice.
If a second covered hospital states in its notice that it will only make
public health disclosures required by law, but does reserve the right to
change its practices, it is prohibited from making any discretionary
public health disclosures of protected health information created or
received during the effective period of that notice. If this hospital
wishes at some point in the future to make discretionary disclosures for
public health purposes, it must revise its notice to so state, but need
not segregate its records. As of the effective date of the revised
notice, it may disclose any protected health information, including
information created or received under the prior notice, for
discretionary public health purposes.
Section 164.530(i) and the corresponding discussion in this preamble
describes requirements for revision of a covered entity's privacy
policies and procedures, including the privacy practices reflected in
its notice.
**Section 164.520(c)---Provision of Notice**
As in the proposed rule, all covered entities that are required to
produce a notice must provide the notice upon request of any person. The
requestor does not have to be a current patient or enrollee. We intend
the notice to be a public document that people can use in choosing
between covered entities.
For health plans, we proposed to require health plans to distribute the
notice to individuals covered by the health plan as of the compliance
date; after the compliance date, at enrollment in the health plan; after
enrollment, within 60 days of a material revision to the content of the
notice; and no less frequently than once every three years.
As in the proposed rule, under the final rule health plans must provide
the notice to all health plan enrollees as of the compliance date. After
the compliance date, health plans must provide the notice to all new
enrollees at the time of enrollment and to all enrollees within 60 days
of a material revision to the notice. Of course, the term "enrollees"
includes participants and beneficiaries in group health plans.
Unlike the proposed rule, we do not require health plans to distribute
the notice every three years. Instead, health plans must notify
enrollees no less than once every three years about the availability of
the notice and how to obtain a copy.
We also clarify that, in each of these circumstances, if a named insured
and one or more dependents are covered by the same policy, the health
plan can satisfy the distribution requirement with respect to the
dependents by sending a single copy of the notice to the named insured.
For example, if an employee of a firm and her three dependents are all
covered under a single health plan policy, that health plan can satisfy
the initial distribution requirement by sending a single copy of the
notice to the employee rather than sending four copies, each addressed
to a different member of the family.
We further clarify that if a health plan has more than one notice, it
satisfies its distribution requirement by providing the notice that is
relevant to the individual or other person requesting the notice. For
example, a health insurance issuer may have contracts with two different
group health plans. One contract specifies that the issuer may use and
disclose protected health information about the participants in the
group health plan for research purposes without authorization (subject
to the requirements of this rule) and one contract specifies that the
issuer must always obtain authorizations for these uses and disclosures.
The issuer accordingly develops two notices reflecting these different
practices and satisfies its distribution requirements by providing the
relevant notice to the relevant group health plan participants.
We proposed to require covered health care providers with face-to-face
contact with individuals to provide the notice to all such individuals
at the first service delivery to the individual during the one year
period after the compliance date. After this one year period, covered
providers with face-to-face contact with individuals would have been
required to distribute the notice to all new patients at the first
service delivery. Covered providers without face-to-face contact with
individuals would have been required to provide the notice in a
reasonable period of time following first service delivery.
We proposed to require all covered providers to post the notice in a
clear and prominent location where it would be reasonable to expect
individuals seeking services from the covered provider to be able to
read the notice. We would have required revisions to be posted promptly.
In the final rule, we vary the distribution requirements according to
whether the covered health care provider has a direct treatment
relationship with an individual, rather than whether the covered health
care provider has face-to-face contact with an individual. See § 164.501
and the corresponding discussion in this preamble regarding the
definition of indirect treatment relationship.
Covered health care providers that have direct treatment relationships
with individuals must provide the notice to such individuals as of the
first service delivery after the compliance date. This requirement
applies whether the first service is delivered electronically or in
person. Covered providers may satisfy this requirement by sending the
notice to all of their patients at once, by giving the notice to each
patient as he or she comes into the provider's office or facility or
contacts the provider electronically, or by some combination of these
approaches. Covered providers that maintain a physical service delivery
site must prominently post the notice where it is reasonable to expect
individuals seeking service from the provider to be able to read the
notice. The notice must also be available on site for individuals to
take on request. In the event of a revision to the notice, the covered
provider must promptly post the revision and make it available on site.
Covered health care providers that have indirect treatment relationships
with individuals are only required to produce the notice upon request,
as described above.
The proposed rule was silent regarding electronic distribution of the
notice. Under the final rule, a covered entity that maintains a web site
describing the services and benefits it offers must make its privacy
notice prominently available through the site.
A covered entity may satisfy the applicable distribution requirements
described above by providing the notice to the individual
electronically, if the individual agrees to receiving materials from the
covered entity electronically and the individual has not withdrawn his
or her agreement. If the covered entity knows that the electronic
transmission has failed, the covered entity must provide a paper copy of
the notice to the individual.
If an individual's first service delivery from a covered provider occurs
electronically, the covered provider must provide electronic notice
automatically and contemporaneously in response to the individual's
first request for service. For example, the first time an individual
requests to fill a prescription through a covered internet pharmacy, the
pharmacy must automatically and contemporaneously provide the individual
with the pharmacy's notice of privacy practices. An individual that
receives a covered entity's notice electronically retains the right to
request a paper copy of the notice as described above. This right must
be described in the notice.
We note that the Electronic Signatures in Global and National Commerce
Act (Pub. L. 106-229) may apply to documents required under this rule to
be provided in writing. We do not intend to affect the application of
that law to documents required under this rule.
**Section 164.520(d)---Joint Notice by Separate Covered Entities**
The proposed rule was silent regarding the ability of legally separate
covered entities to produce a single notice.
In the final rule, we allow covered entities that participate in an
organized health care arrangement to comply with this section by
producing a single notice that describes their combined privacy
practices. See § 164.501 and the corresponding preamble discussion
regarding the definition of organized health care arrangement. (We note
that, under § 164.504(d), covered entities that are under common
ownership or control may designate themselves as a single affiliated
covered entity. Joint notice requirements do not apply to such entities.
Single affiliated covered entities must produce a single notice,
consistent with the requirements described above for any other covered
entity. Covered entities under common ownership or control that elect
not to designate themselves as a single affiliated covered entity,
however, may elect to produce a joint notice if they meet the definition
of an organized health care arrangement.)
The joint notice must meet all of the requirements described above. The
covered entities must agree to abide by the terms of the notice with
respect to protected health information created or received by the
covered entities as part of their participation in the organized health
care arrangement. In addition, the joint notice must reasonably identify
the covered entities, or class of covered entities, to which the joint
notice applies and the service delivery sites, or classes of service
delivery sites, to which the joint notice applies. If the covered
entities participating in the organized health care arrangement will
share protected health information with each other as necessary to carry
out treatment, payment, or health care operations relating to the
arrangement, that fact must be stated in the notice.
Typical examples where this policy may be useful are health care
facilities where physicians and other providers who have offices
elsewhere also provide services at the facility (e.g. hospital staff
privileges, physicians visiting their patients at a residential
facility). In these cases, a single notice may cover both the physician
and the facility, if the above conditions are met. The physician is
required to have a separate notice covering the privacy practices at the
physician's office if those practices are different than the practices
described in the joint notice.
If any one of the covered entities included in the joint notice
distributes the notice to an individual, as required above, the
distribution requirement is met for all of the covered entities included
in the joint notice.
**Section 164.520(e)---Documentation**
As in the proposed rule, we establish documentation requirements for
covered entities subject to this provision. In the final rule, we
specify that covered entities must retain copies of the notice(s) they
issue in accordance with § 164.530(j). See § 164.530(j) and the
corresponding preamble discussion for further description of the
documentation requirements.
**SECTION 164.522---RIGHTS TO REQUEST PRIVACY PROTECTION FOR PROTECTED
HEALTH INFORMATION**
**Section 164.522(a)---Right of An Individual to Request Restriction of
Uses and Disclosures**
We proposed that individuals have the right to request that a covered
health care provider restrict the use or disclosure of protected health
information for treatment, payment, or health care operations. Providers
would not have been required to agree to requested restrictions.
However, a covered provider that agreed to a restriction could not use
or disclose protected health information inconsistent with the
restriction. The requirement would not have applied to permissible uses
or disclosures under proposed § 164.510, including uses and disclosures
in emergency circumstances under proposed § 164.510(k); when the health
care services provided were emergency services; or to required
disclosures to the Secretary under proposed § 164.522. We would have
required covered providers to have procedures for individuals to request
restrictions, for agreed-upon restrictions to be documented, for the
provider to honor such restrictions, and for notification of the
existence of a restriction to others to whom such protected health
information is disclosed.
In the final rule, we retain the general right of an individual to
request that uses and disclosures of protected health information be
restricted and the requirement for covered entities to adhere to
restrictions to which they have agreed. However, we include some
significant changes and clarifications.
Under the final rule, we extend the right to request restrictions to
health plans and to health care clearinghouses that create or receive
protected health information other than as a business associate of
another covered entity. All covered entities must permit individuals to
request that uses and disclosures of protected health information to
carry out treatment, payment, and health care operations be restricted
and must adhere to restrictions to which they have agreed. A covered
entity is not required to agree to a restriction. We note that
restrictions between an individual and a covered entity for these or
other purposes may be otherwise enforceable under other law.
Under § 164.522(a)(1)(i)(B), the right to request restrictions applies
to disclosures to persons assisting in the individual's care under §
164.510(b). An individual may request that a covered entity agree not to
disclose protected health information to persons assisting with the
individual's care, even if such disclosure is permissible in accordance
with § 164.510(b). For example, if an individual requests that a covered
entity never disclose protected health information to a particular
family member, and the covered entity agrees to that restriction, the
covered entity is prohibited from disclosing protected health
information to that family member, even if the disclosure would
otherwise be permissible under § 164.510(b). We note that individuals
additionally have the opportunity to agree or object to disclosures to
persons assisting in the individual's care under § 164.510(b)(2). The
individual retains the right to agree or object to such disclosures
under § 164.510(b)(2), in accordance with the standards of that
provision, regardless of whether the individual has requested a
restriction under § 164.522(a). See § 164.510(b) and the corresponding
preamble discussion regarding the individual's right to agree or object
to disclosures to persons assisting in the individual's care.
In §§ 164.522(a)(1)(iii) and (iv) we clarify the requirements with
respect to emergency treatment situations. In emergency treatment
situations, a covered entity that has agreed to a restriction may use,
or disclose to a health care provider, restricted protected health
information that is necessary to provide the emergency treatment. If the
covered entity discloses restricted protected health information to a
health care provider for emergency treatment purposes, it must request
that the provider not further use or disclose the information. We expect
covered entities to consider the need for access to protected health
information for treatment purposes when considering a request for a
restriction, to discuss this need with the individual making the request
for restriction, and to agree to restrictions that will not foreseeably
impede the individual's treatment. Therefore, we expect covered entities
will rarely need to use or disclose restricted protected health
information in emergency treatment situations. We do not intend,
however, to adversely impact the delivery of health care. We therefore
provide a means for the use and disclosure of restricted protected
health information in emergency treatment situations, where an
unexpected need for the information could arise and there is
insufficient time to secure the individual's permission to use or
disclose the restricted information.
In § 164.522(a)(1)(v) we clarify that restrictions are not effective
under this rule to prevent uses and disclosures required by §
164.502(a)(2)(ii) or permitted under § 164.510(a) (regarding facility
directories) or § 164.512 (regarding uses and disclosures for which
consent, individual authorization, or opportunity to agree or object is
not required). Covered entities are permitted to agree to such
restrictions, but if they do so, the restrictions are not enforceable
under this rule. For example, a provider who makes a disclosure under §
164.512(j)(1)(i) relating to serious and imminent threats will not be in
violation of this rule even if the disclosure is contrary to a
restriction agreed to under this paragraph.
In § 164.522(a)(2) we clarify a covered entity's ability to terminate a
restriction to which it has agreed. A covered entity may terminate a
restriction with the individual's written or oral agreement. If the
individual's agreement is obtained orally, the covered entity must
document that agreement. A note in the medical record or similar
notation is sufficient documentation. If the individual agrees to
terminate the restriction, the covered entity may use and disclose
protected health information as otherwise permitted under the rule. If
the covered entity wants to terminate the restriction without the
individual's agreement, it may only terminate the restriction with
respect to protected health information it creates or receives after it
informs the individual of the termination. The restriction continues to
apply to protected health information created or received prior to
informing the individual of the termination. That is, any protected
health information that had been collected before the termination may
not be used or disclosed in a way that is inconsistent with the
restriction, but any information that is collected after informing the
individual of the termination of the restriction may be used or
disclosed as otherwise permitted under the rule.
In § 164.522(a)(3), we clarify that a covered entity must document a
restriction to which it has agreed. We do not require a specific form of
documentation; a note in the medical record or similar notation is
sufficient. The documentation must be retained for six years from the
date it was created or the date it was last in effect, whichever is
later, in accordance with § 164.530(j).
We eliminate the requirement from the NPRM for covered entities to
inform persons to whom they disclose protected health information of the
existence of any restriction on that information. A restriction is only
binding on the covered entity that agreed to the restriction. We
encourage covered entities to inform others of the existence of a
restriction when it is appropriate to do so. We note, however, that
disclosure of the existence of a restriction often amounts to a *de
facto* disclosure of the restricted information itself. If a restriction
does not permit a covered entity to disclose protected health
information to a particular person, the covered entity must carefully
consider whether disclosing the existence of the restriction to that
person would also violate the restriction.
**Section 164.522(b)---Confidential Communications Requirements**
In the NPRM, we did not directly address the issue of whether an
individual could request that a covered entity restrict the manner in
which it communicated with the individual. As described above, the NPRM
would have provided individuals with the right to request that health
care providers restrict uses and disclosures of protected health
information for treatment, payment and health care operations, but would
not have required providers to agree to such a restriction.
In the final rule, we require covered entities to permit individuals to
request that the covered entity provide confidential communications of
protected health information about the individual. The requirement
applies to communications from the covered entity to the individual, and
also communications from the covered entity that would otherwise be sent
to the named insured of an insurance policy that covers the individual
as a dependent of the named insured. Individuals may request that the
covered entity send such communications by alternative means or at
alternative locations. For example, an individual who does not want his
or her family members to know about a certain treatment may request that
the provider communicate with the individual about that treatment at the
individual's place of employment, by mail to a designated address, or by
phone to a designated phone number. Similarly, an individual may request
that the provider send communications in a closed envelope rather than a
post card, as an "alternative means." Covered health care providers must
accommodate all reasonable requests. Health plans must accommodate all
reasonable requests, if the individual clearly states that the
disclosure of all or part of the protected health information could
endanger the individual. For example, if an individual requests that a
health plan send explanations of benefits about particular services to
the individual's work rather than home address because the individual is
concerned that a member of the individual's household (e.g., the named
insured) might read the explanation of benefits and become abusive
towards the individual, the health plan must accommodate the request.
The reasonableness of a request made under this paragraph must be
determined by a covered entity solely on the basis of the administrative
difficulty of complying with the request and as otherwise provided in
this section. A covered health care provider or health plan cannot
refuse to accommodate a request based on its perception of the merits of
the individual's reason for making the request. A covered health care
provider may not require the individual to provide a reason for the
request as a condition of accommodating the request. As discussed above,
a health plan is not required to accommodate a request unless the
individual indicates that the disclosure could endanger the individual.
If the individual indicates such endangerment, however, the covered
entity cannot further consider the individual's reason for making the
request in determining whether it must accommodate the request.
A covered health care provider or health plan may refuse to accommodate
a request, however, if the individual has not provided information as to
how payment, if applicable, will be handled, or if the individual has
not specified an alternative address or method of contact.
**SECTION 164.524---ACCESS OF INDIVIDUALS TO PROTECTED HEALTH
INFORMATION**
**Section 164.524(a)---Right of Access**
In the NPRM, we proposed to establish a right for individuals to access
(i.e., inspect and obtain a copy of) protected health information about
them maintained by a covered provider or health plan, or its business
partners, in a designated record set.
As in the proposed rule, in the final rule we provide that individuals
have a right of access to protected health information that is
maintained in a designated record set. This right applies to health
plans, covered health care providers, and health care clearinghouses
that create or receive protected health information other than as a
business associate of another covered entity (see § 164.500(b)). In the
final rule, however, we modify the definition of designated record set.
For a discussion of the significant changes made to the definition of
designated record set, see § 164.501 and the corresponding preamble.
Under the revised definition, individuals have a right of access to any
protected health information that is used, in whole or in part, to make
decisions about individuals. This information includes, for example,
information used to make health care decisions or information used to
determine whether an insurance claim will be paid. Covered entities
often incorporate the same protected health information into a variety
of different data systems, not all of which will be utilized to make
decisions about individuals. For example, information systems that are
used for quality control or peer review analyses may not be used to make
decisions about individuals. In that case, the information systems would
not fall within the definition of designated record set. We do not
require entities to grant an individual access to protected health
information maintained in these types of information systems.
***Duration of the Right of Access***
As in the proposed rule, covered entities must provide access to
individuals for as long as the protected health information is
maintained in a designated record set.
***Exceptions to the Right of Access***
In the NPRM, we proposed to establish a right for individuals to access
any protected health information maintained in a designated record set.
Though we proposed to permit covered entities to deny access in certain
situations relating to the particular individual requesting access, we
did not specifically exclude any protected health information from the
right of access.
In the final rule, we specify three types of information to which
individuals do not have a right of access, even if the information is
maintained in a designated record set. They are psychotherapy notes,
information compiled in reasonable anticipation of, or for use in, a
civil, criminal, or administrative action or proceeding, and certain
protected health information maintained by a covered entity that is
subject to or exempted from the Clinical Laboratory Improvements
Amendments of 1988 (CLIA). Covered entities may, but are not required
to, provide access to this information.
First, unlike the proposed rule, we specify that individuals do not have
a right of access to psychotherapy notes.
Second, individuals do not have a right of access to information
compiled in reasonable anticipation of, or for use in, a civil,
criminal, or administrative action or proceeding. In the NPRM, we would
have permitted covered entities to deny a request for access to
protected health information complied in reasonable anticipation of, or
for use in, a legal proceeding. We change the language in the final rule
to clarify that a legal proceeding includes civil, criminal, and
administrative actions and proceedings. In the final rule, we clarify
that an individual does not have a right to this information by
including it in the list of exceptions rather than stating that a
covered entity may deny access to this information. Under this
exception, the covered entity may deny access to any information that
relates specifically to legal preparations but may not deny access to
the individual's underlying health information. We do not intend to
require covered entities to provide access to documents protected by
attorney work-product privilege nor do we intend to alter rules of
discovery.
Third, unlike the proposed rule, individuals do not have a right of
access to protected health information held by clinical laboratories if
CLIA prohibits such access. CLIA states that clinical laboratories may
provide clinical laboratory test records and reports only to "authorized
persons," as defined primarily by state law. The individual who is the
subject of the information is not always included in this set of
authorized persons. When an individual is not an authorized person, this
restriction effectively prohibits the clinical laboratory from providing
an individual access to this information. We do not intend to preempt
CLIA and, therefore, do not require covered clinical laboratories to
provide an individual access to this information if CLIA prohibits them
from doing so. We note, however, that individuals have the right of
access to this information if it is maintained by a covered health care
provider, clearinghouse, or health plan that is not subject to CLIA.
Finally, unlike the proposed rule, individuals do not have access to
protected health information held by certain research laboratories that
are exempt from the CLIA regulations. The CLIA regulations specifically
exempt the components or functions of "research laboratories that test
human specimens but do not report patient specific results for the
diagnosis, prevention or treatment of any disease or impairment of, or
the assessment of the health of individual patients." 42 CFR
493.3(a)(2). If subject to the access requirements, these laboratories,
or the applicable components of them, would be forced to comply with the
CLIA regulations once they provided an individual with the access under
this privacy rule. Therefore, to alleviate this additional regulatory
burden, we have exempted these laboratories, or the relevant components
of them, from the access requirements of this regulation.
***Grounds for Denial of Access***
In the NPRM we proposed to permit covered health care providers and
health plans to deny an individual access to inspect and copy protected
health information about them for five reasons: 1) a licensed health
care professional determined the inspection and copying was reasonably
likely to endanger the life or physical safety of the individual or
another person; 2) the information was about another person (other than
a health care provider) and a licensed health care professional
determined the inspection and copying was reasonably likely to cause
substantial harm to that other person; 3) the information was obtained
under a promise of confidentiality from someone other than a health care
provider and the inspection and copying was likely to reveal the source
of the information; 4) the information was obtained by a covered
provider in the course of a clinical trial, the individual agreed to the
denial of access in consenting to participate in the trial, and the
trial was in progress; and 5) the information was compiled in reasonable
anticipation of, or for use in, a legal proceeding. In the NPRM, covered
entities would not have been permitted to use these grounds to deny
individuals access to protected health information that was also subject
to the Privacy Act.
In the final rule, we retain all of these grounds for denial, with some
modifications. One of the proposed grounds for denial (regarding legal
proceedings) is retained as an exception to the right of access. (See
discussion above.) We also include additional grounds for denial and
create a right for individuals to request review of certain denials.
There are five types of denials covered entities may make without
providing the individual with a right to have the denial reviewed.
First, a covered entity may deny an individual access to any information
that is excepted from the right of access under § 164.524(a)(1). (See
discussion above.)
Second, we add a new provision that permits a covered entity that is a
correctional institution or covered health care provider acting under
the direction of a correctional institution to deny an inmate's request
to obtain a copy of protected health information if obtaining a copy
would jeopardize the health, safety, security, custody, or
rehabilitation of the individual or other inmates or the safety of any
officer, employee or other person at the correctional institution or
responsible for the transporting of the inmate. This ground for denial
is restricted to an inmate's request to obtain a copy of protected
health information. If an inmate requests inspection of protected health
information, the request must be granted unless one of the other grounds
for denial applies. The purpose for this exception, and the reason that
the exception is limited to denying an inmate a copy and not to denying
a right to inspect, is to give correctional institutions the ability to
maintain order in these facilities and among inmates without denying an
inmate the right to review his or her protected health information.
Third, as in the proposed rule, a covered entity may deny an individual
access to protected health information obtained by a covered provider in
the course of research that includes treatment of the research
participants, while such research is in progress. For this exception to
apply, the individual must have agreed to the denial of access in
conjunction with the individual's consent to participate in the research
and the covered provider must have informed the individual that the
right of access will be reinstated upon completion of the research. If
either of these conditions is not met, the individual has the right to
inspect and copy the information (subject to the other exceptions we
provide here). In all cases, the individual has the right to inspect and
copy the information after the research is complete.
As with all the grounds for denial, covered entities are not required to
deny access under the research exception. We expect all researchers to
maintain a high level of ethical consideration for the welfare of
research participants and provide access in appropriate circumstances.
For example, if a participant has a severe adverse reaction, disclosure
of information during the course of the research may be necessary to
give the participant adequate information for proper treatment
decisions.
Fourth, we clarify the ability of a covered entity to deny individuals
access to protected health information that is also subject to the
Privacy Act. In the final rule, we specify that a covered entity may
deny an individual access to protected health information that is
contained in records that are subject to the Privacy Act if such denial
is permitted under the Privacy Act. This ground for denial exists in
addition to the other grounds for denial available under this rule. If
an individual requests access to protected health information that is
also subject to the Privacy Act, a covered entity may deny access to
that information for any of the reasons permitted under the Privacy Act
and for any of the reasons permitted under this rule.
Fifth, as in the proposed rule, a covered entity may deny an individual
access to protected health information if the covered entity obtained
the requested information from someone other than a health care provider
under a promise of confidentiality and such access would be reasonably
likely to reveal the source of the information. This provision is
intended to preserve a covered entity's ability to maintain an implicit
or explicit promise of confidentiality. A covered entity may not,
however, deny access to protected health information when the
information has been obtained from a health care provider. An individual
is entitled to have access to all information about him or her generated
by the health care system (apart from the other exceptions we provide
here). Confidentiality promises to health care providers should not
interfere with that access.
As in the proposed rule, a covered entity may deny access to protected
health information under certain circumstances in which the access may
harm the individual or others. In the final rule, we specify that a
covered entity may only deny access for these reasons if the covered
entity provides the individual with a right to have the denial reviewed.
(See below for a discussion of the right to review.)
There are three types of denials for which covered entities must provide
the individual with a right to review. A denial under these provisions
requires a determination by a licensed health care professional (such as
a physician, physician's assistant, or nurse) based on an assessment of
the particular circumstances and current professional medical standards
of harm. Therefore, when the request is made to a health plan or
clearinghouse, the covered entity will need to consult with a licensed
health care professional before denying access under this provision.
First, as in the proposed rule, covered entities may deny individuals
access to protected health information about them if a licensed health
care professional has determined, in the exercise of professional
judgment, that the access requested is reasonably likely to endanger the
life or physical safety of the individual or another person. The most
commonly cited example is when an individual exhibits suicidal or
homicidal tendencies. If a licensed health care professional determines
that an individual exhibits such tendencies and that permitting
inspection or copying of some of the individual's protected health
information is reasonably likely to result in the individual committing
suicide, murder, or other physical violence, then the health care
professional may deny the individual access to that information. Under
this reason for denial, covered entities may not deny access on the
basis of the sensitivity of the health information or the potential for
causing emotional or psychological harm.
Second, as in the proposed rule, covered entities may deny an individual
access to protected health information if the information requested
makes reference to someone other than the individual (and other than a
health care provider) and a licensed health care professional has
determined, in the exercise of professional judgment, that the access
requested is reasonably likely to cause serious harm to that other
person. On some occasions when health information about one person is
relevant to the care of another, a physician may incorporate it into the
latter\'s record, such as information from group therapy sessions and
information about illnesses with a genetic component. This provision
permits a covered entity to withhold information in such cases if the
release of such information is reasonably likely to cause substantial
physical, emotional, or psychological harm.
Third, we add a new provision regarding denial of access requested by
personal representatives. Under § 164.502(g), a person that is a
personal representative of an individual may exercise the rights of the
individual, including the right to inspect and copy protected health
information about the individual that is relevant to such person's
representation. The provision permits covered entities to refuse to
treat a personal representative as the individual, generally, if the
covered entity has a reasonable belief that the individual has been or
will be subjected to domestic violence, abuse or neglect by the personal
representative, or that treating the personal representative as the
individual may endanger the individual and, in its professional
judgment, the covered entity decides that it is not in the best interest
of the individual to treat such person as the personal representative.
In addition to that provision, we add a new provision at §
164.524(a)(3)(iii) to clarify that a covered entity may deny a request
to inspect or copy protected health information if the information is
requested by a personal representative of the individual and a licensed
health care professional has determined that, in the exercise of
professional judgment, such access is reasonably likely to cause
substantial harm to the individual who is the subject of the information
or to another person. The health care professional need not have a
reasonable belief that the personal representative has abused or
neglected the individuals and the harm that is likely to result need not
be limited to the individual who is the subject of the requested
protected health information. Therefore, a covered entity can recognize
a person as a personal representative but deny such person access to
protected health information as a personal representative.
We do not intend these provisions to create a legal duty for the covered
entity to review all of the relevant protected health information before
releasing it. Rather, we are preserving the flexibility and judgment of
covered entities to deny access under appropriate circumstances. Denials
are not mandatory; covered entities may always elect to provide
requested health information to the individual. For each request by an
individual, the covered entity may provide all of the information
requested or evaluate the requested information, consider the
circumstances surrounding the individual's request, and make a
determination as to whether that request should be granted or denied, in
whole or in part, in accordance with one of the reasons for denial under
this rule. We intend to create narrow exceptions to the right of access
and we expect covered entities to employ these exceptions rarely, if at
all. Covered entities may only deny access for the reasons specifically
provided in the rule.
***Review of a Denial of Access***
In the NPRM, we proposed to require covered entities, when denying an
individual's request for access, to inform the individual of how to make
a complaint to the covered entity and the Secretary.
We retain in the final rule the proposed approach (see below). In
addition, if the covered entity denies the request on the basis of one
of the reviewable grounds for denial described above, the individual has
the right to have the denial reviewed by a licensed health care
professional who is designated by the covered entity to act as a
reviewing official and who did not participate in the original decision
to deny access. The covered entity must provide access in accordance
with the reviewing official's determination. ( See below for further
description of the covered entity's requirements under § 164.524(d)(4)
if the individual requests a review of denial of access.)
**Section 164.524(b)---Requests for Access and Timely Action**
In the NPRM, we proposed to require covered health care providers and
health plans to provide a means for individuals to request access to
protected health information about them. We proposed to require covered
health care providers and health plans to take action on a request for
access as soon as possible, but not later than 30 days following the
request.
As in the proposed rule, the final rule requires covered entities to
permit an individual to request access to inspect or to obtain a copy of
the protected health information about the individual that is maintained
in a designated record set. We additionally permit covered entities to
require individuals to make requests for access in writing, if the
individual is informed of this requirement.
In the final rule, we eliminate the requirement for the covered entity
to act on a request as soon as possible. We recognize that circumstances
may arise in which an individual will request access on an expedited
basis. We encourage covered entities to have procedures in place for
handling such requests. The time limitation is intended to be an outside
deadline, rather than an expectation.
In the final rule, covered entities must act on a request for access
within 30 days of receiving the request if the information is maintained
or accessible on-site. Covered entities must act on a request for access
within 60 days of receiving the request if the information is not
maintained or accessible on-site. If the covered entity is unable to act
on a request within the applicable deadline, it may extend the deadline
by no more than 30 days by providing the individual with a written
statement of the reasons for the delay and the date by which the covered
entity will complete its action on the request. This written statement
describing the extension must be provided within the standard deadline.
A covered entity may only extend the deadline once per request for
access. This provision permits a covered entity to take a total of up to
60 days to act on a request for access to information maintained on-site
and up to 90 days to act on a request for access to information
maintained off-site.
The requirements for a covered entity to comply with or deny a request
for access, in whole or in part, are described below.
**Section 164.524(c)---Provision of Access**
In the NPRM, we proposed to require covered health care providers and
health plans, upon accepting a request for access, to notify the
individual of the decision and of any steps necessary to fulfill the
request; to provide the information requested in the form or format
requested, if readily producible in such form or format; and to
facilitate the process of inspection and copying.
We generally retain the proposed approach in the final rule. If a
covered entity accepts a request, in whole or in part, it must notify
the individual of the decision and provide the access requested.
Individuals have the right both to inspect and to copy protected health
information in a designated record set. The individual may choose
whether to inspect the information, to copy the information, or to do
both.
In the final rule, we clarify that if the same protected health
information is maintained in more than one designated record set or at
more than one location, the covered entity is required to produce the
information only once per request for access. We intend this provision
to reduce covered entities' burden in complying with requests without
reducing individuals' access to protected health information. We note
that summary information and reports are not the same as the underlying
information on which the summary or report was based. Individuals have
the right to obtain access both to summaries and to the underlying
information. An individual retains the right of access to the underlying
information even if the individual requests access to, or production of,
a summary. (See below regarding requests for summaries.)
The covered entity must provide the information requested in the form or
format requested if it is readily producible in such form or format. For
example, if the covered entity maintains health information
electronically and the individual requests an electronic copy, the
covered entity must accommodate such request, if possible. Additionally,
we specify that if the information is not available in the form or
format requested, the covered entity must produce a readily readable
hard copy of the information or another form or format to which the
individual and covered entity can agree. If the individual agrees,
including agreeing to any associated fees (see below), the covered
entity may provide access to a summary of information rather than all
protected health information in designated record sets. Similarly, a
covered entity may provide an explanation in addition to the protected
health information, if the individual agrees in advance to the
explanation and any associated fees.
The covered entity must provide the access requested in a timely manner,
as described above, and arrange for a mutually convenient time and place
for the individual to inspect the protected health information or obtain
a copy. If the individual requests that the covered entity mail a copy
of the information, the covered entity must do so, and may charge
certain fees for copying and mailing. For requests to inspect
information that is maintained electronically, the covered entity may
print a copy of the information and allow the individual to view the
print-out on-site. Covered entities may discuss the request with the
individual as necessary to facilitate the timely provision of access.
For example, if the individual requested a copy of the information by
mail, but the covered entity is able to provide the information faster
by providing it electronically, the covered entity may discuss this
option with the individual.
We proposed in the NPRM to permit the covered entity to charge a
reasonable, cost-based fee for copying the information.
We clarify this provision in the final rule. If the individual requests
a copy of protected health information, a covered entity may charge a
reasonable, cost‑based fee for the copying, including the labor and
supply costs of copying. If hard copies are made, this would include the
cost of paper. If electronic copies are made to a computer disk, this
would include the cost of the computer disk. Covered entities may not
charge any fees for retrieving or handling the information or for
processing the request. If the individual requests the information to be
mailed, the fee may include the cost of postage. Fees for copying and
postage provided under state law, but not for other costs excluded under
this rule, are presumed reasonable. If such per page costs include the
cost of retrieving or handling the information, such costs are not
acceptable under this rule.
If the individual requests an explanation or summary of the information
provided, and agrees in advance to any associated fees, the covered
entity may charge for preparing the explanation or summary as well.
The inclusion of a fee for copying is not intended to impede the ability
of individuals to copy their records. Rather, it is intended to reduce
the burden on covered entities. If the cost is excessively high, some
individuals will not be able to obtain a copy. We encourage covered
entities to limit the fee for copying so that it is within reach of all
individuals.
We do not intend to affect the fees that covered entities charge for
providing protected health information to anyone other than the
individual. For example, we do not intend to affect current practices
with respect to the fees one health care provider charges for forwarding
records to another health care provider for treatment purposes.
**Section 164.524(d)---Denial of Access**
We proposed in the NPRM to require a covered health care provider or
health plan that elects to deny a request for inspection or copying to
make any other protected health information requested available to the
individual to the extent possible, consistent with the denial.
In the final rule, we clarify the proposed approach. A covered entity
that denies access, in whole or in part, must, to the extent possible,
give the individual access to any other protected health information
requested after excluding the protected health information to which the
covered entity has a ground to deny access. We intend covered entities
to redact or otherwise exclude only the information that falls within
one or more of the denial criteria described above and to permit
inspection and copying of all remaining information, to the extent it is
possible to do so.
We also proposed to require covered providers and health plans, upon
denying a request for access in whole or in part, to provide the
individual with a written statement in plain language of the basis for
the denial and how the individual could make a complaint to the covered
entity or the Secretary.
We retain the proposed approach. A covered entity that denies access, in
whole or in part, must provide the individual with a written denial in
plain language that explains the basis for the denial. The written
denial could include a direct reference to the section of the regulation
relied upon for the denial, but the regulatory citation alone does not
sufficiently explain the reason for the denial. The written denial must
also describe how the individual can complain to the covered entity and
the Secretary and must include the name or title and the telephone
number of the covered entity's contact person or office that is
responsible for receiving complaints.
In the final rule, we impose two additional requirements when the
covered entity denies access, in whole or in part. First, if a covered
entity denies a request on the basis of one of the reviewable grounds
for denial, the written denial must describe the individual's right to a
review of the denial and how the individual may exercise this right.
Second, if the covered entity denies the request because it does not
maintain the requested information, and the covered entity knows where
the requested information is maintained, the covered entity must inform
the individual where to direct the request for access.
Finally, we specify a covered entity's responsibilities when an
individual requests a review of a denial. If the individual requests a
review of a denial made under § 164.524(a)(3), the covered entity must
designate a licensed health care professional to act as the reviewing
official. This reviewing official must not have been involved in the
original decision to deny access. The covered entity must promptly refer
a request for review to the designated reviewing official. The reviewing
official must determine, within a reasonable period of time, whether or
not to deny the access requested based on the standards in §
164.524(a)(3). The covered entity must promptly provide the individual
with written notice of the reviewing official's decision and otherwise
carry out the decision in accordance with the requirements of this
section.
**Section 164.524(e)---Policies, Procedures, and Documentation**
As in the proposed rule, we establish documentation requirements for
covered entities that are subject to this provision. In accordance with
§ 164.530(j), the covered entity must retain documentation of the
designated record sets that are subject to access by individuals and the
titles of the persons or offices responsible for receiving and
processing requests for access by individuals.
**SECTION 164.526---AMENDMENT OF PROTECTED HEALTH INFORMATION**
**Section 164.526(a)---Right to Amend**
In proposed § 164.516, we proposed to establish the individual's right
to request a covered health care provider or health plan to amend or
correct protected health information about the individual for as long as
the covered entity maintains the information.
In § 164.526 of the final rule, we retain the general proposed approach,
but establish an individual's right to have the covered entity amend,
rather than amend or correct, protected health information. This right
applies to protected health information and records in a designated
record set for as long as the information is maintained in the
designated record set. In the final rule, covered health care providers,
health plans, and health care clearinghouses that create or receive
protected health information other than as a business associate must
comply with these requirements.
***Denial of Amendment***
We proposed to permit a covered health care provider or health plan to
deny a request for amendment if it determined that the protected health
information that was the subject of the request was not created by the
covered provider or health plan, would not be available for inspection
and copying under proposed § 164.514, or was accurate and complete. A
covered entity would have been permitted, but not required, to deny a
request if any of these conditions were met.
As in the proposed rule, the final rule permits a covered entity to deny
a request for amendment if the covered entity did not create the
protected health information or record that is the subject of the
request for amendment. We add one exception to this provision: if the
individual provides a reasonable basis to believe that the originator of
the protected health information is no longer available to act on the
requested amendment, the covered entity must address the request for
amendment as though the covered entity had created the information.
As in the proposed rule, a covered entity also may deny a request for
amendment if the protected health information that is the subject of the
request for amendment is not part of a designated record set or would
not otherwise be available for inspection under § 164.524. We eliminate
the ability to deny a request for amendment if the information or record
that is the subject of the request would not be available for copying
under the rule. Under § 164.524(a)(2)(ii), an inmate may be denied a
copy of protected health information about the inmate. We intend to
preserve an inmate's ability to request amendments to information, even
if a copy of the information would not be available to the inmate,
subject to the other exceptions provided in this section.
Finally, as in the proposed rule, a covered entity may deny a request
for amendment if the covered entity determines that the information in
dispute is accurate and complete. We draw this concept from the Privacy
Act of 1974, governing records held by federal agencies, which permits
an individual to request correction or amendment of a record \"which the
individual believes is not accurate, relevant, timely, or complete.\" (5
U.S.C. 552a(d)(2)). We adopt the standards of "accuracy" and
"completeness" and draw on the clarification and analysis of these terms
that have emerged in administrative and judicial interpretations of the
Privacy Act during the last 25 years. We note that for federal agencies
that are also covered entities, this rule does not diminish their
present obligations under the Privacy Act of 1974.
This right is not intended to interfere with medical practice or to
modify standard business record keeping practices. Perfect records are
not required. Instead, a standard of reasonable accuracy and
completeness should be used. In addition, this right is not intended to
provide a procedure for substantive review of decisions such as coverage
determinations by payors. It is intended only to affect the content of
records, not the underlying truth or correctness of materials recounted
therein. Attempts under the Privacy Act of 1974 to use this mechanism as
a basis for collateral attack on agency determinations have generally
been rejected by the courts. The same results are intended here.
**Section 164.526(b)---Requests for Amendment and Timely Action**
We proposed to require covered health care providers and health plans to
provide a means for individuals to request amendment of protected health
information about them. Under the NPRM, we would have required covered
health care providers and health plans to take action on a request for
amendment or correction within 60 days of the request.
As in the proposed rule, covered entities must permit individuals to
request that the covered entity amend protected health information about
them. We also permit certain specifications for the form and content of
the request. If a covered entity informs individuals of such
requirements in advance, a covered entity may require individuals to
make requests for amendment in writing and to provide a reason to
support a requested amendment. If the covered entity imposes such a
requirement and informs individuals of the requirement in advance, the
covered entity is not required to act on an individual's request that
does not meet the requirements.
We retain the requirement for covered entities to act on a request for
amendment within 60 days of receipt of the request. In the final rule,
we specify the nature of the action the covered entity must take within
the time frame. The covered entity must inform the individual, as
described below, that the request has been either accepted or denied, in
whole or in part. It must also take certain actions pursuant to its
decision to accept or deny the request, as described below. If the
covered entity is unable to meet the deadline, the covered entity may
extend the deadline by no more than 30 days. The covered entity must
inform the individual in writing, within the initial 60-day period, of
the reason for the delay and the date by which the covered entity will
complete its action on the request. A covered entity may only extend the
deadline one time per request for amendment.
**Section 164.526(c)---Accepting the Amendment**
If a covered health care provider or health plan accepted a request for
amendment, in whole or in part, we proposed to require the covered
entity to make the appropriate change. The covered entity would have had
to identify the challenged entries as amended or corrected and indicate
the location of the amended or corrected information.
We also proposed to require the covered provider or health plan to make
reasonable efforts to notify certain entities of the amendment: 1)
entities the individual identified as needing to be notified and 2)
entities the covered provider or health plan knew had received the
erroneous or incomplete information and who may have relied, or could
foreseeably rely, on such information to the detriment of the
individual.
The covered provider or health plan would also have been required to
notify the individual of the decision to amend the information.
As in the proposed rule, if a covered entity accepts an individual's
request for amendment or correction, it must make the appropriate
amendment. In the final rule, we clarify that, at a minimum, the covered
entity must identify the records in the designated record set that are
affected by the amendment and must append or otherwise provide a link to
the location of the amendment. We do not require covered entities to
expunge any protected health information. Covered entities may expunge
information if doing so is consistent with other applicable law and the
covered entity's record keeping practices.
We alter some of the required procedures for informing the individual
and others of the accepted amendment. As in the proposed rule, the
covered entity must inform individuals about accepted amendments. In the
final rule, the covered entity must obtain the individual's agreement to
have the amended information shared with certain persons. If the
individual agrees, the covered entity must make reasonable efforts to
provide a copy of the amendment within a reasonable time to: 1) persons
the individual identifies as having received protected health
information about the individual and needing the amendment; and 2)
persons, including business associates, that the covered entity knows
have the unamended information and who may have relied, or could
foreseeably rely, on the information to the detriment of the individual.
For example, a covered entity must make reasonable efforts to inform a
business associate that uses protected health information to make
decisions about individuals about amendments to protected health
information used for such decisions.
**Section 164.526(d)---Denying the Amendment**
If a covered health care provider or health plan denied a request for
amendment, in whole or in part, we proposed to require the covered
entity to provide the individual with a written statement in plain
language of the basis for the denial, a description of how the
individual could submit a written statement of disagreement with the
denial, and a description of how the individual could make a complaint
with the covered entity and the Secretary.
We proposed to require covered health care providers and health plans to
have procedures to permit the individual to file a written statement of
disagreement with the denial and to include the covered entity's
statement of denial and the individual's statement of disagreement with
any subsequent disclosure of the disputed information. Covered entities
would have been permitted to establish a limit to the length of the
individual's statement of disagreement and to summarize the statement if
necessary. We also proposed to permit covered entities to provide a
rebuttal to the individual's statement with future disclosures.
As in the proposed rule, if a covered entity denies a request for
amendment, it must provide the individual with a statement of denial
written in plain language. The written denial must include the basis for
the denial, how the individual may file a written statement disagreeing
with the denial, and how the individual may make a complaint to the
covered entity and the Secretary.
In the final rule, we additionally require the covered entity to inform
individuals of their options with respect to future disclosures of the
disputed information in order to ensure that an individual is aware of
his or her rights. The written denial must state that if the individual
chooses not to file a statement of disagreement, the individual may
request that the covered entity include the individual's request for
amendment and the covered entity's denial of the request with any future
disclosures of the protected health information that is the subject of
the requested amendment.
As in the proposed rule, the covered entity must permit the individual
to submit a written statement disagreeing with the denial and the basis
of such disagreement. The covered entity may reasonably limit the length
of a statement of disagreement and may prepare a written rebuttal to the
individual's statement of disagreement. If the covered entity prepares a
rebuttal, it must provide a copy to the individual.
The covered entity must identify the record or protected health
information that is the subject of the disputed amendment and append or
otherwise link the following information to the designated record set:
the individual's request for amendment, the covered entity's denial of
the request, the individual's statement of disagreement (if any), and
the covered entity's rebuttal (if any). If the individual submits a
written statement of disagreement, all of the appended or linked
information, or an accurate summary of it, must be included with any
subsequent disclosure of the protected health information to which the
disagreement relates. If the individual does not submit a written
statement of disagreement, the covered entity must include the appended
or linked information only if the individual requests that the covered
entity do so.
In the final rule, we clarify that when a subsequent disclosure is a
standard transaction adopted under the Transactions Rule that cannot
accommodate the additional materials described above, the covered entity
may separately disclose the additional material to the recipient of the
transaction.
**Section 164.526(e)---Actions on Notices of Amendment**
We proposed to require any covered entity that received a notification
of amendment to have procedures in place to make the amendment in any of
its designated record sets and to notify its business associates, if
appropriate, of amendments.
We retain the proposed approach in the final rule. If a covered entity
receives a notification of amended protected health information from
another covered entity as described above, the covered entity must make
the necessary amendment to protected health information in designated
record sets it maintains. In addition, covered entities must require
their business associates who receive such notifications to incorporate
any necessary amendments to designated record sets maintained on the
covered entity's behalf. (See § 164.504 regarding business associate
requirements.)
**Section 164.526(f)---Policies, Procedures, and Documentation**
As in the proposed rule, we establish documentation requirements for
covered entities subject to this provision. In accordance with §
164.530(j), the covered entity must document the titles of the persons
or offices responsible for receiving and processing requests for
amendment.
**§ 164.528 - ACCOUNTING OF DISCLOSURES OF PROTECTED HEALTH
INFORMATION**
***Right to an Accounting of Disclosures***
We proposed in the NPRM to grant individuals a right to receive an
accounting of all disclosures of protected health information about them
by a covered entity for purposes other than treatment, payment, and
health care operations. We proposed this right to exist for as long as
the covered entity maintained the protected health information.
We also proposed that individuals would not have a right to an
accounting of disclosures to health oversight or law enforcement
agencies if the agency provided a written request for exclusion for a
specified time period and the request stated that access by the
individual during that time period would be reasonably likely to impede
the agency's activities.
We generally retain the proposed approach in the final rule. As in the
proposed rule, individuals have a right to receive an accounting of
disclosures made by a covered entity, including disclosures by or to a
business associate of the covered entity, for purposes other than
treatment, payment, and health care operations, subject to certain
exceptions as discussed below.
We revise the duration of this right under the final rule. Individuals
have a right to an accounting of the applicable disclosures that have
been made in the 6 year period prior to the date of a request for an
accounting. We additionally clarify in § 164.528(b)(1) that an
individual may request, and a covered entity may then provide, an
accounting of disclosures for a period of time less than 6 years from
the date of the request. For example, an individual could request an
accounting only of disclosures that occurred during the year prior to
the request.
In the final rule, we exclude several additional types of disclosures
from the accounting requirement. Covered entities are not required to
include in the accounting disclosures to the individual as provided in §
164.502; disclosures for facility directories, disclosures to persons
involved in the individual's care, or other disclosures for notification
purposes as provided in § 164.510; disclosures for national security or
intelligence purposes as provided in § 164.512(k)(2); disclosures to
correctional institutions or law enforcement officials as provided in §
164.512(k)(5); or any disclosures that were made by the covered entity
prior to the compliance date of the rule for that covered entity.
We retain the time-limited exclusion for disclosures to health oversight
and law enforcement agencies, but require rather than permit the
exclusion for the specified time period. Covered entities must exclude
disclosures to a health oversight agency or law enforcement official
from the accounting for the time period specified by the applicable
agency or official if the agency or official provides the covered entity
with a statement that inclusion of the disclosure(s) in the accounting
to the individual during that time period would be reasonably likely to
impede the agency or official's activities. The agency or official's
statement must specifically state how long the information must be
excluded. At the expiration of that period, the covered entity is
required to include the disclosure(s) in an accounting for the
individual. If the agency or official's statement is made orally, the
covered entity must document the identity of the agency or official who
made the statement and must exclude the disclosure(s) for no longer than
30 days from the date of the oral statement, unless a written statement
is provided during that time. If the agency or official provides a
written statement, the covered entity must exclude the disclosure(s) for
the time period specified in the written statement.
***Content of the Accounting***
We proposed in the NPRM to require the accounting to include all
disclosures as described above, including disclosures authorized by the
individual. The accounting would have been required to contain the date
of each disclosure; the name and address of the organization or person
who received the protected health information; a brief description of
the information disclosed; and copies of all requests for disclosures.
For disclosures other than those made at the request of the individual,
the accounting would have also included the purpose for which the
information was disclosed.
We generally retain the proposed approach in the final rule, but do not
require covered entities to make copies of authorizations or other
requests for disclosures available with the accounting. Instead, we
require the accounting to contain a brief statement of the purpose of
the disclosure. The statement must reasonably inform the individual of
the basis for the disclosure. In lieu of the statement of purpose, a
covered entity may include a copy of the individual's authorization
under § 164.508 or a copy of a written request for disclosure, if any,
under § 164.502(a)(2)(ii) or § 164.512. We also clarify that covered
entities are only required to include the address of the recipient of
the disclosed protected health information if the covered entity knows
the address.
We add a provision allowing for a summary accounting of recurrent
disclosures. For multiple disclosures to the same recipient pursuant to
a single authorization under § 164.508 or for a single purpose under §§
164.502(a)(2)(ii) or 164.512, the covered entity may provide a summary
accounting addressing the series of disclosures rather than a detailed
accounting of each disclosure in the series. In this circumstance, a
covered entity may limit the accounting of the series of disclosures to
the following information: the information otherwise required above for
the first disclosure in the series during the accounting period; the
frequency, periodicity, or number of disclosures made during the
accounting period; and the date of the most recent disclosure in the
series. For example, if under § 164.512(b), a covered entity discloses
the same protected health information to a public health authority for
the same purpose every month, it can account for those disclosures by
including in the accounting the date of the first disclosure, the public
health authority to whom the disclosures were made and the public health
authority's address, a brief description of the information disclosed, a
brief description of the purpose of the disclosures, the fact that the
disclosures were made every month during the accounting period, and the
date of the most recent disclosure.
***Provision of the Accounting***
We proposed in the NPRM to require covered entities to provide
individuals with an accounting of disclosures as soon as possible, but
not later than 30 days following receipt of the request for the
accounting.
In the final rule, we eliminate the requirement for the covered entity
to act as soon as possible. We recognize that circumstances may arise in
which an individual will request an accounting on an expedited basis. We
encourage covered entities to implement procedures for handling such
requests. The time limitation is intended to be an outside deadline,
rather than an expectation. We expect covered entities always to be
attentive to the circumstances surrounding each request and to respond
in an appropriate time frame.
In the final rule, covered entities must provide a requested accounting
no later than 60 days after receipt of the request. If the covered
entity is unable to meet the deadline, the covered entity may extend the
deadline by no more than 30 days. The covered entity must inform the
individual in writing, within the standard 60-day deadline, of the
reason for the delay and the date by which the covered entity will
provide the request. A covered entity may only extend the deadline one
time per request for accounting.
The NPRM did not address whether a covered entity could charge a fee for
the accounting of disclosures.
In the final rule, we provide that individuals have a right to receive
one free accounting per 12 month period. For each additional request by
an individual within the 12 month period, the covered entity may charge
a reasonable, cost-based fee. If it imposes such a fee, the covered
entity must inform the individual of the fee in advance and provide the
individual with an opportunity to withdraw or modify the request in
order to avoid or reduce the fee.
***Procedures and Documentation***
As in the proposed rule, we establish documentation requirements for
covered entities subject to this provision. In accordance with §
164.530(j), for disclosures that are subject to the accounting
requirement, the covered entity must retain documentation of the
information required to be included in the accounting. The covered
entity must also retain a copy of any accounting provided and must
document the titles of the persons or offices responsible for receiving
and processing requests for an accounting.
**SECTION 164.530---ADMINISTRATIVE REQUIREMENTS**
***Designation of a Privacy Official and Contact Person***
In § 164.518(a) of the NPRM, we proposed that covered entities be
required to designate an individual as the covered entity's privacy
official, responsible for the implementation and development of the
entity's privacy policies and procedures. We also proposed that covered
entities be required to designate a contact person to receive complaints
about privacy and provide information about the matters covered by the
entity's notice. We indicated that the contact person could be, but was
not required to be, the person designated as the privacy official. We
proposed to leave implementation details to the discretion of the
covered entity. We expected implementation to vary widely depending on
the size and nature of the covered entity, with small offices assigning
this as an additional duty to an existing staff person, and large
organizations creating a full-time privacy official. In proposed §
164.512, we also proposed to require the covered plan or provider\'s
privacy notice to include the name of a contact person for privacy
matters.
The final regulation retains the requirements for a privacy official and
contact person as specified in the NPRM. These designations must be
documented. The designation of privacy official and contact person
positions within affiliated entities will depend on how the covered
entity chooses to designate the covered entity(ies) under § 164.504(b).
If a subsidiary is defined as a covered entity under this regulation,
then a separate privacy official and contact person is required for that
covered entity. If several subsidiaries are designated as a single
covered entity, pursuant to § 164.504(b), then together they need have
only a single privacy officer and contact person. If several covered
entities share a notice for services provided on the same premises,
pursuant to § 164.520(d), that notice need designate only one privacy
official and contact person for the information collected under that
notice.
These requirements are consistent with the approach recommended by the
Joint Commission on Accreditation of Healthcare Organizations, and the
National Committee for Quality Assurance, in its paper "Protecting
Personal Health Information; A framework for Meeting the Challenges in a
Managed Care Environment." This paper notes that "accountability is
enhanced by having focal points who are responsible for assessing
compliance with policies and procedures\..." (p. 29)
***Training***
In § 164.518(b) of the NPRM we proposed to require that covered entities
provide training on the entities' policies and procedures to all members
of the workforce likely to have access to protected health information.
Each entity would be required to provide initial training by the date on
which this rule became applicable. After that date, each covered entity
would have to provide training to new members of the workforce within a
reasonable time after joining the entity. In addition, we proposed that
when a covered entity made material changes in its privacy policies or
procedures, it would be required to retrain those members of the
workforce whose duties were related to the change within a reasonable
time of making the change.
The NPRM would have required that, upon completion of the training, the
trainee would be required to sign a statement certifying that he or she
received the privacy training and would honor all of the entity\'s
privacy policies and procedures. Entities would determine the most
effective means of achieving this training requirement for their
workforce. We also proposed that, at least every three years after the
initial training, covered entities would be required to have each member
of the workforce sign a new statement certifying that he or she would
honor all of the entity\'s privacy policies and procedures. The covered
entity would have been required to document its policies and procedures
for complying with the training requirements.
The final regulation requires covered entities to train all members of
their workforce on the policies and procedures with respect to protected
health information required by this rule, as necessary and appropriate
for the members of the workforce to carry out their functions within the
covered entity. We do not change the proposed time lines for training
existing and new members of the workforce, or for training due to
material changes in the covered entity's policies and procedures. We
eliminate both the requirement for employees to sign a certification
following training and the triennial re-certification requirement.
Covered entities are responsible for implementing policies and
procedures to meet these requirements and for documenting that training
has been provided.
***Safeguards***
In § 164.518(c) of the NPRM, we proposed to require covered entities to
put in place administrative, technical, and physical safeguards to
protect the privacy of protected health information. We made reference
in the preamble to similar requirements proposed for certain electronic
information in the Notice of Proposed Rulemaking entitled the Security
and Electronic Signature Standards (HCFA‑0049‑P). We stated that we were
proposing parallel and consistent requirements for safeguarding the
privacy of protected health information. In § 164.518(c)(3) of the NPRM,
we required covered entities to have safeguards to ensure that
information was not used in violation of the requirements of this
subpart or by people who did not have proper authorization to access the
information.
We do not change the basic proposed requirements that covered entities
have administrative, technical and physical safeguards to protect the
privacy of protected health information. We combine the proposed
requirements into a single standard that requires covered entities to
safeguard protected health information from accidental or intentional
use or disclosure that is a violation of the requirements of this rule
and to protect against the inadvertent disclosure of protected health
information to persons other than the intended recipient. Limitations on
access to protected health information by the covered entities workforce
will also be covered by the policies and procedures for"minimum
necessary" use of protected health information, pursuant to §
164.514(d). We expect these provisions to work in tandem.
We do not prescribe the particular measures that covered entities must
take to meet this standard, because the nature of the required policies
and procedures will vary with the size of the covered entity and the
type of activities that the covered entity undertakes. (That is, as with
other provisions of this rule, this requirement is "scalable.") Examples
of appropriate safeguards include requiring that documents containing
protected health information be shredded prior to disposal, and
requiring that doors to medical records departments (or to file cabinets
housing such records) remain locked and limiting which personnel are
authorized to have the key or pass-code. We intend this to be a common
sense, scalable, standard. We do not require covered entities to
guarantee the safety of protected health information against all
assaults. Theft of protected health information may or may not signal a
violation of this rule, depending on the circumstances and whether the
covered entity had reasonable policies to protect against theft.
Organizations such as the Association for Testing and Materials (ASTM)
and the American Health Information Management Association (AHIMA) have
developed a body of recommended practices for handling of protected
health information that covered entities may find useful.
We note that the proposed HIPAA Security Standards would require covered
entities to safeguard the privacy and integrity of health information.
For electronic information, compliance with both regulations will be
required.
In § 164.518(c)(2) of the NPRM we proposed requirements for verification
procedures to establish identity and authority for permitted disclosures
of protected health information.
In the final rule, this material has been moved to § 164.514(h).
***Use or Disclosure of Protected Health Information by
Whistleblowers***
In § 164.518(c)(4) of the NPRM, this provision was entitled
"Implementation Specification: Disclosures by whistleblowers." It is now
retitled "Disclosures by whistleblowers," with certain changes, and
moved to § 164.502(j)(1).
***Complaints to the Covered Entity***
In § 164.518(d) of the NPRM, we proposed to require covered entities to
have a mechanism for receiving complaints from individuals regarding the
health plan\'s or provider\'s compliance with the requirements of this
proposed rule. We did not require that the health plan or provider
develop a formal appeals mechanism, nor that \"due process\" or any
similar standard be applied. Additionally, there was no requirement to
respond in any particular manner or time frame.
We proposed two basic requirements for the complaint process. First, the
covered health plan or health care provider would be required to
identify in the notice of information practices a contact person or
office for receiving complaints. Second, the health plan or provider
would be required to maintain a record of the complaints that are filed
and a brief explanation of their resolution, if any.
In the final rule, we retain the requirement for an internal complaint
process for compliance with this rule, including the two basic
requirements of identifying a contact person and documenting complaints
received and their dispositions, if any. We expand the scope of
complaints that covered entities must have a means of receiving to
include complaints concerning violations of the covered entity's privacy
practices, not just violations of the rule. For example, a covered
entity must have a mechanism for receiving a complaint that patient
information is used at a nursing station in a way that it can also be
viewed by visitors to the hospital, regardless of whether the practices
at the nursing stations might constitute a violation of this rule.
***Sanctions***
In § 164.518(e) of the NPRM, we proposed to require all covered entities
to develop, and apply when appropriate, sanctions against members of its
workforce who failed to comply with privacy policies or procedures of
the covered entity or with the requirements of the rule. Covered
entities would be required to develop and impose sanctions appropriate
to the nature of the violation. The preamble stated that the type of
sanction applied would vary depending on factors such as the severity of
the violation, whether the violation was intentional or unintentional,
and whether the violation indicated a pattern or practice of improper
use or disclosure of protected health information. Sanctions could range
from a warning to termination. The NPRM preamble language also stated
that covered entities would be required to apply sanctions against
business associates that violated the proposed rule.
In the final rule, we retain the requirement for sanctions against
members of a covered entity's workforce. We also require a covered
entity to have written policies and procedures for the application of
appropriate sanctions for violations of this subpart and to document
those sanctions. These sanctions do not apply to whistleblower
activities that meet the provisions of § 164.502(j) or complaints,
investigations, or opposition that meet the provisions of §
164.530(g)(2). We eliminate language regarding business associates from
this section. Requirements with respect to business associates are
stated in § 164.504.
***Duty To Mitigate***
In proposed § 164.518(f), we would have required covered entities to
have policies and procedures for mitigating, to the extent practicable,
any deleterious effect of a use or disclosure of protected health
information in violation of the requirements of this subpart. The NPRM
preamble also included specific language applying this requirement to
harm caused by members of the covered entity's workforce and business
associates.
With respect to business associates, the NPRM preamble but not the NPRM
rule text, stated that covered entities would have a duty to take
reasonable steps in response to breaches of contract terms. Covered
entities generally would not be required to monitor the activities of
their business associates, but would be required to take steps to
address problems of which they become aware, and, where the breach was
serious or repeated, would also be required to monitor the business
associate\'s performance to ensure that the wrongful behavior had been
remedied. Termination of the arrangement would be required only if it
became clear that a business associate could not be relied upon to
maintain the privacy of protected health information provided to it.
In the final rule, we clarify this requirement by imposing a duty for
covered entities to mitigate any harmful effect of a use or disclosure
of protected health information that is known to the covered entity. We
apply the duty to mitigate to a violation of the covered entity's
policies and procedures, not just a violation of the requirements of the
subpart. We resolve the ambiguities in the NPRM by imposing this duty on
covered entities for harm caused by either members of their workforce or
by their business associates.
We eliminate the language regarding potential breaches of business
associate contracts from this section. All other requirements with
respect to business associates are stated in § 164.504.
***Refraining from Intimidating or Retaliatory Acts***
In § 164.522(d)(4) of the NPRM, in the Compliance and Enforcement
section, we proposed that one of the responsibilities of a covered
entity would be to refrain from intimidating or retaliatory acts.
Specifically, the rule provided that "\[a\] covered entity may not
intimidate, threaten, coerce, discriminate against, or take other
retaliatory action against any individual for the filing of a complaint
under this section, for testifying, assisting, participating in any
manner in an investigation, compliance review, proceeding or hearing
under this Act, or opposing any act or practice made unlawful by this
subpart."
In the final rule, we continue to require that entities refrain from
intimidating or retaliatory acts; however, the provisions have been
moved to the Administrative Requirements provisions in § 164.530. This
change is not just clerical; in making this change, we apply this
provision to the privacy rule alone rather than to all the HIPAA
administrative simplification rules. (The compliance and enforcement
provisions that were in § 164 are now in Part 160, Subpart C.)
We continue to prohibit retaliation against individuals for filing a
complaint with the Secretary, but also prohibit retaliation against any
other person who files such a complaint. This is the case because the
term "individual" is generally limited to the person who is the subject
of the information. The final rule prohibits retaliation against
persons, not just individuals, for testifying, assisting, or
participating in an investigation, compliance review, proceeding or
hearing under Part C of Title XI. The proposed regulation referenced the
"Act," which is defined in Part 160 as the Social Security Act. Because
we only intend to protect activities such as participation in
investigations and hearings under the Administrative Simplification
provisions of HIPAA, the final rule references Part C of Title XI of the
Social Security Act.
The proposed rule would have prohibited retaliatory actions against
individuals for opposing any act or practice made unlawful by this
subpart. The final rule retains this provision, but applies it to any
person, only if the person "has a good faith belief that the practice
opposed is unlawful, the manner of the opposition is reasonable and does
not involve a disclosure of protected health information in violation of
this subpart." The final rule provides additional protections, which had
been included in the preamble to the proposed rule. Specifically, we
prohibit retaliatory actions against individuals who exercise any right,
or participate in any process established by the privacy rule (Part 164
Subpart E), and include as an example the filing of a complaint with the
covered entity.
***Waiver of Rights***
In the final regulation, but not in the proposed regulation, we provide
that a covered entity may not require individuals to waive their rights
to file a complaint with the Secretary or their other rights under this
rule as a condition of the provision of treatment, payment, enrollment
in a health plan or eligibility for benefits. This provision ensures
that covered entities do not take away the rights that individuals have
been provided in Parts 160 and 164.
***Requirements for Policies and Procedures, and Documentation
requirements***
In § 164.520 of the NPRM, we proposed to require covered entities to
develop and document their policies and procedures for implementing the
requirements of the rule. In the final regulation we retain this
approach, but specify which standards must be documented in each of the
relevant sections. In this section, we state the general administrative
requirements applicable to all policies and procedures required
throughout the regulation.
In § 164.530(i), (j), and (k) of the final rule, we amend the NPRM
language in several respects. In § 164.530(i) we require that the
policies and procedures be reasonably designed to comply with the
standards, implementation specifications, and other requirements of the
relevant part of the regulation, taking into account the size of the
covered entity and the nature of the activities undertaken by the
covered entity that relate to protected health information. However, we
clarify that the requirements that policies and procedures be reasonably
designed may not be interpreted to permit or excuse any action that
violates the privacy regulation. Where the covered entity has stated in
its notice that it reserves the right to change information practices,
we allow the new practice to apply to information created or collected
prior to the effective date of the new practice and establish
requirements for making this change. We also establish the conditions
for making changes if the covered entity has not reserved the right to
change its practices.
We require covered entities to modify in a prompt manner their policies
and procedures to comply with changes in relevant law and, where the
change also affects the practices stated in the notice, to change the
notice. We make clear that nothing in our requirements regarding changes
to policies and procedures or changes to the notice may be used by a
covered entity to excuse a failure to comply with applicable law.
In § 164.530(j), we require that the policies and procedures required
throughout the regulation be maintained in writing, and that any other
communication, action, activity, or designation that must be documented
under this regulation be documented in writing. We note that "writing"
includes electronic storage; paper records are not required. We also
note that, if a covered entity is required to document the title of a
person, we mean the job title or similar description of the relevant
position or office.
We require covered entities to retain any documentation required under
this rule for at least six years (the statute of limitations period for
the civil penalties) from the date of the creation of the documentation,
or the date when the document was last in effect, which ever is later.
This generalizes the NPRM provision to cover all documentation required
under the rule. The language on "last was in effect" is a change from
the NPRM which was worded "unless a longer period applies under this
subpart."
This approach is consistent with the approach recommended by the Joint
Commission on Accreditation of Healthcare Organizations, and the
National Committee for Quality Assurance, in its paper "Protecting
Personal Health Information; A framework for Meeting the Challenges in a
Managed Care Environment." This paper notes that "MCOs \[Managed Care
Organizations\] should have clearly defined policies and procedures for
dealing with confidentiality issues." (p. 29).
***Standards for Certain Group Health Plans***
We add a new provision (§ 164.530(k)) to clarify the administrative
responsibilities of group health plans that offer benefits through
issuers and HMOs. Specifically, a group health plan that provides
benefits solely through an issuer or HMO, and that does not create,
receive or maintain protected health information other than summary
health information or information regarding enrollment and
disenrollment, is not subject to the requirements of this section
regarding designation of a privacy official and contact person,
workforce training, safeguards, complaints, mitigation, or policies and
procedures. Such a group health plan is only subject to the requirements
of this section regarding documentation with respect to its plan
documents. Issuers and HMOs are covered entities under this rule, and
thus have independent obligations to comply with this section with
respect to the protected health information they maintain about the
enrollees in such group health plans. The group health plans subject to
this provision will have only limited protected health information.
Therefore, imposing these requirements on the group health plan would
impose burdens not outweighed by a corresponding enhancement in privacy
protections.
**SECTION 164.532 -- TRANSITION PROVISIONS**
In the NPRM, we did not address the effect of the regulation on consents
and authorizations covered entities obtained prior to the compliance
date of the regulation.
In the final rule, we clarify that, in certain circumstances, a covered
entity may continue to rely upon consents, authorizations, or other
express legal permissions obtained prior to the compliance date of this
regulation to use or disclose protected health information even if these
consents, authorizations, or permissions do not meet the requirements
set forth in §§ 164.506 or 164.508.
We realize that a covered entity may wish to rely upon a consent,
authorization, or other express legal permission obtained from an
individual prior to the compliance date of this regulation which permits
the use or disclosure of individually identifiable health information
for activities that come within treatment, payment, or health care
operations (as defined in § 164.501), but that do not meet the
requirements for consents set forth in § 164.506. In the final rule, we
permit a covered entity to rely upon such consent, authorization, or
permission to use or disclose protected health information that it
created or received before the applicable compliance date of the
regulation to carry out the treatment, payment, or health care
operations as long as it meets two requirements. First, the covered
entity may not make any use or disclosure that is expressly excluded
from the consent, authorization, or permission. Second, the covered
entity must comply with all limitations expressed in the consent,
authorization, or permission. Thus, we do not require a covered entity
to obtain a consent that meets the requirements of § 164.506 to use or
disclose this previously obtained protected health information as long
as the use or disclosure is consistent with the requirements of this
section. However, a covered entity will need to obtain a consent that
meets the requirements of § 164.506 to the extent that it is required to
obtain a consent under § 164.506 from an individual before it may use or
disclose any protected health information it creates or receives after
the date by which it must comply with this rule.
Similarly, we recognize that a covered entity may wish to rely upon a
consent, authorization, or other express legal permission obtained from
an individual prior to the applicable compliance date of this regulation
that specifically permits the covered entity to use or disclose
individually identifiable health information for activities other than
to carry out treatment, payment, or health care operations. In the final
rule, we permit a covered entity to rely upon such a consent,
authorization, or permission to use or disclose protected health
information that it created or received before the applicable compliance
date of the regulation for the specific activities described in the
consent, authorization, or permission as long as the covered entity
complies with two requirements. First, the covered entity may not make
any use or disclosure that is expressly excluded from the consent,
authorization, or permission. Second, the covered entity must comply
with all limitations expressed in the consent, authorization, or
permission. Thus, we do not required a covered entity to obtain an
authorization that meets the requirements of § 164.508 to use or
disclose this previously obtained protected health information so long
as the use or disclosure is consistent with the requirements of this
section. However, a covered entity will need to obtain an authorization
that meets the requirements of § 164.508, to the extent that it is
required to obtain an authorization under this rule, from an individual
before it may use or disclose any protected health information it
creates or receives after the date by which it must comply with this
rule.
Additionally, the final rule acknowledges that covered entities may wish
to rely upon consents, authorizations, or other express legal permission
obtained from an individual prior to the applicable compliance date for
a specific research project that includes the treatment of individuals,
such as clinical trials. These consents, authorizations, or permissions
may specifically permit a use or disclosure of individually identifiable
health information for purposes of the project. Alternatively, they may
be general consents to participate in the project. A covered entity may
use or disclose protected health information it created or received
before or after to the applicable compliance date of this rule for
purposes of the project provided that the covered entity complies with
all limitations expressed in the consent, authorization, or permission.
If, pursuant to this section, a covered entity relies upon a previously
obtained consent, authorization, or other express legal permission and
agrees to a request for a restriction by an individual under §
164.522(a), any subsequent use or disclosure under that consent,
authorization, or permission must comply with the agreed upon
restriction as well.
We believe it is necessary to grandfather in previously obtained
consents, authorizations, or other express legal permissions in these
circumstances to ensure that important functions of the health care
system are not impeded. We link the effectiveness of such consents,
authorizations, or permissions in these circumstances to the applicable
compliance date to give covered entities sufficient notice of the
requirements set forth in §§ 164.506 and 164.508.
The rule does not change the past effectiveness of consents,
authorizations, or other express legal permissions that do not come
within this section. This means that uses or disclosures of individually
identifiable health information made prior to the compliance date of
this regulation are not subject to sanctions, even if they were made
pursuant to documents or permissions that do not meet the requirements
of this rule or were made without permission. This rule alters only the
future effectiveness of the previously obtained consents,
authorizations, or permissions. Covered entities are not required to
rely upon these consents, authorizations, or permissions and may obtain
new consents or authorizations that meet the applicable requirements of
§§ 164.506 and 164.508.
When reaching this decision, we considered requiring all covered
entities to obtain new consents or authorizations consistent with the
requirements of §§ 164.506 and 164.508 before they would be able to use
or disclose protected health information obtained after the compliance
date of these rules. We rejected this option because we recognize that
covered entities may not always be able to obtain new consents or
authorizations consistent with the requirements of §§ 164.506 and
164.508 from all individuals upon whose information they rely. We also
refrained from impeding the rights of covered entities to exercise their
interests in the records they have created. We do not require covered
entities with existing records or databases to destroy or remove the
protected health information for which they do not have valid consents
or authorizations that meet the requirements of §§ 164.506 and 164.508.
Covered entities may rely upon the consents, authorizations, or
permissions they obtained from individuals prior to the applicable
compliance date of this regulation consistent with the constraints of
those documents and the requirements discussed above.
We note that if a covered entity obtains before the applicable
compliance date of this regulation a consent that meets the requirements
of § 164.506, an authorization that meets the requirements of § 164.508,
or an IRB or privacy board waiver of authorization that meets the
requirements of § 164.512(i), the consent, authorization, or waiver is
effective for uses or disclosures that occur after the compliance date
and that are consistent with the terms of the consent, authorization, or
waiver.
**SECTION 164.534 -- COMPLIANCE DATES FOR INITIAL IMPLEMENTATION OF THE
PRIVACY STANDARDS**
In the NPRM, we provided that a covered entity must be in compliance
with this subpart not later than 24 months following the effective date
of this rule, except that a covered entity that is a small health plan
must be in compliance with this subpart not later than 36 months
following the effective date of the rule.
The final rule did not make any substantive changes. The format is
changed so as to more clearly present the various compliance dates. The
final rule lists the types of covered entities and then the various
dates that would apply to each of these entities.
**III. SECTION-BY-SECTION DISCUSSION OF COMMENTS**
The following describes the provisions in the final regulation, and the
changes we make to the proposed provisions section-by-section. Following
each section are our responses to the comments to that section. This
section of the preamble is organized to follow the corresponding section
of the final rule, not the NPRM.
**GENERAL COMMENTS**
We received many comments on the rule overall, not to a particular
provision. We respond to those comments here. Similar comments, but
directed to a specific provision in the proposed rule, are answered
below in the corresponding section of this preamble.
***Comments on the Need for Privacy Standards, and Effects of this
Regulation on Current Protections***
*Comment:* Many commenters expressed the opinion that federal
legislation is necessary to protect the privacy of individuals' health
information. One comment advocated Congressional efforts to provide a
comprehensive federal health privacy law that would integrate the
substance abuse regulations with the privacy regulation.
*Response:* We agree that comprehensive privacy legislation is urgently
needed. This administration has urged the Congress to pass such
legislation. While this regulation will improve the privacy of
individuals' health information, only legislation can provide the full
array of privacy protection that individuals need and deserve.
*Comment:* Many commenters noted that they do not go to a physician, or
do not completely share health information with their physician, because
they are concerned about who will have access to that information. Many
physicians commented on their patients' reluctance to share information
because of fear that their information will later be used against them.
*Response:* We agree that strong federal privacy protections are
necessary to enhance patients' trust in the health care system.
*Comment:* Many commenters expressed concerns that this regulation will
allow access to health information by those who today do not have such
access, or would allow their physician to disclose information which may
not lawfully be disclosed today. Many of these commenters stated that
today, they consent to every disclosure of health information about
them, and that absent their consent the privacy of their health
information is "absolute." Others stated that, today, health information
is disclosed only pursuant to a judicial order. Several commenters were
concerned that this regulation would override stronger state privacy
protection.
*Response:* This regulation does not, and cannot, reduce current privacy
protections. The statutory language of the HIPAA specifically mandates
that this regulation does not preempt state laws that are more
protective of privacy.
As discussed in more detail in later this preamble, while many people
believe that they must be asked permission prior to any release of
health information about them, current laws generally do not impose such
a requirement. Similarly, as discussed in more detail later in this
preamble, judicial review is required today only for a small proportion
of releases of health information.
*Comment:* Many commenters asserted that today, medical records "belong"
to patients. Others asserted that patients own their medical information
and health care providers and insurance companies who maintain health
records should be viewed as custodians of the patients' property.
*Response:* We do not intend to change current law regarding ownership
of or responsibility for medical records. In developing this rule we
reviewed current law on this and related issues, and built on that
foundation.
Under state laws, medical records are often the property of the health
care provider or medical facility that created them. Some state laws
also provide patients with access to medical records or an ownership
interest in the health information in medical records. However, these
laws do not divest the health care provider or the medical facility of
its ownership interest in medical records. These statutes typically
provide a patient the right to inspect or copy health information from
the medical record, but not the right to take the provider's original
copy of an item in the medical record. If a particular state law
provides greater ownership rights, this regulation leaves such rights in
place.
*Comment:* Some commenters argued that the use and disclosure of
sensitive personal information must be strictly regulated, and violation
of such regulations should subject an entity to significant penalties
and sanctions.
*Response:* We agree, and share the commenters' concern that the
penalties in the HIPAA statute are not sufficient to fully protect
individuals' privacy interests. The need for stronger penalties is among
the reasons we believe Congress should pass comprehensive privacy
legislation.
*Comment:* Many commenters expressed the opinion that the proposed ruled
should provide stricter privacy protections.
*Response:* We received nearly 52,000 comments on the proposed
regulation, and make substantial changes to the proposal in response to
those comments. Many of these changes will strengthen the protections
that were proposed in the NPRM.
*Comment:* Many comments express concerns that their health information
will be given to their employers.
*Response:* We agree that employer access to health information is a
particular concern. In this final regulation, we make significant
changes to the NPRM that clarify and provide additional safeguards
governing when and how the health plans covered by this regulation may
disclose health information to employers.
*Comment:* Several commenters argued that individuals should be able to
sue for breach of privacy.
*Response:* We agree, but do not have the legislative authority to grant
a private right of action to sue under this statute. Only Congress can
grant that right.
***Objections to government access to protected health information***
*Comment:* Many commenters urged the Department not to create a
government database of health information, or a tracking system that
would enable the government to track individuals health information.
*Response:* This regulation does not create such a database or tracking
system, nor does it enable future creation of such a database. This
regulation describes the ways in which health plans, health care
clearinghouses, and certain health care providers may use and disclose
identifiable health information with and without the individual's
consent.
*Comment:* Many commenters objected to government access to or control
over their health information, which they believe the proposed
regulation would provide.
*Response:* This regulation does not increase current government access
to health information. This rule sets minimum privacy standards. It does
not require disclosure of health information, other than to the subject
of the records or for enforcement of this rule. Health plans and health
care providers are free to use their own professional ethics and
judgement to adopt stricter policies for disclosing health information.
*Comment:* Some commenters viewed the NPRM as creating fewer hurdles for
government access to protected health information than for access to
protected health information by private organizations. Some health care
providers commented that the NPRM would impose substantial new
restrictions on private sector use and disclosure of protected health
information, but would make government access to protected health
information easy. One consumer advocacy group made the same observation.
*Response:* We acknowledge that many of the national priority purposes
for which we allow disclosure of protected health information without
consent or authorization are for government functions, and that many of
the governmental recipients of such information are not governed by this
rule. It is the role of government to undertake functions in the broader
public interest, such as public health activities, law enforcement,
identification of deceased individuals through coroners' offices, and
military activities. It is these public purposes which can sometimes
outweigh an individual's privacy interest. In this rule, we specify the
circumstances in which that balance is tipped toward the public interest
with respect to health information. We discuss the rationale behind each
of these permitted disclosures in the relevant preamble sections below.
***Miscellaneous Comments***
*Comment:* Many commenters objected to the establishment of a unique
identifier for health care or other purposes.
*Response:* This regulation does not create an identifier. We assume
these comments refer to the unique health identifier that Congress
directed the Secretary to promulgate under section1173(b) of the Social
Security Act, added by section 262 of the HIPAA. Because of the public
concerns about such an identifier, in the summer of 1998 Vice President
Gore announced that the Administration would not promulgate such a
regulation until comprehensive medical privacy protections were in
place. In the fall of that year, Congress prohibited the Department from
promulgating such an identifier, and that prohibition remains in place.
The Department has no plans to promulgate a unique health identifier.
*Comment:* Many commenters asked that we withdraw the proposed
regulation and not publish a final rule.
*Response:* Under section 264 of the HIPAA, the Secretary is required by
Congress to promulgate a regulation establishing standards for health
information privacy. Further, for the reasons explained throughout this
preamble above, we believe that the need to protect health information
privacy is urgent and that this regulation is in the public's interest.
*Comment:* Many commenters express the opinion that their consent should
be required for all disclosure of their health information.
*Response:* We agree that consent should be required prior to release of
health information for many purposes, and impose such a requirement in
this regulation. Requiring consent prior to all release of health
information, however, would unduly jeopardize public safety and make
many operations of the health care system impossible. For example,
requiring consent prior to release of health information to a public
health official who is attempting to track the source of an outbreak or
epidemic could endanger thousands of lives. Similarly, requiring consent
before an oversight official could audit a health plan would make
detection of health care fraud all but impossible; it could take health
plans months or years to locate and obtain the consent of all current
and past enrollees, and the health plan would not have a strong
incentive to do so. These uses of medical information are clearly in the
public interest.
In this regulation, we must balance individuals' privacy interests
against the legitimate public interests in certain uses of health
information. Where there is an important public interest, this
regulation imposes procedural safeguards that must be met prior to
release of health information, in lieu of a requirement for consent. In
some instances the procedural safeguards consists of limits on the
circumstances in which information may be disclosed, in others the
safeguards consist of limits on what information may be disclosed, and
in other cases we require some form of legal process (e.g., a warrant or
subpoena) prior to release of health information. We also allow
disclosure of health information without consent where other law
mandates the disclosures. Where such other law exists, another public
entity has made the determination that the public interests outweigh the
individual's privacy interests, and we do not upset that determination
in this regulation. In short, we tailor the safeguards to match the
specific nature of the public purpose. The specific safeguards are
explained in each section of this regulation below.
*Comment:* Many comments address matters not relevant to this
regulation, such as alternative fuels, hospital reimbursement, and gulf
war syndrome.
*Response:* These and similar matters are not relevant to this
regulation and will not be addressed further.
*Comment:* A few commenters questioned why this level of detail is
needed in response to the HIPAA Congressional mandate.
*Response:* This level of detail is necessary to ensure that
individuals' rights with respect to their health information are clear,
while also ensuring that information necessary for important public
functions, such as protecting public health, promoting biomedical
research, fighting health care fraud, and notifying family members in
disaster situations, will not be impaired by this regulation. We
designed this rule to reflect current practices and change some of them.
The comments and our fact finding revealed the complexity of current
health information practices, and we believe that the complexity
entailed in reflecting those practices is better public policy than a
perhaps simpler rule that disturbed important information flows.
*Comment:* A few comments stated that the goal of administrative
simplification should never override the privacy of individuals.
*Response:* We believe that privacy is a necessary component of
administrative simplification, not a competing interest.
*Comment:* At least one commenter said that the goal of administrative
simplification is not well served by the proposed rule.
*Response:* Congress recognized that privacy is a necessary component of
administrative simplification. The standardization of electronic health
information mandated by the HIPAA that make it easier to share that
information for legitimate purposes also make the inappropriate sharing
of that information easier. For this reason, Congress included a mandate
for privacy standards in this section of the HIPAA. Without appropriate
privacy protections, public fear and instances of abuse would make it
impossible for us to take full advantage of the administrative and costs
benefits inherent in the administrative simplification standards.
*Comment:* At least one commenter asked us to require psychotherapists
to assert any applicable legal privilege on patients' behalf when
protected health information is requested.
*Response:* Whether and when to assert a claim of privilege on a
patient's behalf is a matter for other law and for the ethics of the
individual health care provider. This is not a decision that can or
should be made by the federal government.
*Comment:* One commenter called for HHS to consider the privacy
regulation in conjunction with the other HIPAA standards. In particular,
this comment focused on the belief that the Security Standards should be
compatible with the existing and emerging health care and information
technology industry standards.
*Response:* We agree that both this regulation and the final Security
Regulation should be compatible with existing and emerging technology
industry standards. This regulation is "technology neutral." We do not
mandate the use of any particular technologies, but rather set standards
which can be met through a variety of means.
*Comment*: Several commenters claimed that the statutory authority given
under HIPAA cannot provide meaningful privacy protections because many
entities with access to protected health information, such as employers,
worker's compensation carriers, and life insurance companies, are not
covered entities. These commenters expressed support for comprehensive
legislation to close many of the existing loopholes.
*Response*: We agree with the commenters that comprehensive legislation
is necessary to provide full privacy protection and have called for
members of Congress to pass such legislation to prevent unauthorized and
potentially harmful uses and disclosures of information.
**PART 160 -- SUBPART A -- GENERAL PROVISIONS**
**SECTION 160.103 -- DEFINITIONS**
***Business Associate*.**
The response to comments on the definition of "business partner,"
renamed in this rule as "business associate," is included in the
response to comments on the requirements for business associates in the
preamble discussion of § 164.504.
***Covered Entity*.**
*Comment:* A number of commenters urged the Department to expand or
clarify the definition of "covered entity" to include certain entities
other than health care clearinghouses, health plans, and health care
providers who conduct standard transactions. For example, several
commenters asked that the Department generally expand the scope of the
rule to cover all entities that receive or maintain individually
identifiable health information; others specifically urged the
Department to cover employers, marketing firms, and legal entities that
have access to individually identifiable health information. Some
commenters asked that life insurance and casualty insurance carriers be
considered covered entities for purposes of this rule. One commenter
recommended that Pharmacy Benefit Management (PBM) companies be
considered covered entities so that they may use and disclose protected
health information without authorization.
In addition, a few commenters asked the Department to clarify that the
definition includes providers who do not directly conduct electronic
transactions if another entity, such as a billing service or hospital,
does so on their behalf.
*Response:* We understand that many entities may use and disclose
individually identifiable health information. However, our jurisdiction
under the statute is limited to health plans, health care
clearinghouses, and health care providers who transmit any health
information electronically in connection with any of the standard
financial or administrative transactions in section 1173(a) of the Act.
These are the entities referred to in section 1173(a)(1) of the Act and
thus listed in § 160.103 of the final rule. Consequently, once protected
health information leaves the purview of one of these covered entities,
their business associates, or other related entities (such as plan
sponsors), the information is no longer afforded protection under this
rule. We again highlight the need for comprehensive federal legislation
to eliminate such gaps in privacy protection.
We also provide the following clarifications with regard to specific
entities.
We clarify that employers and marketing firms are not covered entities.
However, employers may be plan sponsors of a group health plan that is a
covered entity under the rule. In such a case, specific requirements
apply to the group health plan. See the preamble on § 164.504 for a
discussion of specific "firewall" and other organizational requirements
for group health plans and their employer sponsors. The final rule also
contains provisions addressing when an insurance issuer providing
benefits under a group health plan may disclose summary health
information to a plan sponsor.
With regard to life and casualty insurers, we understand that such
benefit providers may use and disclose individually identifiable health
information. However, Congress did not include life insurers and
casualty insurance carriers as "health plans" for the purposes of this
rule and therefore they are not covered entities. See the discussion
regarding the definition of "health plan" and excepted benefits.
In addition, we clarify that a PBM is a covered entity only to the
extent that it meets the definition of one or more of the entities
listed in § 160.102. When providing services to patients through managed
care networks, it is likely that a PBM is acting as a business associate
of a health plan, and may thus use and disclose protected health
information pursuant to the relevant provisions of this rule. PBMs may
also be business associates of health care providers. See the preamble
sections on §§ 164.502, 164.504, and 164.506 for discussions of the
specific requirements related to business associates and consent.
Lastly, we clarify that health care providers who do not submit HIPAA
transactions in standard form become covered by this rule when other
entities, such as a billing service or a hospital, transmit standard
electronic transactions on their behalf. The provider could not
circumvent these requirements by assigning the task to a contractor.
*Comment:* Many commenters urged the Department to restrict or clarify
the definition of "covered entity" to exclude certain entities, such as
department-operated hospitals (public hospitals); state Crime Victim
Compensation Programs; employers; and certain lines of insurers, such as
workers' compensation insurers, property and casualty insurers,
reinsurers, and stop-loss insurers. One commenter expressed concern that
clergy, religious practitioners, and other faith-based service providers
would have to abide by the rule and asked that the Department exempt
prayer healing and non-medical health care.
*Response:* The Secretary provides the following clarifications in
response to these comments. To the extent that a "department-operated
hospital" meets the definition of a "health care provider" and conducts
any of the standard transactions, it is a covered entity for the
purposes of this rule. We agree that a state Crime Victim Compensation
Program is not a covered entity if it is not a health care provider that
conducts standard transactions, health plan, or health care
clearinghouse. Further, as described above, employers are not covered
entities.
In addition, we agree that workers' compensation insurers, property and
casualty insurers, reinsurers, and stop-loss insurers are not covered
entities, as they do not meet the statutory definition of "health plan."
See further discussion in the preamble on § 160.103 regarding the
definition of "health plan." However, activities related to ceding,
securing, or placing a contract for reinsurance, including stop-loss
insurance, are health care operations in the final rule. As such,
reinsurers and stop-loss insurers may obtain protected health
information from covered entities.
Also, in response to the comment regarding religious practitioners, the
Department clarifies that "health care" as defined under the rule does
not include methods of healing that are solely spiritual. Therefore,
clergy or other religious practitioners that provide solely religious
healing services are not health care providers within the meaning of
this rule, and consequently not covered entities for the purposes of
this rule.
*Comment:* A few commenters expressed general uncertainty and requested
clarification as to whether certain entities were covered entities for
the purposes of this rule. One commenter was uncertain as to whether the
rule applies to certain social service entities, in addition to clinical
social workers that the commenter believes are providers. Other
commenters asked whether researchers or non-governmental entities that
collect and analyze patient data to monitor and evaluate quality of care
are covered entities. Another commenter requested clarification
regarding the definition's application to public health agencies that
also are health care providers as well as how the rule affects public
health agencies in their data collection from covered entities.
*Response:* Whether the professionals described in these comments are
covered by this rule depends on the activities they undertake, not on
their profession or degree. The definitions in this rule are based on
activities and functions, not titles. For example, a social service
worker whose activities meet this rule's definition of health care will
be a health care provider. If that social service worker also transmits
information in a standard HIPAA transaction, he or she will be a covered
health entity under this rule. Another social service worker may provide
services that do not meet the rule's definition of health care, or may
not transmit information in a standard transaction. Such a social
service worker is not a covered entity under this rule. Similarly,
researchers in and of themselves are not covered entities. However,
researchers may also be health care providers if they provide health
care. In such cases, the persons, or entities in their role as health
care providers may be covered entities if they conduct standard
transactions.
With regard to public health agencies that are also health care
providers, the health care provider "component" of the agency is the
covered entity if that component conducts standard transactions. See
discussion of "health care components" below. As to the data collection
activities of a public health agency, the final rule in § 164.512(b)
permits a covered entity to disclose protected health information to
public health authorities under specified circumstances, and permits
public health agencies that are also covered entities to use protected
health information for these purposes. See § 164.512(b) for further
details.
*Comment:* A few commenters requested that the Department clarify that
device manufacturers are not covered entities. They stated that the
proposal did not provide enough guidance in cases where the
"manufacturer supplier" has only one part of its business that acts as
the "supplier," and additional detail is needed about the relationship
of the "supplier component" of the company to the rest of the business.
Similarly, another commenter asserted that drug, biologics, and device
manufacturers should not be covered entities simply by virtue of their
manufacturing activities.
*Response:* We clarify that if a supplier manufacturer is a Medicare
supplier, then it is a health care provider, and it is a covered entity
if it conducts standard transactions. Further, we clarify that a
manufacturer of supplies related to the health of a particular
individual, e.g., prosthetic devices, is a health care provider because
the manufacturer is providing "health care" as defined in the rule.
However, that manufacturer is a covered entity only if it conducts
standard transactions. We do not intend that a manufacturer of supplies
that are generic and not customized or otherwise specifically designed
for particular individuals, e.g., ace bandages for a hospital, is a
health care provider. Such a manufacturer is not providing "health care"
as defined in the rule and is therefore not a covered entity. We note
that, even if such a manufacturer is a covered entity, it may be an
'indirect treatment provider' under this rule, and thus not subject to
all of the rule's requirements.
With regard to a "supplier component," the final rule addresses the
status of the unit or unit(s) of a larger entity that constitute a
"health care component." See further discussion under § 164.504 of this
preamble.
Finally, we clarify that drug, biologics, and device manufacturers are
not health care providers simply by virtue of their manufacturing
activities. The manufacturer must be providing health care consistent
with the final rule's definition in order to be considered a health care
provider.
*Comment:* A few commenters asked that the Department clarify that
pharmaceutical manufacturers are not covered entities. It was explained
that pharmaceutical manufacturers provide support and guidance to
doctors and patients with respect to the proper use of their products,
provide free products for doctors to distribute to patients, and operate
charitable programs that provide pharmaceutical drugs to patients who
cannot afford to buy the drugs they need.
*Response:* A pharmaceutical manufacturer is only a covered entity if
the manufacturer provides "health care" according to the rule's
definition and conducts standard transactions. In the above case, a
pharmaceutical manufacturer that provides support and guidance to
doctors and patients regarding the proper use of their products is
providing "health care" for the purposes of this rule, and therefore, is
a health care provider to the extent that it provides such services. The
pharmaceutical manufacturer that is a health care provider is only a
covered entity, however, if it conducts standard transactions. We note
that this rule permits a covered entity to disclose protected health
information to any person for treatment purposes, without specific
authorization from the individual. Therefore, a covered health care
provider is permitted to disclose protected health information to a
pharmaceutical manufacturer for treatment purposes. Providing free
samples to a health care provider does not in itself constitute health
care. For further analysis of pharmacy assistance programs, see response
to comment on § 164.501, definition of "payment."
*Comment*: Several commenters asked about the definition of "covered
entity" and its application to health care entities within larger
organizations.
*Response*: A detailed discussion of the final rule's organizational
requirements and firewall restrictions for "health care components" of
larger entities, as well as for affiliated, and other entities is found
at the discussion of § 164.504 of this preamble. The following responses
to comments provide additional information with respect to particular
"component entity" circumstances.
*Comment*: Several commenters asked that we clarify the definition of
covered entity to state that with respect to persons or organizations
that provide health care or have created health plans but are primarily
engaged in other unrelated businesses, the term "covered entity"
encompasses only the health care components of the entity. Similarly,
others recommended that only the component of a government agency that
is a provider, health plan, or clearinghouse should be considered a
covered entity.
Other commenters requested that we revise proposed § 160.102 to apply
only to the component of an entity that engages in the transactions
specified in the rule. Commenters stated that companies should remain
free to employ licensed health care providers and to enter into
corporate relationships with provider institutions without fear of being
considered to be a covered entity. Another commenter suggested that the
regulation not apply to the provider-employee or employer when neither
the provider nor the company are a covered entity.
Some commenters specifically argued that the definition of "covered
entity" did not contemplate an integrated health care system and one
commenter stated that the proposal would disrupt the multi-disciplinary,
collaborative approach that many take to health care today by treating
all components as separate entities. Commenters, therefore, recommended
that the rule treat the integrated entity, not its constituent parts, as
the covered entity.
A few commenters asked that the Department further clarify the
definition with respect to the unique organizational models and
relationships of academic medical centers and their parent universities
and the rules that govern information exchange within the institution.
One commenter asked whether faculty physicians who are paid by a medical
school or faculty practice plan and who are on the medical staff of, but
not paid directly by, a hospital are included within the covered entity.
Another commenter stated that it appears that only the health center at
an academic institution is the covered entity. Uncertainty was also
expressed as to whether other components of the institution that might
create protected health information only incidentally through the
conduct of research would also be covered.
*Response:* The Department understands that in today's health care
industry, the relationships among health care entities and non-health
care organizations are highly complex and varied. Accordingly, the final
rule gives covered entities some flexibility to segregate or aggregate
its operations for purposes of the application of this rule. The new
component entity provision can be found at §§ 164.504(b)-(c). In
response to the request for clarification on whether the rule would
apply to a research component of the covered entity, we point out that
if the research activities fall outside of the health care component
they would not be subject to the rule. One organization may have one or
several "health care component(s)" that each perform one or more of the
health care functions of a covered entity, i.e., health care provider,
health plan, health care clearinghouse. In addition, the final rule
permits covered entities that are affiliated, i.e., share common
ownership or control, to designate themselves, or their health care
components, together to be a single covered entity for purposes of the
rule.
It appears from the comments that there is not a common understanding of
the meaning of "integrated delivery system." Arrangements that apply
this label to themselves operate and share information many different
ways, and may or may not be financially or clinically integrated. In
some cases, multiple entities hold themselves out as one enterprise and
engage together in clinical or financial activities. In others, separate
entities share information but do not provide treatment together or
share financial risk. Many health care providers participate in more
than one such arrangement.
Therefore, we do not include a separate category of 'covered entity'
under this rule for "integrated delivery systems" but instead
accommodate the operations of these varied arrangements through the
functional provisions of the rule. For example, covered entities that
operate as 'organized health care arrangements' as defined in this rule
may share protected health information for the operation of such
arrangement without becoming business associates of one another.
Similarly, the regulation does not require a business associate
arrangement when protected health information is shared for purposes of
providing treatment. The application of this rule to any particular
'integrated system' will depend on the nature of the common activities
the participants in the system perform. When the participants in such an
arrangement are 'affiliated' as defined in this rule, they may consider
themselves a single covered entity (see § 164. 504).
The arrangements between academic health centers, faculty practice
plans, universities, and hospitals are similarly diverse. We cannot
describe a blanket rule that covers all such arrangements. The
application of this rule will depend on the purposes for which the
participants in such arrangements share protected health information,
whether some or all participants are under common ownership or control,
and similar matters. We note that physicians who have staff privileges
at a covered hospital do not become part of that hospital covered entity
by virtue of having such privileges.
We reject the recommendation to apply the rule only to components of an
entity that engage in the transactions. This would omit as covered
entities, for example, the health plan components that do not directly
engage in the transactions, including components that engage in
important health plan functions such as coverage determinations and
quality review. Indeed, we do not believe that the statute permits this
result with respect to health plans or health care clearinghouses as a
matter of negative implication from section 1172(a)(3). We clarify that
only a health care provider must conduct transactions to be a covered
entity for purposes of this rule.
We also clarify that health care providers (such as doctors or nurses)
who work for a larger organization and do not conduct transactions on
their own behalf are workforce members of the covered entity, not
covered entities themselves.
*Comment:* A few commenters asked the Department to clarify the
definition to provide that a multi-line insurer that sells insurance
coverages, some of which do and others which do not meet the definition
of "health plan," is not a covered entity with respect to actions taken
in connection with coverages that are not "health plans."
*Response:* The final rule clarifies that the requirements below apply
only to the organizational unit or units of the organization that are
the "health care component" of a covered entity, where the "covered
functions" are not the primary functions of the entity. Therefore, for a
multi-line insurer, the "health care component" is the insurance line(s)
that conduct, or support the conduct of, the health care function of the
covered entity. Also, it should be noted that excepted benefits, such as
life insurance, are not included in the definition of "health plan."
(See preamble discussion of § 164.504).
*Comment*: A commenter questioned whether the Health Care Financing
Administration (HCFA) is a covered entity and how HCFA will share data
with Medicare managed care organizations. The commenter also questioned
why the regulation must apply to Medicaid since the existing Medicaid
statute requires that states have privacy standards in place. It was
also requested that the Department provide a definition of "health plan"
to clarify that state Medicaid Programs are considered as such.
*Response:* HCFA is a covered entity because it administers Medicare and
Medicaid, which are both listed in the statute as health plans. Medicare
managed care organizations are also covered entities under this
regulation. As noted elsewhere in this preamble, covered entities that
jointly administer a health plan, such as Medicare + Choice, are both
covered entities, and are not business associates of each other by
virtue of such joint administration.
We do not exclude state Medicaid programs. Congress explicitly included
the Medicaid program as a covered health plan in the HIPAA statute.
*Comment:* A commenter asked the Department to provide detailed guidance
as to when providers, plans, and clearinghouses become covered entities.
The commenter provided the following example: if a provider submits
claims only in paper form, and a coordination of benefits (COB)
transaction is created due to other insurance coverage, will the
original provider need to be notified that the claim is now in
electronic form, and that it has become a covered entity? Another
commenter voiced concern as to whether physicians who do not conduct
electronic transactions would become covered entities if another entity
using its records downstream transmits information in connection with a
standard transaction on their behalf.
*Response:* We clarify that health care providers who submit the
transactions in standard electronic form, health plans, and health care
clearinghouses are covered entities if they meet the respective
definitions. Health care providers become subject to the rule if they
conduct standard transactions. In the above example, the health care
provider would not be a covered entity if the coordination of benefits
transaction was generated by a payor.
We also clarify that health care providers who do not submit
transactions in standard form become covered by this rule when other
entities, such as a billing service or a hospital, transmit standard
electronic transactions on the providers' behalf. However, where the
downstream transaction is not conducted on behalf of the health care
provider, the provider does not become a covered entity due to the
downstream transaction.
*Comment:* Several commenters discussed the relationship between section
1179 of the Act and the privacy regulations. One commenter suggested
that HHS retain the statement that a covered entity means "the entities
to which part C of title XI of the Act applies." In particular, the
commenter observed that section 1179 of the Act provides that part C of
title XI of the Act does not apply to financial institutions or to
entities acting on behalf of such institutions that are covered by the
section 1179 exemption. Thus, under the definition of covered entity,
they comment that financial institutions and other entities that come
within the scope of the section 1179 exemption are appropriately not
covered entities.
Other commenters maintained that section 1179 of the Act means that the
Act's privacy requirements do not apply to the request for, or the use
or disclosure of, information by a covered entity with respect to
payment: (a) for transferring receivables; (b) for auditing; (c) in
connection with - (i) a customer dispute; or (ii) an inquiry from or to
a customer; (d) in a communication to a customer of the entity regarding
the customer's transactions payment card, account, check, or electronic
funds transfer; (e) for reporting to consumer reporting agencies; or (f)
for complying with: (i) a civil or criminal subpoena; or (ii) a federal
or state law regulating the entity. These companies expressed concern
that the proposed rule did not include the full text of section 1179
when discussing the list of activities that were exempt from the rule's
requirements. Accordingly, they recommended including in the final rule
either a full listing of or a reference to section 1179\'s full list of
exemptions. Furthermore, these firms opposed applying the proposed
rule's minimum necessary standard for disclosure of protected health
information to financial institutions because of section 1179.
These commenters suggest that in light of section 1179, HHS lacks the
authority to impose restrictions on financial institutions and other
entities when they engage in activities described in that section. One
commenter expressed concern that even though proposed § 164.510(i) would
have permitted covered entities to disclose certain information to
financial institutions for banking and payment processes, it did not
state clearly that financial institutions and other entities described
in section 1179 are exempt from the rule's requirements.
*Response:* We interpret section 1179 of the Act to mean that entities
engaged in the activities of a financial institution, and those acting
on behalf of a financial institution, are not subject to this regulation
when they are engaged in authorizing, processing, clearing, settling,
billing, transferring, reconciling, or collecting payments for a
financial institution. The statutory reference to 12 U.S.C. 3401
indicates that Congress chose to adopt the definition of financial
institutions found in the Right to Financial Privacy Act, which defines
financial institutions as any office of a bank, savings bank, card
issuer, industrial loan company, trust company, savings association,
building and loan, homestead association, cooperative bank, credit
union, or consumer finance institution located in the United States or
one of its Territories. Thus, when we use the term "financial
institution" in this regulation, we turn to the definition with which
Congress provided us. We interpret this provision to mean that when a
financial institution, or its agent on behalf of the financial
institution, conducts the activities described in section 1179, the
privacy regulation will not govern the activity.
If, however, these activities are performed by a covered entity or by
another entity, including a financial institution, on behalf of a
covered entity, the activities are subject to this rule. For example, if
a bank operates the accounts payable system or other "back office"
functions for a covered health care provider, that activity is not
described in section 1179. In such instances, because the bank would
meet the rule's definition of "business associate," the provider must
enter into a business associate contract with the bank before disclosing
protected health information pursuant to this relationship. However, if
the same provider maintains an account through which he/she cashes
checks from patients, no business associate contract would be necessary
because the bank's activities are not undertaken for or on behalf of the
covered entity, and fall within the scope of section 1179. In part to
give effect to section 1179, in this rule we do not consider a financial
institution to be acting on behalf of a covered entity when it processes
consumer-conducted financial transactions by debit, credit or other
payment card, clears checks, initiates or processes electronic funds
transfers, or conducts any other activity that directly facilitates or
effects the transfer of funds for compensation for health care.
We do not agree with the comment that section 1179 of the Act means that
the privacy regulation's requirements cannot apply to the activities
listed in that section; rather, it means that the entities expressly
mentioned, financial institutions (as defined in the Right to Financial
Privacy Act), and their agents that engage in the listed activities for
the financial institution are not within the scope of the regulation.
Nor do we interpret section 1179 to support an exemption for disclosures
to financial institutions from the minimum necessary provisions of this
regulation.
*Comment:* One commenter recommended that HHS include a definition of
"entity" in the final rule because HIPAA did not define it. The
commenter explained that in a modern health care environment, the
organization acting as the health plan or health care provider may
involve many interrelated corporate entities and that this could lead to
difficulties in determining what "entities" are actually subject to the
regulation.
*Response:* We reject the commenter's suggestion. We believe it is clear
in the final rule that the entities subject to the regulation are those
listed at § 160.102. However, we acknowledge that how the rule applies
to integrated or other complex health systems needs to be addressed; we
have done so in § 164.504 and in other provisions, such as those
addressing organized health care arrangements.
*Comment*: The preamble should clarify that self-insured group health
and workmen's compensation plans are not covered entities or business
partners.
*Response*: In the preamble to the proposed rule we stated that certain
types of insurance entities, such as workers\' compensation, would not
be covered entities under the rule. We do not change this position in
this final rule. The statutory definition of health plan does not
include workers' compensation products, and the regulatory definition of
the term specifically excludes them. However, HIPAA specifically
includes most group health plans within the definition of "health plan."
*Comment:* A health insurance issuer asserted that health insurers and
third party administrators are usually required by employers to submit
reports describing the volume, amount, payee, basis for services
rendered, types of claims paid and services for which payment was
requested on behalf of it covered employees. They recommended that the
rule permit the disclosure of protected health information for such
purposes.
*Response*: We agree that health plans should be able to disclose
protected health information to employers sponsoring health plans under
certain circumstances. Section 164.504(f) explains the conditions under
which protected health information may be disclosed to plan sponsors. We
believe that this provision gives sponsors access to the information
they need, but protects individual's information to the extent possible
under our legislative authority.
***Group Health Plan*.**
For response to comments relating to "group health plan," see the
response to comments on "health plan" below and the response to comments
on § 164.504.
***Health Care*.**
*Comment*: A number of commenters asked that we include disease
management activities and other similar health improvement programs,
such as preventive medicine, health education services and maintenance,
health and case management, and risk assessment, in the definition of
"health care." Commenters maintained that the rule should avoid limiting
technological advances and new health care trends intended to improve
patient "health care."
*Response*: Review of these and other comments, and our fact-finding,
indicate that there are multiple, different, understandings of the
definition of these terms. Therefore, rather than create a blanket rule
that includes such terms in or excludes such terms from the definition
of "health care," we define health care based on the underlying
activities that constitute health care. The activities described by
these commenters are considered 'health care' under this rule to the
extent that they meet this functional definition. Listing activities by
label or title would create the risk that important activities would be
left out and, given the lack of consensus on what these terms mean,
could also create confusion.
*Comment*: Several commenters urged that the Department clarify that the
activities necessary to procure and distribute eyes and eye tissue will
not be hampered by the rule. Some of these commenters explicitly
requested that we include "eyes and eye tissue" in the list of
procurement biologicals as well as "eye procurement" in the definition
of "health care." In addition, it was argued that "administration to
patients" be excluded in the absence of a clear definition. Also,
commenters recommended that the definition include other activities
associated with the transplantation of organs, such as processing,
screening, and distribution.
*Response*: We delete from the definition of "health care" activities
related to the procurement or banking of blood, sperm, organs, or any
other tissue for administration to patients. We do so because persons
who make such donations are not seeking to be treated, diagnosed, or
assessed or otherwise seeking health care for themselves, but are
seeking to contribute to the health care of others. In addition, the
nature of these activities entails a unique kind of information sharing
and tracking necessary to safeguard the nation's organ and blood supply,
and those seeking to donate are aware that this information sharing will
occur. Consequently, such procurement or banking activities are not
considered health care and the organizations that perform such
activities are not considered health care providers for purposes of this
rule.
With respect to disclosure of protected health information by covered
entities to facilitate cadaveric organ and tissue donation, the final
rule explicitly permits a covered entity to disclose protected health
information without authorization, consent, or agreement to organ
procurement organizations or other entities engaged in the procurement,
banking, or transplantation of cadaveric organs, eyes, or tissue for the
purpose of facilitating donation and transplantation. See § 164.512(h).
We do not include blood or sperm banking in this provision because, for
those activities, there is direct contact with the donor, and thus
opportunity to obtain the individual's authorization.
*Comment*: A large number of commenters urged that the term "assessment"
be included in the list of services in the definition, as "assessment"
is used to determine the baseline health status of an individual. It was
explained that assessments are conducted in the initial step of
diagnosis and treatment of a patient. If assessment is not included in
the list of services, they pointed out that the services provided by
occupational health nurses and employee health information may not be
covered.
*Response:* We agree and have added the term "assessment" to the
definition to clarify that this activity is considered "health care" for
the purposes of the rule.
*Comment:* One commenter asked that we revise the definition to
explicitly exclude plasmapheresis from paragraph (3) of the definition.
It was explained that plasmapheresis centers do not have direct access
to health care recipients or their health information, and that the
limited health information collected about plasma donors is not used to
provide health care services as indicated by the definition of health
care.
*Response:* We address the commenters' concerns by removing the
provision related to procurement and banking of human products from the
definition.
***Health Care Clearinghouse*.**
*Comment:* The largest set of comments relating to health care
clearinghouses focused on our proposal to exempt health care
clearinghouses from the patient notice and access rights provisions of
the regulation. In our NPRM, we proposed to exempt health care
clearinghouses from certain provisions of the regulation that deal with
the covered entities' notice of information practices and consumers'
rights to inspect, copy, and amend their records. The rationale for this
exemption was based on our belief that health care clearinghouses engage
primarily in business-to-business transactions and do not initiate or
maintain direct relationships with individuals. We proposed this
position with the caveat that the exemptions would be void for any
health care clearinghouse that had direct contact with individuals in a
capacity other than that of a business partner. In addition, we
indicated that, in most instances, clearinghouses also would be
considered business partners under this rule and would be bound by their
contracts with covered plans and providers. They also would be subject
to the notice of information practices developed by the plans and
providers with whom they contract.
Commenters stated that, although health care clearinghouses do not have
direct contact with individuals, they do have individually identifiable
health information that may be subject to misuse or inappropriate
disclosure. They expressed concern that we were proposing to exempt
health care clearinghouses from all or many aspects of the regulation.
These commenters suggested that we either delete the exemption or make
it very narrow, specific and explicit in the final regulatory text.
Clearinghouse commenters, on the other hand, were in agreement with our
proposal, including the exemption provision and the provision that the
exemption is voided when the entity does have direct contact with
individuals. They also stated that a health care clearinghouse that has
a direct contact with individuals is no longer a health care
clearinghouse as defined and should be subject to all requirements of
the regulation.
*Response:* In the final rule, where a clearinghouse creates or receives
protected health information as a business associate of another covered
entity, we maintain the exemption for health care clearinghouses from
certain provisions of the regulation dealing with the notice of
information practices and patient's direct access rights to inspect,
copy and amend records (§§ 164.524 and 164.526), on the grounds that a
health care clearinghouse is engaged in business-to-business operations,
and is not dealing directly with individuals. Moreover, as business
associates of plans and providers, health care clearinghouses are bound
by the notices of information practices of the covered entities with
whom they contract.
Where a health care clearinghouse creates or receives protected health
information other than as a business associate, however, it must comply
with all the standards, requirements, and implementation specifications
of the rule. We describe and delimit the exact nature of the exemption
in the regulatory text. See § 164.500(b). We will monitor developments
in this sector should the basic business-to-business relationship
change.
*Comment:* A number of comments relate to the proposed definition of
health care clearinghouse. Many commenters suggested that we expand the
definition. They suggested that additional types of entities be included
in the definition of health care clearinghouse, specifically medical
transcription services, billing services, coding services, and
\"intermediaries.\" One commenter suggested that the definition be
expanded to add entities that receive standard transactions, process
them and clean them up, and then send them on, without converting them
to any standard format. Another commenter suggested that the health care
clearinghouse definition be expanded to include entities that do not
perform translation but may receive protected health information in a
standard format and have access to that information. Another commenter
stated that the list of covered entities should include any organization
that receives or maintains individually identifiable health information.
One organization recommended that we expand the health care
clearinghouse definition to include the concept of a research data
clearinghouse, which would collect individually identifiable health
information from other covered entities to generate research data files
for release as de-identified data or with appropriate confidentiality
safeguards. One commenter stated that HHS had gone beyond Congressional
intent by including billing services in the definition.
*Response:* We cannot expand the definition of "health care
clearinghouse" to cover entities not covered by the definition of this
term in the statute. In the final regulation, we make a number of
changes to address public comments relating to definition. We modify the
definition of health care clearinghouse to conform to the definition
published in the Transactions Rule (with the addition of a few words, as
noted above). We clarify in the preamble that, while the term "health
care clearinghouse" may have other meanings and connotations in other
contexts, for purposes of this regulation an entity is considered a
health care clearinghouse only to the extent that it actually meets the
criteria in our definition. Entities performing other functions but not
meeting the criteria for a health care clearinghouse are not
clearinghouses, although they may be business associates. Billing
services are included in the regulatory definition of "health care
clearinghouse," if they perform the specified clearinghouse functions.
Although we have not added or deleted any entities from our original
definition, we will monitor industry practices and may add other
entities in the future as changes occur in the health system.
*Comment:* Several commenters suggested that we clarify that an entity
acting solely as a conduit through which individually identifiable
health information is transmitted or through which protected health
information flows but is not stored is not a covered entity, e.g., a
telephone company or Internet Service Provider. Other commenters
indicated that once a transaction leaves a provider or plan
electronically, it may flow through several entities before reaching a
clearinghouse. They asked that the regulation protect the information in
that interim stage, just as the security NPRM established a chain of
trust arrangement for such a network. Others noted that these
\"conduit\" entities are likely to be business partners of the provider,
clearinghouse or plan, and we should clarify that they are subject to
business partner obligations as in the proposed Security Rule.
*Response:* We clarify that entities acting as simple and routine
communications conduits and carriers of information, such as telephone
companies and Internet Service Providers, are not clearinghouses as
defined in the rule unless they carry out the functions outlined in our
definition. Similarly, we clarify that value added networks and switches
are not health care clearinghouses unless they carry out the functions
outlined in the definition, and clarify that such entities may be
business associates if they meet the definition in the regulation.
*Comment:* Several commenters, including the large clearinghouses and
their trade associations, suggested that we not treat health care
clearinghouses as playing a dual role as covered entity and business
partner in the final rule because such a dual role causes confusion as
to which rules actually apply to clearinghouses. In their view, the
definition of health care clearinghouse is sufficiently clear to stand
alone and identify a health care clearinghouse as a covered entity, and
allows health care clearinghouses to operate under one consistent set of
rules. *Response:* For reasons explained in § 164.504 of this preamble,
we do not create an exception to the business associate requirements
when the business associate is also a covered entity. We retain the
concept that a health care clearinghouse may be a covered entity and a
business associate of a covered entity under the regulation. As business
associates, they would be bound by their contracts with covered plans
and providers.
***Health Care Provider*.**
*Comment:* One commenter pointed out that the preamble referred to the
obligations of providers and did not use the term, "covered entity," and
thus created ambiguity about the obligations of health care providers
who may be employed by persons other than covered entities, e.g.,
pharmaceutical companies. It was suggested that a better reading of the
statute and rule is that where neither the provider nor the company is a
covered entity, the rule does not impose an obligation on either the
provider-employee or the employer.
*Response:* We agree. We use the term "covered entity" whenever possible
in the final rule, except for the instances where the final rule treats
the entities differently, or where use of the term "health care
provider" is necessary for purposes of illustrating an example.
*Comment:* Several commenters stated that the proposal's definition was
broad, unclear, and/or confusing. Further, we received many comments
requesting clarification as to whether specific entities or persons were
"health care providers" for the purposes of our rule. One commenter
questioned whether affiliated members of a health care group (even
though separate legal entities) would be considered as one primary
health care provider.
*Response:* We permit legally distinct covered entities that share
common ownership or control to designate themselves together to be a
single covered entity. Such organizations may promulgate a single shared
notice of information practices and a consent form. For more detailed
information, see the preamble discussion of § 164.504(d).
We understand the need for additional guidance on whether specific
entities or persons are health care providers under the final rule. We
provide guidance below and will provide additional guidance as the rule
is implemented.
*Comment:* One commenter observed that sections 1171(3), 1861(s) and
1861(u) of the Act do not include pharmacists in the definition of
health care provider or pharmacist services in the definition of
"medical or other health services," and questioned whether pharmacists
were covered by the rule.
*Response:* The statutory definition of "health care provider" at
section 1171(3) includes "any other person or organization who
furnishes, bills, or is paid for health care in the normal course of
business." Pharmacists' services are clearly within this statutory
definition of "health care." There is no basis for excluding pharmacists
who meet these statutory criteria from this regulation .
*Comment:* Some commenters recommended that the scope of the definition
be broadened or clarified to cover additional persons or organizations.
Several commenters argued for expanding the reach of the health care
provider definition to cover entities such as state and local public
health agencies, maternity support services (provided by nutritionists,
social workers, and public health nurses and the Special Supplemental
Nutrition Program for Women, Infants and Children), and those companies
that conduct cost-effectiveness reviews, risk management, and
benchmarking studies. One commenter queried whether auxiliary providers
such as child play therapists, and speech and language therapists are
considered to be health care providers. Other commenters questioned
whether "alternative" or "complementary" providers, such as naturopathic
physicians and acupuncturists would be considered health care providers
covered by the rule.
*Response:* As with other aspects of this rule, we do not define "health
care provider" based on the title or label of the professional. The
professional activities of these kinds of providers vary; a person is a
"health care provider" if those activities are consistent with the
rule's definition of "health care provider." Thus, health care providers
include persons, such as those noted by the commenters, to the extent
that they meet the definition. We note that health care providers are
only subject to this rule if they conduct certain transactions. See the
definition of "covered entity."
However companies that conduct cost-effectiveness reviews, risk
management, and benchmarking studies are not health care providers for
the purposes of this rule unless they perform other functions that meet
the definition. These entities would be business associates if they
perform such activities on behalf of a covered entity.
*Comment:* Another commenter recommended that the Secretary expand the
definition of health care provider to cover health care providers who
transmit or "or receive" any health care information in electronic form.
*Response:* We do not accept this suggestion. Section 1172(a)(3) states
that providers that "transmit" health information in connection with one
of the HIPAA transactions are covered, but does not use the term
"receive" or a similar term.
*Comment:* Some comments related to online companies as health care
providers and covered entities. One commenter argued that there was no
reason "why an Internet pharmacy should not also be covered" by the rule
as a health care provider. Another commenter stated that online health
care service and content companies, including online medical record
companies, should be covered by the definition of health care provider.
Another commenter pointed out that the definitions of covered entities
cover "Internet providers who 'bill' or are 'paid' for health care
services or supplies, but not those who finance those services in other
ways, such as through sale of identifiable health information or
advertising." It was pointed out that thousands of Internet sites use
information provided by individuals who access the sites for marketing
or other purposes.
*Response:* We agree that online companies are covered entities under
the rule if they otherwise meet the definition of health care provider
or health plan and satisfy the other requirements of the rule, i.e.,
providers must also transmit health information in electronic form in
connection with a HIPAA transaction. We restate here the language in the
preamble to the proposed rule that "An individual or organization that
bills and/or is paid for health care services or supplies in the normal
course of business, such as\...an 'online' pharmacy accessible on the
Internet, is also a health care provider for purposes of this statute"
(64 FR 59930).
*Comment:* We received many comments related to the reference to "health
clinic or licensed health care professional located at a school or
business in the preamble's discussion of "health care provider." It was
stated that including "licensed health care professionals located at a
school or business" highlights the need for these individuals to
understand they have the authority to disclose information to the Social
Security Administration (SSA) without authorization.
However, several commenters urged HHS to create an exception for or
delete that reference in the preamble discussion to primary and
secondary schools because of employer or business partner relationships.
One federal agency suggested that the reference "licensed health care
professionals located at a \[school\]" be deleted from the preamble
because the definition of health care provider does not include a
reference to schools. The commenter also suggested that the Secretary
consider: adding language to the preamble to clarify that the rules do
not apply to clinics or school health care providers that only maintain
records that have been excepted from the definition of protected health
information, adding an exception to the definition of covered entities
for those schools, and limiting paperwork requirements for these
schools. Another commenter argued for deleting references to schools
because the proposed rule appeared to supersede or create ambiguity as
to the Family Educational Rights and Privacy Act (FERPA), which gives
parents the right to access "education" and health records of their
unemancipated minor children. However, in contrast, one commenter
supported the inclusion of health care professionals who provide
services at schools or businesses.
*Response:* We realize that our discussion of schools in the NPRM may
have been confusing. Therefore, we address these concerns and set forth
our policy regarding protected health information in educational
agencies and institutions in the "Relationship to Other Federal Laws"
discussion of FERPA, above.
*Comment:* Many commenters urged that direct contact with the patient be
necessary for an entity to be considered a health care provider.
Commenters suggested that persons and organizations that are remote to
the patient and have no direct contact should not be considered health
care providers. Several commenters argued that the definition of health
care provider covers a person that provides health care services or
supplies only when the provider furnishes to or bills the patient
directly. It was stated that the Secretary did not intend that
manufacturers, such as pharmaceutical, biologics, and device
manufacturers, health care suppliers, medical-surgical supply
distributors, health care vendors that offer medical record
documentation templates and that typically do not deal directly with the
patient, be considered health care providers and thus covered entities.
However, in contrast, one commenter argued that, as an in vitro
diagnostics manufacturer, it should be covered as a health care
provider.
*Response:* We disagree with the comments that urged that direct
dealings with an individual be a prerequisite to meeting the definition
of health care provider. Many providers included in the statutory
definition of provider, such as clinical labs, do not have direct
contact with patients. Further, the use and disclosure of protected
health information by indirect treatment providers can have a
significant effect on individuals' privacy. We acknowledge, however,
that providers who treat patients only indirectly need not have the full
array of responsibilities as direct treatment providers, and modify the
NPRM to make this distinction with respect to several provisions (see,
for example § 164.506 regarding consent). We also clarify that
manufacturers and health care suppliers who are considered providers by
Medicare are providers under this rule.
*Comment:* Some commenters suggested that blood centers and plasma donor
centers that collect and distribute source plasma not be considered
covered health care providers because the centers do not provide "health
care services" and the blood donors are not "patients" seeking health
care. Similarly, commenters expressed concern that organ procurement
organizations might be considered health care providers.
*Response:* We agree and have deleted from the definition of "health
care" the term "procurement or banking of blood, sperm, organs, or any
other tissue for administration to patients." See prior discussion under
"health care."
*Comment:* Several commenters proposed to restrict coverage to only
those providers who furnished and were paid for services and supplies.
It was argued that a salaried employee of a covered entity, such as a
hospital-based provider, should not be covered by the rule because that
provider would be subject both directly to the rule as a covered entity
and indirectly as an employee of a covered entity.
*Response:* The "dual" direct and indirect situation described in these
comments can arise only when a health care provider conducts standard
HIPAA transactions both for itself and for its employer. For example,
when the services of a provider such as a hospital-based physician are
billed through a standard HIPAA transaction conducted for the employer,
in this example the hospital, the physician does not become a covered
provider. Only when the provider uses a standard transaction on its own
behalf does he or she become a covered health care provider. Thus, the
result is typically as suggested by this commenter. When a
hospital-based provider is not paid directly, that is, when the standard
HIPAA transaction is not on its behalf, it will not become a covered
provider.
*Comment:* Other commenters argued that an employer who provides health
care services to its employees for whom it neither bills the employee
nor pays for the health care should not be considered health care
providers covered by the proposed rule.
*Response:* We clarify that the employer may be a health care provider
under the rule, and may be covered by the rule if it conducts standard
transactions. The provisions of § 164.504 may also apply.
*Comment:* Some commenters were confused about the preamble statement:
"in order to implement the principles in the Secretary\'s
Recommendations, we must impose any protections on the health care
providers that use and disclose the information, rather than on the
researcher seeking the information," with respect to the rule's policy
that a researcher who provides care to subjects in a trial will be
considered a health care provider. Some commenters were also unclear
about whether the individual researcher providing health care to
subjects in a trial would be considered a health care provider or
whether the researcher's home institution would be considered a health
care provider and thus subject to the rule.
*Response:* We clarify that, in general, a researcher is also a health
care provider if the researcher provides health care to subjects in a
clinical research study and otherwise meets the definition of "health
care provider" under the rule. However, a health care provider is only a
covered entity and subject to the rule if that provider conducts
standard transactions. With respect to the above preamble statement, we
meant that our jurisdiction under the statute is limited to covered
entities. Therefore, we cannot apply any restrictions or requirements on
a researcher in that person's role as a researcher. However, if a
researcher is also a health care provider that conducts standard
transactions, that researcher/provider is subject to the rule with
regard to its provider activities.
As to applicability to a researcher/provider versus the researcher's
home institution, we provide the following guidance. The rule applies to
the researcher as a covered entity if the researcher is a health care
provider who conducts standard transactions for services on his or her
own behalf, regardless of whether he or she is part of a larger
organization. However, if the services and transactions are conducted on
behalf of the home institution, then the home institution is the covered
entity for purposes of the rule and the researcher/provider is a
workforce member, not a covered entity.
*Comment:* One commenter expressed confusion about those instances when
a health care provider was a covered entity one day, and one who "works
under a contract" for a manufacturer the next day.
*Response:* If persons are covered under the rule in one role, they are
not necessarily covered entities when they participate in other
activities in another role. For example, that person could be a covered
health care provider in a hospital one day but the next day read
research records for a different employer. In its role as researcher,
the person is not covered, and protections do not apply to those
research records.
*Comment:* One commenter suggested that the Secretary modify proposed §
160.102, to add the following clause at the end (after (c)) (regarding
health care provider), "With respect to any entity whose *primary*
business is not that of a health plan or health care provider licensed
under the applicable laws of any state, the standards, requirements, and
implementation specifications of this subchapter shall apply solely to
the component of the entity that engages in the transactions specified
in \[§\] 160.103." (Emphasis added.) Another commenter also suggested
that the definition of "covered entity" be revised to mean entities that
are "primarily or exclusively engaged in health care-related activities
as a health plan, health care provider, or health care clearinghouse."
*Response:* The Secretary rejects these suggestions because they will
impermissibly limit the entities covered by the rule. An entity that is
a health plan, health care provider, or health care clearinghouse meets
the statutory definition of covered entity regardless of how much time
is devoted to carrying out health care-related functions, or regardless
of what percentage of their total business applies to health
care-related functions.
*Comment:* Several commenters sought to distinguish a health care
provider from a business partner as proposed in the NPRM. For example, a
number of commenters argued that disease managers that provide services
"on behalf of" health plans and health care providers, and case managers
(a variation of a disease management service) are business partners and
not "health care providers." Another commenter argued that a disease
manager should be recognized (presumably as a covered entity) because of
its involvement from the physician-patient level through complex
interactions with health care providers.
*Response:* To the extent that a disease or case manager provides
services on behalf of or to a covered entity as described in the rule's
definition of business associate, the disease or case manager is a
business associate for purposes of this rule. However, if services
provided by the disease or case manager meet the definition of treatment
and the person otherwise meets the definition of "health care provider,"
such a person is a health care provider for purposes of this rule.
*Comment:* One commenter argued that pharmacy employees who assist
pharmacists, such as technicians and cashiers, are not business
partners.
*Response:* We agree. Employees of a pharmacy that is a covered entity
are workforce members of that covered entity for purposes of this rule.
*Comment:* A number of commenters requested that we clarify the
definition of health care provider ("\...who furnishes, bills, or is
paid for health care services or supplies in the normal course of
business") by defining the various terms "furnish", "supply", and "in
the normal course of business." For instance, it was stated that this
would help employers recognize when services such as an employee
assistance program constituted health care covered by the rule.
*Response:* Although we understand the concern expressed by the
commenters, we decline to follow their suggestion to define terms at
this level of specificity. These terms are in common use today, and an
attempt at specific definition would risk the inadvertent creations of
conflict with industry practices. There is a significant variation in
the way employers structure their employee assistance programs (EAPs)
and the type of services that they provide. If the EAP provides direct
treatment to individuals, it may be a health care provider.
***Health Information*.**
The response to comments on health information is included in the
response to comments on individually identifiable health information, in
the preamble discussion of § 164.501.
***Health Plan*.**
*Comment:* One commenter suggested that to eliminate any ambiguity, the
Secretary should clarify that the catch-all category under the
definition of health plan includes "24-hour coverage plans" (whether
insured or self-insured) that integrate traditional employee health
benefits coverage and workers' compensation coverage for the treatment
of on-the-job injuries and illnesses under one program. It was stated
that this clarification was essential if the Secretary persisted in
excluding workers' compensation from the final rule.
*Response:* We understand concerns that such plans may use and disclose
individually identifiable health information. We therefore clarify that
to the extent that 24-hour coverage plans have a health care component
that meets the definition of "health plan" in the final rule, such
components must abide by the provisions of the final rule. In the final
rule, we have added a new provision to § 164.512 that permits covered
entities to disclose information under workers' compensation and similar
laws. A health plan that is a 24-hour plan is permitted to make
disclosures as necessary to comply with such laws.
*Comment:* A number of commenters urged that certain types of insurance
entities, such as workers' compensation and automobile insurance
carriers, property and casualty insurance health plans, and certain
forms of limited benefits coverage, be included in the definition of
"health plan." It was argued that consumers deserve the same protection
with respect to their health information, regardless of the entity using
it, and that it would be inequitable to subject health insurance
carriers to more stringent standards than other types of insurers that
use individually identifiable health information.
*Response:* The Congress did not include these programs in the
definition of a "health plan" under section 1171 of the Act. Further,
HIPAA's legislative history shows that the House Report's (H. Rep.
104-496) definition of "health plan" originally included certain benefit
programs, such as workers' compensation and liability insurance, but was
later amended to clarify the definition and remove these programs. Thus,
since the statutory definition of a health plan both on its face and
through legislative history evidence Congress' intention to exclude such
programs, we do not have the authority to require that these programs
comply with the standards. We have added explicit language to the final
rule which excludes the excepted benefit programs, as defined in section
2971(c)(1) of the PHS Act, 42 U.S.C. 300gg-91(c)(1).
*Comment:* Some commenters urged HHS to include entities such as stop
loss insurers and reinsurers in the definition of "health plan." It was
observed that such entities have come to play important roles in managed
care delivery systems. They asserted that increasingly, capitated health
plans and providers contract with their reinsurers and stop loss
carriers to medically manage their high cost outlier cases such as organ
and bone marrow transplants, and therefore should be specifically cited
as subject to the regulations.
*Response:* Stop-loss and reinsurers do not meet the statutory
definition of health plan. They do not provide or pay for the costs of
medical care, as described in the statute, but rather insure health
plans and providers against unexpected losses. Therefore, we cannot
include them as health plans in the regulation.
*Comment:* A commenter asserted that there is a significant discrepancy
between the effect of the definition of "group health plan" as proposed
in § 160.103, and the anticipated impact in the cost estimates of the
proposed rule at 64 FR 60014. Paragraph (1) of the proposed definition
of "health plan" defined a "group health plan" as an ERISA-defined
employee welfare benefit plan that provides medical care and that: "(i)
Has 50 or more participants, [or]{.underline} (ii) Is administered by an
entity other than the employer that established and maintains the
plan\[.\]" (emphasis added) According to this commenter, under this
definition, the only insured or self-insured ERISA plans that would not
be regulated "health plans" would be those that have less than 50
participants [and]{.underline} are self administered.
The commenter presumed that the we had intended to exclude from the
definition of "health plan" (and from coverage under the proposed rule)
all ERISA plans that are small (less than 50 participants)
[or]{.underline} are administered by a third party, whether large or
small, based on the statement at 64 FR 60014, note 18. That footnote
stated that the Department had "not included the 3.9 million 'other'
employer-health plans listed in HCFA's administrative simplification
regulations because these plans are administered by a third party. The
proposed regulation will not regulate the employer plans but will
regulate the third party administrators of the plan." The commenter
urged us not to repeat the statutory definition, and to adopt the policy
implied in the footnote.
*Response:* We agree with the commenter's observation that footnote 18
(64 FR 60014) was inconsistent with the proposed definition. We erred in
drafting that note. The definition of "group health plan" is adopted
from the statutory definition at section 1171(5)(A), and excludes from
the rule as "health plans" only the few insured or self-insured ERISA
plans that have less than 50 participants [and]{.underline} are self
administered. We reject the commenter's proposed change to the
definition as inconsistent with the statute.
*Comment:* A number of insurance companies asked that long term care
insurance policies be excluded from the definition of "health plan." It
was argued that such policies do not provide sufficiently comprehensive
coverage of the cost of medical care, and are limited benefit plans that
provide or pay for the cost of custodial and other related services in
connection with a long term, chronic illness or disability.
These commenters asserted that HIPAA recognizes this nature of long term
care insurance, observing that, with respect to HIPAA's portability
requirements, Congress enacted a series of exclusions for certain
defined types of health plan arrangements that do not typically provide
comprehensive coverage. They maintained that Congress recognized that
long term care insurance is excluded, so long as it is not a part of a
group health plan. Where a long term care policy is offered separately
from a group health plan it is considered an excepted benefit and is not
subject to the portability and guarantee issue requirements of HIPAA.
Although this exception does not appear in the Administrative
Simplification provisions of HIPAA, it was asserted that it is guidance
with respect to the treatment of long term care insurance as a limited
benefit coverage and not as coverage that is so "sufficiently
comprehensive" that it is to be treated in the same manner as a typical,
comprehensive major medical health plan arrangement.
Another commenter offered a different perspective observing that there
are some long-term care policies that do not pay for medical care and
therefore are not "health plans." It was noted that most long-term care
policies are reimbursement policies--that is, they reimburse the
policyholder for the actual expenses that the insured incurs for
long-term care services. To the extent that these constitute "medical
care," this commenter presumed that these policies would be considered
"health plans." Other long-term care policies, they pointed out, simply
pay a fixed dollar amount when the insured becomes chronically ill,
without regard to the actual cost of any long-term care services
received, and thus are similar to fixed indemnity critical illness
policies. The commenter suggested that while there was an important
distinction between indemnity based long-term care policies and expenses
based long-term care policies, it may be wise to exclude *all* long-term
care policies from the scope of the rule to achieve consistency with
HIPAA.
*Response:* We disagree. The statutory language regarding long-term care
policies in the portability title of HIPAA is different from the
statutory language regarding long-term care policies in the
Administrative Simplification title of HIPAA. Section 1171(5)(G) of the
Act means that issuers of long-term care policies are considered health
plans for purposes of administrative simplification. We also interpret
the statute as authorizing the Secretary to exclude nursing home
fixed-indemnity policies, not all long-term care policies, from the
definition of "health plan," if she determines that these policies do
not provide "sufficiently comprehensive coverage of a benefit" to be
treated as a health plan (see section 1171 of the Act). We interpret the
term "comprehensive" to refer to the breadth or scope of coverage of a
policy. "Comprehensive" policies are those that cover a range of
possible service options. Since nursing home fixed indemnity policies
are, by their own terms, limited to payments made solely for nursing
facility care, we have determined that they should not be included as
health plans for the purposes of the HIPAA regulations. The Secretary,
therefore, explicitly excluded nursing home fixed-indemnity policies
from the definition of "health plan" in the Transactions Rule, and this
exclusion is thus reflected in this final rule. Issuers of other
long-term care policies are considered to be health plans under this
rule and the Transactions Rule.
*Comment:* One commenter was concerned about the potential impact of the
proposed regulations on "unfunded health plans," which the commenter
described as programs used by smaller companies to provide their
associates with special employee discounts or other membership
incentives so that they can obtain health care, including prescription
drugs, at reduced prices. The commenter asserted that if these discount
and membership incentive programs were covered by the regulation, many
smaller employers might discontinue offering them to their employees,
rather than deal with the administrative burdens and costs of complying
with the rule.
*Response:* Only those special employee discounts or membership
incentives that are "employee welfare benefit plans" as defined in
section 3(1) of the Employee Retirement Income Security Act of 1974, 29
U.S.C. 1002(1), and provide "medical care" (as defined in section
2791(a)(2) of the Public Health Service Act, 42 U.S.C. 300gg-91(a)(2)),
are health plans for the purposes of this rule. Discount or membership
incentive programs that are not group health plans are not covered by
the rule.
*Comment:* Several commenters agreed with the proposal to exclude
"excepted benefits" such as disability income insurance policies, fixed
indemnity critical illness policies, and per diem long-term care
policies from the definition of "health plan," but were concerned that
the language of the proposed rule did not fully reflect this intent.
They asserted that clarification was necessary in order to avoid
confusion and costs to both consumers and insurers.
One commenter stated that, while HHS did not intend for the rule to
apply to every type of insurance coverage that paid for medical care,
the language of the proposed rule did not bear this out. The problem, it
was asserted, is that under the proposed rule any insurance policy that
pays for "medical care" would technically be a "health plan." It was
argued that despite the statements in the narrative, there are no
provisions that would exempt any of the "excepted benefits" from the
definition of "health care." It was stated that:
> Although (with the exception of long-term care insurance), the
> proposed rule does not include the 'excepted benefits' in its list of
> sixteen examples of a health plan (proposed 45 CFR 160.104), it does
> not explicitly exclude them either. Because these types of policies in
> some instances pay benefits that could be construed as payments for
> medical care, we are concerned by the fact that they are not
> explicitly excluded from the definition of 'health plan' or the
> requirements of the proposed rule."
Several commenters proposed that HHS adopt the same list of "excepted
benefits" contained in 29 U.S.C. 1191b, suggesting that they could be
adopted either as exceptions to the definition of "health plan" or as
exceptions to the requirements imposed on "health plans." They asserted
that this would promote consistency in the federal regulatory structure
for health plans.
It was suggested that HHS clarify whether the definition of health plan,
particularly the "group health plan" and "health insurance issuer"
components, includes a disability plan or disability insurer. It was
noted that a disability plan or disability insurer may cover only income
lost from disability and, as mentioned above, some rehabilitation
services, or a combination of lost income, rehabilitation services and
medical care. The commenter suggested that in addressing this coverage
issue, it may be useful to refer to the definitions of group health
plan, health insurance issuer and medical care set forth in Part I of
HIPAA, which the statutory provisions of the Administrative
Simplification subtitle expressly reference. See 42 U.S.C. 1320d(5)(A)
and(B).
*Response:* We agree that the NPRM may have been ambiguous regarding the
types of plans the rule covers. To remedy this confusion, we have added
language that specifically excludes from the definition any policy,
plan, or program providing or paying the cost of the excepted benefits,
as defined in section 2971(c)(1) of the PHS Act, 42 U.S.C.
300gg-91(c)(1). As defined in the statute, this includes but is not
limited to benefits under one or more (or any combination thereof) of
the following: coverage only for accident, or disability income
insurance, or any combination thereof; liability insurance, including
general liability insurance and automobile liability insurance; and
workers' compensation or similar insurance.
However, the other excepted benefits as defined in section 2971(c)(2) of
the PHS Act, 42 U.S.C. 300gg-91(c)(2), such as limited scope dental or
vision benefits, not explicitly excepted from the regulation could be
considered "health plans" under paragraph (1)(xvii) of the definition of
"health plan" in the final rule if and to the extent that they meet the
criteria for the definition of "health plan." Such plans, unlike the
programs and plans listed at section 2971(c)(1), directly and
exclusively provide health insurance, even if limited in scope.
*Comment:* One commenter recommended that the Secretary clarify that
"health plan" does not include property and casualty benefit providers.
The commenter stated that the clarifying language is needed given the
"catchall" category of entities defined as "any other individual plan or
group health plan, or combination thereof, that provides or pays for the
cost of medical care," and asserted that absent clarification there
could be serious confusion as to whether property and casualty benefit
providers are "health plans" under the rule.
*Response:* We agree and as described above have added language to the
final rule to clarify that the "excepted benefits" as defined under 42
U.S.C. 300gg-91(c)(1), which includes liability programs such as
property and casualty benefit providers, are not health plans for the
purposes of this rule.
*Comment:* Some commenters recommended that the Secretary replace the
term "medical care" with "health care." It was observed that "health
care" was defined in the proposal, and that this definition was used to
define what a health care provider does. However, they observed that the
definition of "health plan" refers to the provision of or payment for
"medical care," which is not defined. Another commenter recommended that
HHS add the parenthetical phrase "as such term is defined in section
2791 of the Public Health Service Act" after the phrase "medical care."
*Response:* We disagree with the first recommendation. We understand
that the term "medical care" can be easily confused with the term
"health care." However, the two terms are not synonymous. The term
"medical care" is a statutorily defined term and its use is critical in
making a determination as to whether a health plan is considered a
"health plan" for purposes of administrative simplification. In
addition, since the term "medical care" is used in the regulation only
in the context of the definition of "health plan" and we believe that
its inclusion in the regulatory text may cause confusion, we did not add
a definition of "medical care" in the final rule. However, consistent
with the second recommendation above, the statutory cite for "medical
care" was added to the definition of "health plan" in the Transactions
Rule, and thus is reflected in this final rule.
*Comment:* A number of commenters urged that the Secretary define more
narrowly what characteristics would make a government program that pays
for specific health care services a "health plan." Commenters argued
that there are many "payment" programs that should not be included, as
discussed below, and that if no distinctions were made, "health plan"
would mean the same as "purchaser" or even "payor."
Commenters asserted that there are a number of state programs that pay
for "health care" (as defined in the rule) but that are not health
plans. They said that examples include the WIC program (Special
Supplemental Nutrition Program for Women, Infants, and Children) which
pays for nutritional assessment and counseling, among other services;
the AIDS Client Services Program (including AIDS prescription drug
payment) under the federal Ryan White Care Act and state law; the
distribution of federal family planning funds under Title X of the
Public Health Services Act; and the breast and cervical health program
which pays for cancer screening in targeted populations. Commenters
argued that these are not insurance plans and do not fall within the
"health plan" definition's list of examples, all of which are either
insurance or broad-scope programs of care under a contract or statutory
entitlement. However, paragraph (16) in that list opens the door to
broader interpretation through the catchall phrase, "any other
individual or group plan that provides or pays for the cost of medical
care." Commenters assert that clarification is needed.
A few commenters stated that other state agencies often work in
partnership with the state Medicaid program to implement certain
Medicaid benefits, such as maternity support services and prenatal
genetics screening. They concluded that while this probably makes parts
of the agency the "business partner" of a covered entity, they were
uncertain whether it also makes the same agency parts a "health plan" as
well.
*Response:* We agree with the commenters that clarification is needed as
to the rule's application to government programs that pay for health
care services. Accordingly, in the final rule we have excepted from the
definition of "health plan" a government funded program which does not
have as its principal purpose the provision of, or payment for, the cost
of health care or which has as its principal purpose the provision,
either directly or by grant, of health care. For example, the principal
purpose of the WIC program is not to provide or pay for the cost of
health care, and thus, the WIC program is not a health plan for purposes
of this rule. The program of health care services for individuals
detained by the INS provides health care directly, and so is not a
health plan. Similarly, the family planning program authorized by Title
X of the Public Health Service Act pays for care exclusively through
grants, and so is not a health plan under this rule. These programs (the
grantees under the Title X program) may be or include health care
providers and may be covered entities if they conduct standard
transactions.
We further clarify that, where a public program meets the definition of
"health plan," the government agency that administers the program is the
covered entity. Where two agencies administer a program jointly, they
are both a health plan. For example, both the Health Care Financing
Administration and the insurers that offers a Medicare+Choice plan are
"health plans" with respect to Medicare beneficiaries. An agency that
does not administer a program but which provides services for such a
program is not a covered entity by virtue of providing such services.
Whether an agency providing services is a business associate of the
covered entity depends on whether its functions for the covered entity
meet the definition of business associate in § 164.501 and, in the
example described by this comment, in particular on whether the
arrangement falls into the exception in § 164.504(e)(1)(ii)(C) for
government agencies that collect eligibility or enrollment information
for covered government programs.
*Comment:* Some commenters expressed support for retaining the category
in paragraph (16) of the proposal's definition: "Any other individual or
group health plan, or combination thereof, that provides or pays for the
cost of medical care." Others asked that the Secretary clarify this
category. One commenter urged that the final rule clearly define which
plans would meet the criteria for this category.
*Response:* As described in the proposed rule, this category implements
the language at the beginning of the statutory definition of the term
"health plan": "The term 'health plan' means an individual or group plan
that provides, or pays the cost of, medical care\... Such term includes
the following, and any combination thereof\..." This statutory language
is general, not specific, and as such, we are leaving it general in the
final rule. However, as described above, we add explicit language which
excludes certain "excepted benefits" from the definition of "health
plan" in an effort to clarify which plans are not health plans for the
purposes of this rule. Therefore, to the extent that a certain benefits
plan or program otherwise meets the definition of "health plan" and is
not explicitly excepted, that program or plan is considered a "health
plan" under paragraph (1)(xvii) of the final rule.
*Comment:* A commenter explained that HIPAA defines a group health plan
by expressly cross-referencing the statutory sections in the PHS Act and
the Employee Retirement Income Security Act of 1974 (ERISA), 29 U.S.C.
1001, et seq., which define the terms \"group health plan,\" \"employee
welfare benefit plan\" and \"participant.\" See 29 U.S.C. 1002(l)
(definition of \"employee welfare benefit plan,\" which is the core of
the definition of group health plan under both ERISA and the PHS Act);
29 U.S.C. 100217) (definition of participant); 29 U.S.C. 1193(a)
(definition of \"group health plan,\" which is identical to that in
section 2791(a) of the PHS Act).
It was pointed out that the preamble and the text of the proposed rule
both limit the definition of all three terms to their current
definitions. The commenter reasoned that since the ERISA definitions may
change over time through statutory amendment, Department of Labor
regulations or judicial interpretation, it would not be clear what point
in time is to be considered current. Therefore, they suggested deleting
references to \"current\" or \"currently\" in the preamble and in the
regulation with respect to these three ERISA definitions.
In addition, the commenter stated that as the preamble to the NPRM
correctly reflected, HIPAA expressly cross-references ERISA\'s
definition of \"participant\" in section 3(7) of ERISA, 29 U.S.C.
1002(7). 42 U.S.C. 1320d(5)(A). The text of the privacy regulation,
however, omits this cross-reference. It was suggested that the reference
to section 3(7) of ERISA, defining "participant," be included in the
regulation.
Finally, HIPAA incorporates the definition of a group health plan as set
forth in section 2791(a) of the PHS Act, 42 U.S.C. 300gg-91(a)(l). That
definition refers to the provision of medical care \"directly or through
insurance, reimbursement, or otherwise.\" The word \"reimbursement\" is
omitted in both the preamble and the text of the regulation; the
commenter suggested restoring it to both.
*Response:* We agree. These changes were made to the definition of
"health plan" as promulgated in the Transactions Rule, and are reflected
in this final rule.
***Small Health Plan*.**
*Comment:* One commenter recommended that we delete the reference to \$5
million in the definition and instead define a "small health plan" as a
health plan with fewer than 50 participants. It was stated that using a
dollar limitation to define a "small health plan" is not meaningful for
self-insured plans and some other types of health plan coverage
arrangements. A commenter pointed out that the general definition of a
health plan refers to "50 or more participants," and that using a dollar
factor to define a "small health plan" would be inconsistent with this
definition.
*Response:* We disagree. The Small Business Administration (SBA)
promulgates size standards that indicate the maximum number of employees
or annual receipts allowed for a concern (13 CFR 121.105) and its
affiliates to be considered "small." The size standards themselves are
expressed either in number of employees or annual receipts (13 CFR
121.201). The size standards for compliance with programs of other
agencies are those for SBA programs which are most comparable to the
programs of such other agencies, unless otherwise agreed by the agency
and the SBA (13 CFR 121.902). With respect to the insurance industry,
the SBA has specified that annual receipts of \$5 million is the maximum
allowed for a concern and its affiliates to be considered small (13 CFR
121.201). Consequently, we retain the proposal's definition in the final
rule to be consistent with SBA requirements.
We understand there may be some confusion as to the meaning of "annual
receipts" when applied to a health plan. For our purposes, therefore, we
consider "pure premiums" to be equivalent to "annual receipts."
***Workforce*.**
*Comment:* Some commenters requested that we exclude "volunteers" from
the definition of workforce. They stated that volunteers are important
contributors within many covered entities, and in particular hospitals.
They argued that it was unfair to ask that these people donate their
time and at the same time subject them to the penalties placed upon the
paid employees by these regulations, and that it would discourage people
from volunteering in the health care setting.
*Response*: We disagree. We believe that differentiating those persons
under the direct control of a covered entity who are paid from those who
are not is irrelevant for the purposes of protecting the privacy of
health information, and for a covered entity's management of its
workforce. In either case, the person is working for the covered entity.
With regard to implications for the individual, persons in a covered
entity's workforce are not held personally liable for violating the
standards or requirements of the final rule. Rather, the Secretary has
the authority to impose civil monetary penalties and in some cases
criminal penalties for such violations on only the covered entity.
*Comment*: One commenter asked that the rule clarify that employees
administering a group health or other employee welfare benefit plan on
their employers' behalf are considered part of the covered entity's
workforce.
*Response:* As long as the employees have been identified by the group
health plan in plan documents as performing functions related to the
group health plan (consistent with the requirements of § 164.504(f)),
those employees may have access to protected health information.
However, they are not permitted to use or disclose protected health
information for employment-related purposes or in connection with any
other employee benefit plan or employee benefit of the plan sponsor.
**PART 160 -- SUBPART B -- PREEMPTION OF STATE LAW**
We summarize and respond below to comments received in the Transactions
rulemaking on the issue of preemption, as well as those received on this
topic in the Privacy rulemaking. Because no process was proposed in the
Transactions rulemaking for granting exceptions under section
1178(a)(2)(A), a process for making exception determinations was not
adopted in the Transactions Rule. Instead, since a process for making
exception determinations was proposed in the Privacy rulemaking, we
decided that the comments received in the Transactions rulemaking should
be considered and addressed in conjunction with the comments received on
the process proposed in the Privacy rulemaking. See 65 FR 50318 for a
fuller discussion. Accordingly, we discuss the preemption comments
received in the Transactions rulemaking where relevant below.
*Comment:* The majority of comments on preemption addressed the subject
in general terms. Numerous comments, particularly from plans and
providers, argued that the proposed preemption provisions were
burdensome, ineffective, or insufficient, and that complete federal
preemption of the "patchwork" of state privacy laws is needed. They also
argued that the proposed preemption provisions are likely to invite
litigation. Various practical arguments in support of this position were
made. Some of these comments recognized that the Secretary's authority
under section 1178 of the Act is limited and acknowledged that the
Secretary's proposals were within her statutory authority. One commenter
suggested that the exception determination process would result in a
very costly and laborious and sometimes inconsistent analysis of the
occasions in which state law would survive federal preemption, and thus
suggested the final privacy regulations preempt state law with only
limited exceptions, such as reporting child abuse. Many other comments,
however, recommended changing the proposed preemption provisions to
preempt state privacy laws on as blanket a basis as possible.
One comment argued that the assumption that more stringent privacy laws
are better is not necessarily true, citing a 1999 GAO report finding
evidence that the stringent state confidentiality laws of Minnesota
halted the collection of comparative information on health care quality.
Several comments in this vein were also received in the Transactions
rulemaking. The majority of these comments took the position that
exceptions to the federal standards should either be prohibited or
discouraged. It was argued that granting exceptions to the standards,
particularly the transactions standards, would be inconsistent with the
statute's objective of promoting administrative simplification through
the use of uniform transactions.
Many other commenters, however, endorsed the "federal floor" approach of
the proposed rules. (These comments were made in the context of the
proposed privacy regulations.) These comments argued that this approach
was preferable because it would not impair the effectiveness of state
privacy laws that are more protective of privacy, while raising the
protection afforded medical information in states that do not enact laws
that are as protective as the rules below. Some comments argued,
however, that the rules should give even more deference to state law,
questioning in particular the definitions and the proposed addition to
the "other purposes" criterion for exception determinations in this
regard.
*Response:* With respect to the exception process provided for by
section 1178(a)(2)(A), the contention that the HIPAA standards should
uniformly control is an argument that should be addressed to the
Congress, not this agency. Section 1178 of the Act expressly gives the
Secretary authority to grant exceptions to the general rule that the
HIPAA standards preempt contrary state law in the circumstances she
determines come within the provisions at section 1178(a)(2)(A). We agree
that the underlying statutory goal of standardizing financial and
administrative health care transactions dictates that exceptions should
be granted only on narrow grounds. Nonetheless, Congress clearly
intended to accommodate some state laws in these areas, and the
Department is not free to disregard this Congressional choice. As is
more fully explained below, we have interpreted the statutory criteria
for exceptions under section 1178(a)(2)(A) to balance the need for
relative uniformity with respect to the HIPAA standards with state needs
to set certain policies in the statutorily defined areas.
The situation is different with respect to state laws relating to the
privacy of protected health information. Many of the comments arguing
for uniform standards were particularly concerned with discrepancies
between the federal privacy standards and various state privacy
requirements. Unlike the situation with respect to the transactions
standards, where states have generally not entered the field, all states
regulate the privacy of some medical information to a greater or lesser
extent. Thus, we understand the private sector's concern at having to
reconcile differing state and federal privacy requirements.
This is, however, likewise an area where the policy choice has been made
by Congress. Under section 1178(a)(2)(B) of the Act and section
264(c)(2) of HIPAA, provisions of state privacy laws that are contrary
to and more stringent than the corresponding federal standard,
requirement, or implementation specification are not preempted. The
effect of these provisions is to let the law that is most protective of
privacy control (the "federal floor" approach referred to by many
commenters), and this policy choice is one with which we agree. Thus,
the statute makes it impossible for the Secretary to accommodate the
requests to establish uniformly controlling federal privacy standards,
even if doing so were viewed as desirable.
*Comment:* Numerous comments stated support for the proposal at proposed
Subpart B to issue advisory opinions with respect to the preemption of
state laws relating to the privacy of individually identifiable health
information. A number of these comments appeared to assume that the
Secretary's advisory opinions would be dispositive of the issue of
whether or not a state law was preempted. Many of these commenters
suggested what they saw as improvements to the proposed process, but
supported the proposal to have the Department undertake this function.
*Response:* Despite the general support for the advisory opinion
proposal, we decided not to provide specifically for the issuance of
such opinions. The following considerations led to this decision. First,
the assumption by commenters that an advisory opinion would establish
what law applied in a given situation and thereby simplify the task of
ascertaining what legal requirements apply to a covered entity or
entities is incorrect. Any such opinion would be advisory only. Although
an advisory opinion issued by the Department would indicate to covered
entities how the Department would resolve the legal conflict in question
and would apply the law in determining compliance, it would not bind the
courts. While we assume that most courts would give such opinions
deference, the outcome could not be guaranteed.
Second, the thousands of questions raised in the public comment about
the interpretation, implications, and consequences of all of the
proposed regulatory provisions have led us to conclude that significant
advice and technical assistance about all of the regulatory requirements
will have to be provided on an ongoing basis. We recognize that the
preemption concerns that would have been addressed by the proposed
advisory opinions were likely to be substantial. However, there is no
reason to assume that they will be the most substantial or urgent of the
questions that will most likely need to be addressed. It is our intent
to provide as much technical advice and assistance to the regulated
community as we can with the resources available. Our concern is that
setting up an advisory opinion process for just one of the many types of
issues that will have to be addressed will lead to a non-optimal
allocation of those resources. Upon careful consideration, therefore, we
have decided that we will be better able to prioritize our workload and
be better able to be responsive to the most urgent and substantial
questions raised to the Department, if we do not provide for a formal
advisory opinion process on preemption as proposed.
*Comment:* A few commenters argued that the Privacy Rule should preempt
state laws that would impose more stringent privacy requirements for the
conduct of clinical trials. One commenter asserted that the existing
federal regulations and guidelines for patient informed consent,
together with the proposed rule, would adequately protect patient
privacy.
*Response*: The Department does not have the statutory authority under
HIPAA to preempt state laws that would impose more stringent privacy
requirements on covered entities. HIPAA provides that the rule
promulgated by the Secretary may not preempt state laws that are in
conflict with the regulatory requirements and that provide greater
privacy protections.
**SECTION 160.201 -- APPLICABILITY**
*Comment:* Several commenters indicated that the guidance provided by
the definitions at proposed § 160.202 would be of substantial benefit
both to regulated entities and to the public. However, these commenters
argued that the applicability of such definitions would be too limited
as drafted, since proposed § 160.201 provided that the definitions
applied only to "determinations and advisory opinions issued by the
Secretary pursuant to 42 U.S.C. 1320d-7." The commenters stated that it
would be far more helpful to make the definitions in proposed § 160.202
more broadly applicable, to provide general guidance on the issue of
preemption.
*Response:* We agree with the comments on this issue, and have revised
the applicability provision of subpart B below accordingly. Section
160.201 below sets out that Subpart B implements section 1178. This
means, in our view, that the definitions of the statutory terms at §
160.202 are legislative rules that apply when those statutory terms are
employed, whether by HHS, covered entities, or the courts.
**SECTION 160.202 -- DEFINITIONS**
***Contrary***
*Comment:* Some commenters asserted that term "contrary" as defined at §
160.202 was overly broad and that its application would be
time-consuming and confusing for states. These commenters argued that,
under the proposed definition, a state would be required to examine all
of its laws relating to health information privacy in order to determine
whether or not its law were contrary to the requirements proposed. It
was also suggested that the definition contain examples of how it would
work in practical terms.
A few commenters, however, argued that the definition of "contrary" as
proposed was too narrow. One commenter argued that the Secretary erred
in her assessment of the case law analyzing what is known as "conflict
preemption" and which is set forth in shorthand in the tests set out at
§ 160.202.
*Response:* We believe that the definition proposed represents a policy
that is as clear as is feasible and which can be applied nationally and
uniformly. As was noted in the preamble to the proposed rules (at 64 FR
59997), the tests in the proposed definition of "contrary" are adopted
from the jurisprudence of "conflict preemption." Since preemption is a
judicially developed doctrine, it is reasonable to interpret this term
as indicating that the statutory analysis should tie in to the
analytical formulations employed by the courts. Also, while the
court-developed tests may not be as clear as commenters would like, they
represent a long-term, thoughtful consideration of the problem of
defining when a state/federal conflict exists. They will also, we
assume, generally be employed by the courts when conflict issues arise
under the rules below. We thus see no practical alternative to the
proposed definition and have retained it unchanged. With respect to
various suggestions for shorthand versions of the proposed tests, such
as the arguably broader term "inconsistent with," we see no operational
advantages to such terms.
*Comment:* One comment asked that the Department clarify that if state
law is not preempted, then the federal law would not also apply.
*Response:* This comment raises two issues, both of which deserve
discussion. First, a state law may not be preempted because there is no
conflict with the analogous federal requirement; in such a situation,
both laws can, and must, be complied with. We thus do not accept this
suggestion, to the extent that it suggests that the federal law would
give way in this situation. Second, a state law may also not be
preempted because it comes within section 1178(a)(2)(B), section
1178(b), or section 1178(c); in this situation, a contrary federal law
would give way.
*Comment:* One comment urged the Department to take the position that
where state law exists and no analogous federal requirement exists, the
state requirement would not be "contrary to" the federal requirement and
would therefore not trigger preemption.
*Response:* We agree with this comment.
*Comment:* One commenter criticized the definition as unhelpful in the
multi-state transaction context. For example, it was asked whether the
issue of whether a state law was "contrary to" should be determined by
the law of the state where the treatment is provided, where the claim
processor is located, where the payment is issued, or the data
maintained, assuming all are in different states.
*Response:* This is a choice of law issue, and, as is discussed more
fully below, is a determination that is routinely made today in
connection with multi-state transactions. See discussion below under
Exception Determinations (Criteria for Exception Determinations).
***State Law***
*Comment:* Comments noted that the definition of "state law" does not
explicitly include common law and recommended that it be revised to do
so or to clarify that the term includes evidentiary privileges
recognized at state law. Guidance concerning the impact of state
privileges was also requested.
*Response:* As requested, we clarify that the definition of "state law"
includes common law by including the term "common law." In our view,
this phrase encompasses evidentiary privileges recognized at state law
(which may also, we note, be embodied in state statutes).
*Comment:* One comment criticized this definition as unwieldy, in that
locating state laws pertaining to privacy is likely to be difficult. It
was noted that Florida, for example, has more than 60 statutes that
address health privacy.
*Response:* To the extent that state laws currently apply to covered
entities, they have presumably determined what those laws require in
order to comply with them. Thus, while determining which laws are
"contrary" to the federal requirements will require additional work in
terms of comparing state law with the federal requirements, entities
should already have acquired the knowledge of state law needed for this
task in the ordinary course of doing business.
*Comment:* The New York City Department of Health noted that in many
cases, provisions of New York State law are inapplicable within New York
City, because the state legislature has recognized that the local code
is tailored to the particular needs of the City. It urged that the New
York City Code be treated as state law, for preemption purposes.
*Response:* We agree that, to the extent a state treats local law as
substituting for state law it could be considered to be "state law" for
purposes of this definition. If, however, a local law is local in scope
and effect, and a tier of state law exists over the same subject matter,
we do not think that the local law could or should be treated as "state
law" for preemption purposes. We do not have sufficient information to
assess the situation raised by this comment with respect to this
principle, and so express no opinion thereon.
***More Stringent***
*Comment:* Many commenters supported the policy in the proposed
definition of "individual" at proposed § 164.502, which would have
permitted unemancipated minors to exercise, on their own behalf, rights
granted to individuals in cases where they consented to the underlying
health care. Commenters stated, however, that the proposed preemption
provision would leave in place state laws authorizing or prohibiting
disclosure to parents of the protected health information of their minor
children and would negate the proposed policy for the treatment of
minors under the rule. The comments stated that such state laws should
be treated like other state laws, and preempted to the extent that they
are less protective of the privacy of minors.
Other commenters supported the proposed preemption provision\--not to
preempt a state law to the extent it authorizes or prohibits disclosure
of protected health information regarding a minor to a parent.
*Response:* Laws regarding access to health care for minors and
confidentiality of their medical records vary widely; this regulation
recognizes and respects the current diversity of state law in this area.
Where states have considered the balance involved in protecting the
confidentiality of minors' health information and have explicitly acted,
for example, to authorize disclosure, defer the decision to disclose to
the discretion of the health care provider, or prohibit disclosure of
minor's protected health information to a parent, the rule defers to
these decisions to the extent that they regulate such disclosures.
*Comment:* The proposed definition of "more stringent"was criticized as
affording too much latitude to for granting exceptions for state laws
that are not protective of privacy. It was suggested that the test
should be "most protective of the individual's privacy."
*Response:* We considered adopting this test. However, for the reasons
set out at 64 FR 59997, we concluded that this test would not provide
sufficient guidance. The comments did not address the concerns we raised
in this regard in the preamble to the proposed rules, and we continue to
believe that they are valid.
*Comment:* A drug company expressed concern with what it saw as the
expansive definition of this term, arguing that state governments may
have less experience with the special needs of researchers than federal
agencies and may unknowingly adopt laws that have a deleterious effect
on research. A provider group expressed concern that allowing stronger
state laws to prevail could result in diminished ability to get enough
patients to complete high quality clinical trials.
*Response:* These concerns are fundamentally addressed to the "federal
floor" approach of the statute, not to the definition proposed: even if
the definition of "more stringent" were narrowed, these concerns would
still exist. As discussed above, since the "federal floor" approach is
statutory, it is not within the Secretary's authority to change the
dynamics that are of concern.
*Comment:* One comment stated that the proposed rule seemed to indicate
that the "more stringent" and "contrary to" definitions implied that
these standards would apply to ERISA plans as well as to non-ERISA
plans.
*Response:* The concern underlying this comment is that ERISA plans,
which are not now subject to certain state laws because of the "field"
preemption provision of ERISA but which are subject to the rules below,
will become subject to state privacy laws that are "more stringent" than
the federal requirements, due to the operation of section 1178(a)(2)(B),
together with section 264(c)(2). We disagree that this is the case.
While the courts will have the final say on these questions, it is our
view that these sections simply leave in place more stringent state laws
that would otherwise apply; to the extent that such state laws do not
apply to ERISA plans because they are preempted by ERISA, we do not
think that section 264(c)(2) overcomes the preemption effected by
section 514(a) of ERISA. For more discussion of this point, see 64 FR
60001.
*Comment:* The Lieutenant Governor's Office of the State of Hawaii
requested a blanket exemption for Hawaii from the federal rules, on the
ground that its recently enacted comprehensive health privacy law is, as
a whole, more stringent than the proposed federal standards. It was
suggested that, for example, special weight should be given to the
severity of Hawaii's penalties. It was suggested that a new definition
("comprehensive") be added, and that "more stringent" be defined in that
context as whether the state act or code as a whole provides greater
protection.
An advocacy group in Vermont argued that the Vermont legislature was
poised to enact stronger and more comprehensive privacy laws and stated
that the group would resent a federal prohibition on that.
*Response:* The premise of these comments appears to be that the
provision-by-provision approach of Subpart B, which is expressed in the
definition of the term "contrary", is wrong. As we explained in the
preamble to the proposed rules (at 64 FR 59995), however, the statute
dictates a provision-by- provision comparison of state and federal
requirements, not the overall comparison suggested by these comments. We
also note that the approach suggested would be practically and
analytically problematic, in that it would be extremely difficult, if
not impossible, to determine what is a legitimate stopping point for the
provisions to be weighed on either the state side or the federal side of
the scale in determining which set of laws was the "more stringent." We
accordingly do not accept the approach suggested by these comments.
With respect to the comment of the Vermont group, nothing in the rules
below prohibits or places any limits on states enacting stronger or more
comprehensive privacy laws. To the extent that states enact privacy laws
that are stronger or more comprehensive than contrary federal
requirements, they will presumably not be preempted under section
1178(a)(2)(B). To the extent that such state laws are not contrary to
the federal requirements, they will act as an overlay on the federal
requirements and will have effect.
*Comment:* One comment raised the issue of whether a private right of
action is a greater penalty, since the proposed federal rule has no
comparable remedy.
*Response:* We have reconsidered the proposed "penalty" provision of the
proposed definition of "more stringent" and have eliminated it. The
HIPAA statute provides for only two types of penalties: fines and
imprisonment. Both types of penalties could be imposed in addition to
the same type of penalty imposed by a state law, and should not
interfere with the imposition of other types of penalties that may be
available under state law. Thus, we think it is unlikely that there
would be a conflict between state and federal law in this respect, so
that the proposed criterion is unnecessary and confusing. In addition,
the fact that a state law allows an individual to file a lawsuit to
protect privacy does not conflict with the HIPAA penalty provisions.
***Relates to the Privacy of Individually Identifiable Health
Information***
*Comment:* One comment criticized the definition of this term as too
narrow in scope and too uncertain. The commenter argued that determining
the specific purpose of a state law may be difficult and speculative,
because many state laws have incomplete, inaccessible, or non-existent
legislative histories. It was suggested that the definition be revised
by deleting the word "specific" before the word "purpose." Another
commenter argued that the definition of this term should be narrowed to
minimize reverse preemption by more stringent state laws. One commenter
generally supported the proposed definition of this term.
*Response:* We are not accepting the first comment. The purpose of a
given state enactment should be ascertainable, if not from legislative
history or a purpose statement, then from the statute viewed as a whole.
The same should be true of state regulations or rulings. In any event,
it seems appropriate to restrict the field of state laws that may
potentially trump the federal standards to those that are clearly
intended to establish state public policy and operate in the same area
as the federal standards. To the extent that the definition in the rules
below does this, we have accommodated the second comment. We note,
however, that we do not agree that the definition should be further
restricted to minimize "reverse preemption," as suggested by this
comment, as we believe that state laws that are more protective of
privacy than contrary federal standards should remain, in order to
ensure that the privacy of individuals' health information receives the
maximum legal protection available.
**SECTIONS 160.203 and 160.204 -- EXCEPTION DETERMINATIONS AND ADVISORY
OPINIONS**
Most of the comments received on proposed Subpart B lumped together the
proposed process for exception determinations under section
1178(a)(2)(A) with the proposed process for issuing advisory opinions
under section 1178(a)(2)(B), either because the substance of the comment
applied to both processes or because the commenters did not draw a
distinction between the two processes. We address these general comments
in this section.
*Comment:* Numerous commenters, particularly providers and provider
groups, recommended that exception determinations and advisory opinions
[not]{.underline} be limited to states and advocated allowing all
covered entities (including individuals, providers and insurers), or
private sector organizations, to request determinations and opinions
with respect to preemption of state laws. Several commenters argued that
limiting requests to states would deny third party stakeholders, such as
life and disability income insurers, any means of resolving complex
questions as to what rule they are subject to. One commenter noted that
because it is an insurer who will be liable if it incorrectly analyzes
the interplay between laws and reaches an incorrect conclusion, there
would be little incentive for the states to request clarification. It
would also cause large administrative burdens which, it was stated,
would be costly and confusing. It was also suggested that the request
for the exception be made to the applicable state's attorney general or
chief legal officer, as well as the Secretary. Various changes to the
language were suggested, such as adding that "a covered entity, or any
other entity impacted by this rule" be allowed to submit the written
request.
*Response:* We agree, and have changed § 164.204(a) below accordingly.
The decision to eliminate advisory opinions makes this issue moot with
respect to those opinions.
*Comment:* Several commenters noted that it was unclear under the
proposed rule which state officials would be authorized to request a
determination.
*Response:* We agree that the proposed rule was unclear in this respect.
The final rule clarifies who may make the request for a state, with
respect to exception determinations. See, § 160.204(a). The language
adopted should ensure that the Secretary receives an authoritative
statement from the state. At the same time, this language provides
states with flexibility, in that the governor or other chief elected
official may choose to designate other state officials to make such
requests.
*Comment:* Many commenters recommended that a process be established
whereby HHS performs an initial state-by-state critical analysis to
provide guidance on which state laws will not be preempted; most
suggested that such an analysis (alternatively referred to as a database
or clearinghouse) should be completed before providers would be required
to come into compliance. Many of these comments argued that the
Secretary should bear the cost for the analyses of state law,
disagreeing with the premise stated in the preamble to the proposed
rules that it is more efficient for the private market to complete the
state-by-state review. Several comments also requested that HHS continue
to maintain and monitor the exception determination process, and update
the database over time in order to provide guidance and certainty on the
interaction of the federal rules with newly enacted or amended state
laws that are produced after the final rule. Some comments recommended
that each state be required to certify agreement with the HHS analyses.
In contrast, one hospital association noted concerns that the Secretary
would conduct a nationwide analysis of state laws. The comment stated
that implementation would be difficult since much of the law is a
product of common law, and such state-specific research should only be
attempted by experienced health care attorneys in each jurisdiction.
*Response:* These comments seem to be principally concerned with
potential conflicts between state privacy laws and the privacy
standards, because, as is more fully explained below, preemption of
contrary state laws not relating to privacy is automatic unless the
Secretary affirmatively acts under section 1178(a)(2)(A) to grant an
exception. We recognize that the provisions of sections 1178(b) (state
public health laws), and 1178(c) (state regulation of health plans)
similarly preserve state laws in those areas, but very little of the
public comment appeared to be concerned with these latter statutory
provisions. Accordingly, we respond below to what we see as the
commenters' main concern.
The Department will not do the kind of global analysis requested by many
of these comments. What these comments are in effect seeking is a global
advisory opinion as to when the federal privacy standards will control
and when they will not. We understand the desire for certainty
underlying these comments. Nonetheless, the reasons set out above as the
basis for our decision not to establish a formal advisory opinion
process apply equally to these requests. We also do not agree that the
task of evaluating the requirements below in light of existing state law
is unduly burdensome or unreasonable. Rather, it is common for new
federal requirements to necessitate an examination by the regulated
entities of the interaction between existing state law and the federal
requirements incident to coming into compliance.
We agree, however, that the case is different where the Secretary has
affirmatively acted, either through granting an exception under section
1178(a)(2)(A) or by making a specific determination about the effect of
a particular state privacy law in, for example, the course of
determining an entity's compliance with the privacy standards. As is
discussed below, the Department intends to make notice of exception
determinations that it makes routinely available.
We do not agree with the comments suggesting that compliance by covered
entities be delayed pending completion of an analysis by the Secretary
and that states be required to certify agreement with the Secretary's
analysis, as we are not institutionalizing the advisory opinion/analysis
process upon which these comments are predicated. Furthermore, with
respect to the suggestion regarding delaying the compliance date,
Congress provided in section 1175(b) of the Act for a delay in when
compliance is required to accommodate the needs of covered entities to
address implementation issues such as those raised by these comments.
With respect to the suggestion regarding requiring states to certify
their agreement with the Secretary's analysis, we have no authority to
do this.
*Comment:* Several commenters criticized the proposed provision for
annual publication of determinations and advisory opinions in the
[Federal Register]{.underline} as inadequate. They suggested that more
frequent notices should be made and the regulation be changed
accordingly, to provide for publication either quarterly or within a few
days of a determination. A few commenters suggested that any
determinations made, or opinions issued, by the Secretary be published
on the Department's website within 10 days or a few days of the
determination or opinion.
*Response:* We agree that the proposed provision for annual publication
was inadequate and have accordingly deleted it. Subpart B contains no
express requirement for publication, as the Department is free to
publish its determinations absent such a requirement. It is our
intention to publish notice of exception determinations on a periodic
basis in the [Federal Register]{.underline}. We will also consider other
avenues of making such decisions publicly available as we move into the
implementation process.
*Comment:* A few commenters argued that the process for obtaining an
exception determination or an advisory opinion from the Secretary will
result in a period of time in which there is confusion as to whether
state or federal law applies. The proposed regulations say that the
federal provisions will remain effective until the Secretary makes a
determination concerning the preemption issue. This means that, for
example, a state law that was enacted and enforced for many years will
be preempted by federal law for the period of time during which it takes
the Secretary to make a determination. Then if the Secretary determines
that the state law is not preempted, the state law will again become
effective. Such situations will result in confusion and unintended
violations of the law. One of the commenters suggested that requests for
exceptions be required only when a challenge is brought against a
particular state law, and that a presumption of validity should lie with
state laws. Another commenter, however, urged that "instead of the
presumption of preemption, the state laws in question would be presumed
to be subject to the exception unless or until the Secretary makes a
determination to the contrary."
*Response:* It is true that the effect of section 1178(a)(2)(A) is that
the federal standards will preempt contrary state law and that such
preemption will not be removed unless and until the Secretary acts to
grant an exception under that section (assuming, of course, that another
provision of section 1178 does not apply). We do not agree, however,
that confusion should result, where the issue is whether a given state
law has been preempted under section 1178(a)(2)(A). Because preemption
is automatic with respect to state laws that do not come within the
other provisions of section 1178 (i.e., sections 1178(a)(2)(B), 1178(b),
and 1178(c)), such state laws are preempted until the Secretary
affirmatively acts to preserve them from preemption by granting an
exception under section 1178(a)(2)(A).
We cannot accept the suggestion that a presumption of validity attach to
state laws, and that states not be required to request exceptions except
in very narrow circumstances. The statutory scheme is the opposite: the
statute effects preemption in the section 1178(a)(2)(A) context unless
the Secretary affirmatively acts to except the contrary state law in
question.
With respect to preemption under sections 1178(b) and 1178(c) (the
carve-outs for state public health laws and state regulation of health
plans), we do not agree that preemption is likely to be a major cause of
uncertainty. We have deferred to Congressional intent by crafting the
permissible releases for public health, abuse, and oversight broadly.
See, §§ 164.512(b) - (d) below. Since there must first be a conflict
between a state law and a federal requirement in order for an issue of
preemption to even arise, we think that, as a practical matter, few
preemption questions should arise with respect to sections 1178(b) and
1178(c).
With respect to preemption of state privacy laws under section
1178(a)(2)(B), however, we agree that the situation may be more
difficult to ascertain, because the Secretary does not determine the
preemption status of a state law under that section, unlike the
situation with respect to section 1178(a)(2)(A). We have tried to define
the term "more stringent" to identify and particularize the factors to
be considered by courts to those relevant to privacy interests. The more
specific (than the statute) definition of this term at § 160.202 below
should provide some guidance in making the determination as to which law
prevails. Ambiguity in the state of the law might also be a factor to be
taken into account in determining whether a penalty should be applied.
*Comment:* Several comments recommended that exception determinations or
advisory opinions encompass a state act or code in its entirety (in lieu
of a provision-specific evaluation) if it is considered more stringent
as a whole than the regulation. It was argued that since the provisions
of a given law are typically interconnected and related, adopting or
overriding them on a provision-by-provision basis would result in
distortions and/or unintended consequences or loopholes. For example,
when a state law includes authorization provisions, some of which are
consistent with the federal requirements and some which are not, the
cleanest approach is to view the state law as inconsistent with the
federal requirements and thus preempted in its entirety. Similarly,
another comment suggested that state confidentiality laws written to
address the specific needs of individuals served within a discreet
system of care be considered as a whole in assessing whether they are as
stringent or more stringent than the federal requirements. Another
comment requested explicit clarification that state laws with a broader
scope than the regulation will be viewed as more stringent and be
allowed to stand.
*Response:* We have not adopted the approach suggested by these
comments. As discussed above with respect to the definition of the term
"more stringent," it is our view that the statute precludes the approach
suggested. We also suggest that this approach ignores the fact that each
separate provision of law usually represents a nuanced policy choice to,
for example, permit this use or prohibit that disclosure; the aggregated
approach proposed would fail to recognize and weigh such policy choices.
*Comment:* One comment recommended that the final rule: permit requests
for exception determinations and advisory opinions as of the date of
publication of the final rule, require the Secretary to notify the
requestor within a specified short period of time of all additional
information needed, and prohibit enforcement action until the Secretary
issues a response.
*Response:* With respect to the first recommendation, we clarify that
requests for exception determinations may be made at any time; since the
process for issuing advisory opinions has not been adopted, this
recommendation is moot as it pertains to advisory opinions. With respect
to the second recommendation, we will undertake to process exception
requests as expeditiously as possible, but, for the reasons discussed
below in connection with the comments relating to setting deadlines for
those determinations, we cannot commit at this time to a "specified
short period of time" within which the Secretary may request additional
information. We see no reason to agree to the third recommendation.
Because contrary state laws for which an exception is available only
under section 1178(a)(2)(A) will be preempted by operation of law unless
and until the Secretary acts to grant an exception, there will be an
ascertainable compliance standard for compliance purposes, and
enforcement action would be appropriate where such compliance did not
occur.
**Sections 160.203(a) and 160.204(a) -- Exception Determinations**
***Section 160.203(a) -- Criteria for Exception Determinations***
*Comment:* Numerous comments criticized the proposed criteria for their
substance or lack thereof. A number of commenters argued that the
effectiveness language that was added to the third statutory criterion
made the exception so massive that it would swallow the rule. These
comments generally expressed concern that laws that were less protective
of privacy would be granted exceptions under this language. Other
commenters criticized the criteria generally as creating a large
loophole that would let state laws that do not protect privacy trump the
federal privacy standards.
*Response:* We agree with these comments. The scope of the statutory
criteria is ambiguous, but they could be read so broadly as to largely
swallow the federal protections. We do not think that this was
Congress's intent. Accordingly, we have added language to most of the
statutory criteria clarifying their scope. With respect to the criteria
at 1178(a)(2)(A)(i), this clarifying language generally ties the
criteria more specifically to the concern with protecting and making
more efficient the health care delivery and payment system that
underlies the Administrative Simplification provisions of HIPAA, but,
with respect to the catch-all provision at section 1178(a)(2)(A)(i)(IV),
also requires that privacy interests be balanced with such concerns, to
the extent relevant. We require that exceptions for rules to ensure
appropriate state regulation of insurance and health plans be stated in
a statute or regulation, so that such exceptions will be clearly tied to
statements of priorities made by publicly accountable bodies (e.g.,
through the public comment process for regulations, and by elected
officials through statutes). With respect to the criterion at section
1178(a)(2)(A)(ii), we have further delineated what "addresses controlled
substances" means. The language provided, which builds on concepts at 21
U.S.C. 821 and the Medicare regulations at 42 CFR 1001.2, delineates the
area within which the government traditionally regulates controlled
substances, both civilly and criminally; it is our view that HIPAA was
not intended to displace such regulation.
*Comment:* Several commenters urged that the request for determination
by the Secretary under proposed § 160.204(a) be limited to cases where
an exception is absolutely necessary, and that in making such a
determination, the Secretary should be required to make a determination
that the benefits of granting an exception outweigh the potential harm
and risk of disclosure in violation of the regulation.
*Response:* We have not further defined the statutory term "necessary",
as requested. We believe that the determination of what is "necessary"
will be fact-specific and context dependent, and should not be further
circumscribed absent such specifics. The state will need to make its
case that the state law in question is sufficiently "necessary" to
accomplish the particular statutory ground for exception that it should
trump the contrary federal standard, requirement, or implementation
specification.
*Comment:* One commenter noted that a state should be required to
explain whether it has taken any action to correct any less stringent
state law for which an exception has been requested. This commenter
recommended that a section be added to proposed § 160.204(a) stating
that "a state must specify what, if any, action has been taken to amend
the state law to comply with the federal regulations." Another comment,
received in the Transactions rulemaking, took the position that
exception determinations should be granted only if the state standards
in question exceeded the national standards.
*Response:* The first and last comments appear to confuse the "more
stringent" criterion that applies under section 1178(a)(2)(B) of the Act
with the criteria that apply to exceptions under section 1178(a)(2)(A).
We are also not adopting the language suggested by the first comment,
because we do not agree that states should necessarily have to try to
amend their state laws as a precondition to requesting exceptions under
section 1178(a)(2)(A). Rather, the question should be whether the state
has made a convincing case that the state law in question is
sufficiently necessary for one of the statutory purposes that it should
trump the contrary federal policy.
*Comment:* One commenter stated that exceptions for state laws that are
contrary to the federal standards should not be preempted where the
state and federal standards are found to be equal.
*Response:* This suggestion has not been adopted, as it is not
consistent with the statute. With respect to the administrative
simplification standards in general, it is clear that the intent of
Congress was to preempt contrary state laws except in the limited areas
specified as exceptions or carve-outs. See, section 1178. This statutory
approach is consistent with the underlying goal of simplifying health
care transactions through the adoption of uniform national standards.
Even with respect to state laws relating to the privacy of medical
information, the statute shields such state laws from preemption by the
federal standards only if they are "more" stringent than the related
federal standard or implementation specification.
*Comment:* One commenter noted that determinations would apply only to
transactions that are wholly intrastate. Thus, any element of a health
care transaction that would implicate more than one state's law would
automatically preclude the Secretary's evaluation as to whether the laws
were more or less stringent than the federal requirement. Other
commenters expressed confusion about this proposed requirement, noting
that providers and plans operate now in a multi-state environment.
*Response:* We agree with the commenters and have dropped the proposed
requirement. As noted by the commenters, health care entities now
typically operate in a multi-state environment, so already make the
choice of law judgements that are necessary in multi-state transactions.
It is the result of that calculus that will have to be weighed against
the federal standards, requirements, and implementation specifications
in the preemption analysis.
*Comment:* One comment received in the Transactions rulemaking suggested
that the Department should allow exceptions to the standard transactions
to accommodate abbreviated transactions between state agencies, such as
claims between a public health department and the state Medicaid agency.
Another comment requested an exception for Home and Community Based
Waiver Services from the transactions standards.
*Response:* The concerns raised by these comments would seem to be more
properly addressed through the process established for maintaining and
modifying the transactions standards. If the concerns underlying these
comments cannot be addressed in this manner, however, there is nothing
in the rules below to preclude states from requesting exceptions in such
cases. They will then have to make the case that one or more grounds for
exception applies.
§ 160.204(a) - Process for Exception Determinations - Comments and
Responses
*Comment:* Several comments received in the Transactions rulemaking
stated that the process for applying for and granting exception
determinations (referred to as "waivers" by some) needed to be spelled
out in the final rule.
*Response:* We agree with these comments. As noted above, since no
process was proposed in the Transactions rulemaking, a process for
making exception determinations was not adopted in those final rules.
Subpart B below adopts a process for making exception determinations,
which responds to these comments.
*Comment:* Comments stated that the exception process would be
burdensome, unwieldy, and time-consuming for state agencies as well as
the Department. One comment took the position that states should not be
required to submit exception requests to the Department under proposed §
160.203(a), but could provide documentation that the state law meets one
of the conditions articulated in proposed § 160.203.
*Response:* We disagree that the process adopted at § 164.204 below will
be burdensome, unwieldy, or time-consuming. The only thing the
regulation describes is the showings that a requestor must make as part
of its submission, and all are relevant to the issue to be determined by
the Secretary. How much information is submitted is, generally speaking,
in the requestor's control, and the regulation places no restrictions on
how the requestor obtains it, whether by acting directly, by working
with providers and/or plans, or by working with others. With respect to
the suggestion that states not be required to submit exception requests,
we disagree that this suggestion is either statutorily authorized or
advisable. We read this comment as implicitly suggesting that the
Secretary must proactively identify instances of conflict and evaluate
them. This suggestion is, thus, at bottom the same as the many
suggestions that we create a database or compendium of controlling law,
and it is rejected for the same reasons.
*Comment:* Several comments urged that all state requests for
non-preemption include a process for public participation. These
comments believe that members of the public and other interested
stakeholders should be allowed to submit comments on a state's request
for exception, and that these comments should be reviewed and considered
by the Secretary in determining whether the exception should be granted.
One comment suggested that the Secretary at least give notice to the
citizens of the state prior to granting an exception.
*Response:* The revision to § 160.204(a), to permit requests for
exception determinations by any person, responds to these comments.
*Comment:* Many commenters noted that the lack of a clear and reasonable
time line for the Secretary to issue an exception determination would
not provide sufficient assurance that the questions regarding what rules
apply will be resolved in a time frame that will allow business to be
conducted properly, and argued that this would increase confusion and
uncertainty about which statutes and regulations should be followed.
Timeframes of 60 or 90 days were suggested. One group suggested that, if
a state does not receive a response from HHS within 60 days, the waiver
should be deemed approved.
*Response:* The workload prioritization and management considerations
discussed above with respect to advisory opinions are also relevant here
and make us reluctant to agree to a deadline for making exception
determinations. This is particularly true at the outset, since we have
no experience with such requests. We therefore have no basis for
determining how long processing such requests will take, how many
requests we will need to process, or what resources will be available
for such processing. We agree that states and other requesters should
receive timely responses and will make every effort to make
determinations as expeditiously as possible, but we cannot commit to
firm deadlines in this initial rule. Once we have experience in handling
exception requests, we will consult with states and others in regard to
their experiences and concerns and their suggestions for improving the
Secretary's expeditious handling of such requests.
We are not accepting the suggestion that requests for exception be
deemed approved if not acted upon in some defined time period. Section
1178(a)(2)(A) requires a specific determination by the Secretary. The
suggested policy would not be consistent with this statutory
requirement. It is also inadvisable from a policy standpoint, in that it
would tend to maximize exceptions. This would be contrary to the
underlying statutory policy in favor of uniform federal standards.
*Comment:* One commenter took exception to the requirement for states to
seek a determination from the Department that a provision of state law
is necessary to prevent fraud and abuse or to ensure appropriate state
regulation of insurance plans, contending that this mandate could
interfere with the Insurance Commissioners' ability to do their jobs.
Another commenter suggested that the regulation specifically recognize
the broad scope of state insurance department activities, such as market
conduct examinations, enforcement investigations, and consumer complaint
handling.
*Response:* The first comment raises an issue that lies outside our
legal authority to address, as section 1178(a)(2)(A) clearly mandates
that the Secretary make a determination in these areas. With respect to
the second comment, to the extent these concerns pertain to health
plans, we believe that the provisions at § 164.512 relating to oversight
and disclosures required by law should address the concerns underlying
this comment.
***Section 160.204(a)(4) - Period of Effectiveness of Exception
Determinations***
*Comment:* Numerous commenters stated that the proposed three year
limitation on the effectiveness of exception determinations would pose
significant problems and should be limited to one year, since a one year
limitation would provide more frequent review of the necessity for
exceptions. The commenters expressed concern that state laws which
provide less privacy protection than the federal regulation would be
given exceptions by the Secretary and thus argued that the exceptions
should be more limited in duration or that the Secretary should require
that each request, regardless of duration, include a description of the
length of time such an exception would be needed.
One state government commenter, however, argued that the 3 year limit
should be eliminated entirely, on the ground that requiring a
redetermination every three years would be burdensome for the states and
be a waste of time and resources for all parties. Other commenters,
including two state agencies, suggested that the exemption should remain
effective until either the state law or the federal regulation is
changed. Another commenter suggested that the three year sunset be
deleted and that the final rule provide for automatic review to
determine if changes in circumstance or law would necessitate amendment
or deletion of the opinion. Other recommendations included deeming the
state law as continuing in effect upon the submission of a state
application for an exemption rather than waiting for a determination by
the Secretary that may not occur for a substantial period of time.
*Response:* We are persuaded that the proposed 3 year limit on exception
determinations does not make sense where neither law providing the basis
for the exception has changed in the interim. We also agree that where
either law has changed, a previously granted exception should not
continue. Section 160.205(a) below addresses these concerns.
**Sections 160.203(b) and 160.204(b) -- Advisory Opinions**
***Section 160.203(b) -- Effect of Advisory Opinions***
*Comment:* Several commenters questioned whether or not DHHS has
standing to issue binding advisory opinions and recommended that the
Department clarify this issue before implementation of this regulation.
One respondent suggested that the Department clarify in the final rule
the legal issues on which it will opine in advisory opinion requests,
and state that in responding to requests for advisory opinions the
Department will not opine on the preemptive force of ERISA with respect
to state laws governing the privacy of individually identifiable health
information, since interpretations as to the scope and extent of ERISA's
preemption provisions are outside of the Department's jurisdictional
authority.
One commenter asked whether a state could enforce a state law which the
Secretary had indicated through an advisory opinion is preempted by
federal law. This commenter also asked whether the state would be
subject to penalties if it chose to continue to enforce its own laws.
*Response:* As discussed above, in part for reasons raised by these
comments, the Department has decided not to have a formal process for
issuing advisory opinions, as proposed.
Several of these concerns, however, raise issues of broader concern that
need to be addressed. First, we disagree that the Secretary lacks legal
authority to opine on whether or not state privacy laws are preempted.
The Secretary is charged by law with determining compliance, and where
state law and the federal requirements conflict, a determination of
which law controls will have to be made in order to determine whether
the federal standard, requirement, or implementation specification at
issue has been violated. Thus, the Secretary cannot carry out her
enforcement functions without making such determinations. It is further
reasonable that, if the Secretary makes such determinations, she can
make those determinations known, for whatever persuasive effect they may
have.
The questions as to whether a state could enforce, or would be subject
to penalties if it chose to continue to enforce, its own laws following
a denial by the Secretary of an exception request under § 160.203 or a
holding by a court of competent jurisdiction that a state privacy law
had been preempted by a contrary federal privacy standard raise several
issues. First, a state law is preempted under the Act only to the extent
that it applies to covered entities; thus, a state is free to continue
to enforce a "preempted" state law against non-covered entities to which
the state law applies. If there is a question of coverage, states may
wish to establish processes to ascertain which entities within their
borders are covered entities within the meaning of these rules. Second,
with respect to covered entities, if a state were to try to enforce a
preempted state law against such entities, it would presumably be acting
without legal authority in so doing. We cannot speak to what remedies
might be available to covered entities to protect themselves against
such wrongful state action, but we assume that covered entities could
seek judicial relief, if all else failed. With respect to the issue of
imposing penalties on states, we do not see this as likely. The only
situation that we can envision in which penalties might be imposed on a
state would be if a state agency were itself a covered entity and
followed a preempted state law, thereby violating the contrary federal
standard, requirement, or implementation specification.
***Section 160.204(b) - Process for Advisory Opinions***
*Comment:* Several commenters stated that it was unclear whether a state
would be required to submit a request for an advisory opinion in order
for the law to be considered more stringent and thus not preempted. The
Department should clarify whether a state law could be non-preempted
even without such an advisory opinion. Another commenter requested that
the final rule explicitly state that the stricter rule always applies,
whether it be state or federal, and regardless of whether there is any
conflict between state and federal law.
*Response:* The elimination of the proposed process for advisory
opinions renders moot the first question. Also, the preceding response
clarifies that which law preempts in the privacy context (assuming that
the state law and federal requirement are "contrary") is a matter of
which one is the "more stringent." This is not a matter which the
Secretary will ultimately determine; rather, this is a question about
which the courts will ultimately make the final determination. With
respect to the second comment, we believe that § 160.203(b) below
responds to this issue, but we would note that the statute already
provides for this.
*Comment:* Several commenters supported the decision to limit the
parties who may request advisory opinions to the state. These commenters
did not believe that insurers should be allowed to request an advisory
opinion and open every state law up to challenge and review.
Several commenters requested that guidance on advisory opinions be
provided in [all]{.underline} circumstances, not only at the Secretary's
discretion. It was suggested that proposed § 160.204(b)(2)(iv) be
revised to read as follows: "A state may submit a written request to the
Secretary for an advisory opinion under this paragraph. The request must
include the following information: the reasons why the state law
[should]{.underline} or [should not be]{.underline} preempted by the
federal standard, requirement, or implementation specification,
including how the state law meets the criteria at § 160.203(b)."
*Response:* The decision not to have a formal process for issuing
advisory opinions renders these issues moot.
**Sections 160.203(c) and 160.203(d) -- Statutory Carve-Outs**
*Comment:* Several commenters asked that the Department provide more
specific examples itemizing activities traditionally regulated by the
state that could constitute "carve-out" exceptions. These commenters
also requested that the Department include language in the regulation
stating that if a state law falls within several different exceptions,
the state chooses which determination exception shall apply.
*Response:* We are concerned that itemizing examples in this way could
leave out important state laws or create inadvertent negative
implications that laws not listed are not included. However, as
explained above, we have designed the types of activities that are
permissive disclosures for public health under § 164.512(b) below in
part to come within the carve-out effected by section 1178(b); while the
state regulatory activities covered by section 1178(c) will generally
come within § 164.512(d) below. With respect to the comments asking that
a state get to "choose" which exception it comes under, we have in
effect provided for this with respect to exceptions under section
1178(a)(2)(A), by giving the state the right to request an exception
under that section. With respect to exceptions under section
1178(a)(2)(B), those exceptions occur by operation of law, and it is not
within the Secretary's power to "let" the state choose whether an
exception occurs under that section.
*Comment:* Several commenters took the position that the Secretary
should not limit the procedural requirements in proposed § 160.204(a) to
only those applications under proposed § 160.203(a). They urged that the
requirements of proposed § 160.204(a) should also apply to preemption
under sections 1178(a)(2)(B), 1178(b) and 1178(c). It was suggested that
the rules should provide for exception determinations with respect to
the matters covered by these provisions of the statute; such additional
provisions would provide clear procedures for states to follow and
ensure that requests for exceptions are adequately documented.
A slightly different approach was taken by several commenters, who
recommended that proposed § 160.204(b) be amended to clarify that the
Secretary will also issue advisory opinions as to whether a state law
constitutes an exception under proposed §§ 160.203(c) and 160.203(d).
This change would, they argued, give states the same opportunity for
guidance that they have under § 160.203(a) and (b), and as such, avoid
costly lawsuits to preserve state laws.
*Response:* We are not taking either of the recommended courses of
action. With respect to the recommendation that we expand the exception
determination process to encompass exceptions under sections
1178(a)(2)(B), 1178(b), and 1178(c), we do not have the authority to
grant exceptions under these sections. Under section 1178, the Secretary
has authority to make exception determinations only with respect to the
matters covered by section 1178(a)(2)(A); contrary state laws coming
within section 1178(a)(2)(B) are preempted if not more stringent, while
if a contrary state law comes within section 1178(b) or section 1178(c),
it is not preempted. These latter statutory provisions operate by their
own terms. Thus, it is not within the Secretary's authority to establish
the determination process which these comments seek.
With respect to the request seeking advisory opinions in the section
1178(b) and 1178(c) situations, we agree that we have the authority to
issue such opinions. However, the considerations described above that
have led us not to adopt a formal process for issuing advisory opinions
in the privacy context apply with equal force and effect here.
*Comment:* One commenter argued that it would be unnecessarily
burdensome for state health data agencies (whose focus is on the cost of
healthcare or improving Medicare, Medicaid, or the healthcare system) to
obtain a specific determination from the Department for an exception
under proposed § 160.203(c). States should be required only to notify
the Secretary of their own determination that such collection is
necessary. It was also argued that cases where the statutory carve-outs
apply should not require a Secretarial determination.
*Response:* We clarify that no Secretarial determination is required for
activities that fall into one of the statutory carve-outs. With respect
to data collections for state health data agencies, we note that
provision has been made for many of these activities in several
provisions of the rules below, such as the provisions relating to
disclosures required by law (§ 164.512(a)), disclosures for oversight (§
164.512(d)), and disclosures for public health (§ 164.512(b)). Some
disclosures for Medicare and Medicaid purposes may also come within the
definition of health care operations. A fuller discussion of this issue
appears in connection with § 164.512 below.
**Constitutional Comments and Responses**
*Comment:* Several commenters suggested that as a general matter the
rule is unconstitutional.
*Response:* We disagree that the rule is unconstitutional. The
particular grounds for this conclusion are set out with respect to
particular constitutional issues in the responses below. With respect to
the comments that simply made this general assertion, the lack of detail
of the comments makes a substantive response impossible.
***Article II***
*Comment:* One commenter contended that the Secretary improperly
delegated authority to private entities by requiring covered entities to
enter into contracts with, monitor, and take action for violations of
the contract against their business partners. These comments assert that
the selection of these entities to "enforce" the regulations violates
the Executive Powers Clause and the Appointments and Take Care Clauses.
*Response:* We reject the assertion that the business associate
provisions constitute an improper delegation of executive power to
private entities. HIPAA provides HHS with authority to enforce the
regulation against covered entities. The rules below regulate only the
conduct of the covered entity; to the extent a covered entity chooses to
conduct its funding through a business associate, those functions are
still functions of the covered entity. Thus, no improper delegation has
occurred because what is being regulated are the actions of the covered
entity, not the actions of the business associate in its independent
capacity.
We also reject the suggestion that the business associates provisions
constitute an improper appointment of covered entities to enforce the
regulation and violate the Take Care Clause. Because the Secretary has
not delegated authority to covered entities, the inference that she has
appointed covered entities to exercise such authority misses the mark.
***Commerce Clause***
*Comment:* A few commenters suggested that the privacy regulation
regulates activities that are not in interstate commerce and which are,
therefore, beyond the powers the U.S. Constitution gives the federal
government.
*Response:* We disagree. Health care providers, health plans, and health
care clearinghouses are engaged in economic and commercial activities,
including the exchange of individually identifiable health information
electronically across state lines. These activities constitute
interstate commerce. Therefore, they come within the scope of Congress'
power to regulate interstate commerce.
***Nondelegation Doctrine***
*Comment:* Some commenters objected to the manner by which Congress
provided the Secretary authority to promulgate this regulation. These
comments asserted that Congress violated the nondelegation doctrine by
(1) not providing an "intelligible principle" to guide the agency, (2)
not establishing "ascertainable standards," and (3) improperly
permitting the Secretary to make social policy decisions.
*Response:* We disagree. HIPAA clearly delineates Congress' general
policy to establish strict privacy protections for individually
identifiable health information to encourage electronic transactions.
Congress also established boundaries limiting the Secretary's authority.
Congress established these limitations in several ways, including by
calling for privacy standards for "individually identifiable health
information"; specifying that privacy standards must address
individuals' rights regarding their individually identifiable health
information, the procedures for exercising those rights, and the
particular uses and disclosures to be authorized or required;
restricting the direct application of the privacy standards to "covered
entities," which Congress defined; requiring consultation with the
National Committee on Vital and Health Statistics and the Attorney
General; specifying the circumstances under which the federal
requirements would supersede state laws; and specifying the civil and
criminal penalties the Secretary could impose for violations of the
regulation. These limitations also serve as "ascertainable standards"
upon which reviewing courts can rely to determine the validity of the
exercise of authority.
Although Congress could have chosen to impose expressly an exhaustive
list of specifications that must be met in order to achieve the
protective purposes of the HIPAA, it was entirely permissible for
Congress to entrust to the Secretary the task of providing these
specifications based on her experience and expertise in dealing with
these complex and technical matters.
We disagree with the comments that Congress improperly delegated
Congressional policy choices to her. Congress clearly decided to create
federal standards protecting the privacy of "individually identifiable
health information" and not to preempt state laws that are more
stringent. Congress also determined over whom the Secretary would have
authority, the type of information protected, and the minimum level of
regulation.
***Separation of Powers***
*Comment:* Some commenters asserted that the federal government may not
preempt state laws that are not as strict as the privacy regulation
because to do so would violate the separation of powers in the U.S.
Constitution. One comment suggested that the rules raised a substantial
constitutional issue because, as proposed, they permitted the Secretary
to make determinations on preemption, which is a role reserved for the
judiciary.
*Response:* We disagree. We note that this comment only pertains to
determinations under section 1178(a)(2)(A); as discussed above, the
rules below provide for no Secretarial determinations with respect to
state privacy laws coming within section 1178(a)(2)(B). With respect to
determinations under section 1178(a)(2)(A), however, the final rules,
like the proposed rules, provide that at a state's request the Secretary
may make certain determinations regarding the preemptive effect of the
rules on a particular state law. As usually the case with any
administrative decisions, these are subject to judicial review pursuant
to the Administrative Procedure Act.
***First Amendment***
*Comment:* Some comments suggested that the rules violated the First
Amendment. They asserted that if the rule included Christian Science
practitioners as covered entities it would violate the separation of
church and state doctrine.
*Response:* We disagree. The First Amendment does not always prohibit
the federal government from regulating secular activities of religious
organizations. However, we address concerns relating to Christian
Science practitioners more fully in the response to comments discussion
of the definition of "covered entity" in § 160.103.
***Fourth Amendment***
*Comment:* Many comments expressed Fourth Amendment concerns about
various proposed provisions. These comments fall into two
categories--general concerns about warrantless searches and specific
concerns about administrative searches. Several comments argued that the
proposed regulations permit law enforcement and government officials
access to protected health information without first requiring a
judicial search warrant or an individual's consent. These comments
rejected the applicability of any of the existing exceptions permitting
warrantless searches in this context. Another comment argued that
federal and state police should be able to obtain personal medical
records only with the informed consent of an individual. Many of these
comments also expressed concern that protected health information could
be provided to government or private agencies for inclusion in a
governmental health data system.
*Response:* We disagree that the provisions of these rules that permit
disclosures for law enforcement purposes and governmental health data
systems generally violate the Fourth Amendment. The privacy regulation
does not create new access rights for law enforcement. Rather, it
refrains from placing a significant barrier in front of access rights
that law enforcement currently has under existing legal authority. While
the regulation may *permit* a covered entity to make disclosures in
specified instances, it does not *require* the covered entity make the
disclosure. Thus, because we are not modifying existing law regarding
disclosures to law enforcement officials, except to strengthen the
requirements related to requests already authorized under law, and are
not requiring any such disclosures, the privacy regulation does not
infringe upon individual's Fourth Amendment rights. We discuss the
rationale underlying the permissible disclosures to law enforcement
officials more fully in the preamble discussion relating to §
164.512(f).
We note that the proposed provision relating to disclosures to
government health data systems has been eliminated in the final rule.
However, to the extent that the comments can be seen as raising concern
over disclosure of protected health information to government agencies
for public health, health oversight, or other purposes permitted by the
final rule, the reasoning in the previous paragraph applies.
*Comment:* One commenter suggested that the rules violate the Fourth
Amendment by requiring covered entities to provide access to the
Secretary to their books, records, accounts, and facilities to ensure
compliance with these rules. The commenter also suggested that the
requirement that covered entities enter into agreements with their
business partners to make their records available to the Secretary for
inspection as well also violates the warrant requirement of the Fourth
Amendment.
*Response:* We disagree. These requirements are consistent with U.S.
Supreme Court cases holding that warrantless administrative searches of
commercial property are not per se violations of the Fourth Amendment.
The provisions requiring that covered entities provide access to certain
material to determine compliance with the regulation come within the
well-settled exception regarding closely regulated businesses and
industries to the warrant requirement. From state and local licensure
laws to the federal fraud and abuse statutes and regulations, the health
care industry is one of the most tightly regulated businesses in the
country. Because the industry has such an extensive history of
government oversight and involvement, those operating within it have no
reasonable expectation of privacy from the government such that a
warrant would be required to determine compliance with the rules.
In addition, the cases cited by the commenters concern unannounced
searches of the premises and facilities of particular entities. Because
our enforcement provisions only provide for the review of books,
records, and other information and only during normal business hours
with notice, except for exceptional situations, this case law does not
apply.
As for business associates, they voluntarily enter into their agreements
with covered entities. This agreement, therefore, functions as knowing
and voluntary consents to the search (even assuming it could be
understood to be a search) and obviates the need for a warrant.
***Fifth Amendment***
*Comment:* Several comments asserted that the proposed rules violated
the Fifth Amendment because in the commenters' views they authorized the
taking of privacy property without just compensation or due process of
law.
*Response:* We disagree. The rules set forth below do not address the
issue of who owns an individual's medical record. Instead, they address
what uses and disclosures of protected health information may be made by
covered entities with or without a consent or authorization. As
described in response to a similar comment, medical records have been
the property of the health care provider or medical facility that
created them, historically. In some states, statutes directly provide
these entities with ownership. These laws are limited by laws that
provide patients or their representatives with access to the records or
that provide the patient with an ownership interest in the information
within the records. As we discuss, the final rule is consistent with
current state law that provides patients access to protected health
information, but not ownership of medical records. State laws that
provide patients with greater access would remain in effect. Therefore,
because patients do not own their records, no taking can occur. As for
their interest in the information, the final rule retains their rights.
As for covered entities, the final rule does not take away their
ownership rights or make their ownership interest in the protected
health information worthless. Therefore, no taking has occurred in these
situations either.
***Ninth and Tenth Amendments***
*Comment:* Several comments asserted that the proposed rules violated
the Ninth and Tenth Amendments. One commenter suggested that the Ninth
Amendment prohibits long and complicated regulations. Other commenters
suggested that the proposed rules authorized the compelled disclosure of
individually identifiable health information in violation of State
constitutional provisions, such as those in California and Florida.
Similarly, a couple of commenters asserted that the privacy rules
violate the Tenth Amendment.
*Response:* We disagree. The Ninth and Tenth Amendments address the
rights retained by the people and acknowledge that the States or the
people are reserved the powers not delegated to the federal government
and not otherwise prohibited by the Constitution. Because HHS is
regulating under a delegation of authority from Congress in an area that
affects interstate commerce, we are within the powers provided to
Congress in the Constitution. Nothing in the Ninth Amendment, or any
other provision of the Constitution, restricts the length or complexity
of any law. Additionally, we do not believe the rules below
impermissibly authorize behavior that violates State constitutions. This
rule requires disclosure only to the individual or to the Secretary to
enforce this rule. As noted in the preamble discussion of "Preemption,"
these rules do not preempt State laws, including constitutional
provisions, that are contrary to and more stringent, as defined at §
160.502, than these rules. See the discussion of "Preemption" for
further clarification. Therefore, if these State constitutions are
contrary to the rule below and provide greater protection, they remain
in full force; if they do not, they are preempted, in accordance with
the Supremacy Clause of the Constitution.
***Right to Privacy***
*Comment:* Several comments suggested that the proposed regulation would
violate the right to privacy guaranteed by the First, Fourth, Fifth, and
Ninth Amendments because it would permit covered entities to disclose
protected health information without the consent of the individual.
*Response:* These comments did not provide specific facts or legal basis
for the claims. We are, thus, unable to provide a substantive response
to these particular comments. However, we note that the rule requires
disclosures only to the individual or to the Secretary to determine
compliance with this rule. Other uses or disclosures under this rule are
permissive, not required. Therefore, if a particular use or disclosure
under this rule is viewed as interfering with a right that prohibited
the use or disclosure, the rule itself is not what requires the use or
disclosure.
***Void for Vagueness***
*Comment:* One comment suggested that the Secretary's use of a
"reasonableness" standard is unconstitutionally vague. Specifically,
this comment objected to the requirement that covered entities use
"reasonable" efforts to use or disclose the minimum amount of protected
health information, to ensure that business partners comply with the
privacy provisions of their contracts, to notify business partners of
any amendments or corrections to protected health information, and to
verify the identity of individuals requesting information, as well as
charge only a "reasonable" fee for inspecting and copying health
information. This comment asserted that the Secretary provided
"inadequate guidance" as to what qualifies as "reasonable."
*Response:* We disagree with the comment's suggestion that by applying a
"reasonableness" standard, the regulation has failed to provide for
"fair warning" or "fair enforcement." The "reasonableness" standard is
well-established in law; for example, it is the foundation of the common
law of torts. Courts also have consistently held as constitutional
statutes that rely upon a "reasonableness" standard. Our reliance upon a
"reasonableness" standard, thus, provides covered entities with
constitutionally sufficient guidance.
***Criminal Intent***
*Comment:* One comment argued that the regulation's reliance upon a
"reasonableness" standard criminalizes "unreasonable efforts" without
requiring criminal intent or *mens rea*.
*Response:* We reject this suggestion because HIPAA clearly provides the
criminal intent requirement. Specifically, HIPPA provides that a "person
who *knowingly* and in violation of this part -- (1) uses or causes to
be used a unique health identifier; (2) obtains individually
identifiable health information relating to an individual; or (3)
discloses individually identifiable health information to another
person, shall be punished as provided in subsection (b)." HIPAA section
1177 (emphasis added). Subsection (b) also relies on a knowledge
standard in outlining the three levels of criminal sanctions. Thus,
Congress, not the Secretary, established the *mens rea* by including the
term "knowingly" in the criminal penalty provisions of HIPAA.
***Data Collection***
*Comment:* One commenter suggested that the U.S. Constitution authorized
the collection of data on individuals only for the purpose of the
census.
*Response:* While it might be true that the U.S. Constitution expressly
discusses the national census, it does not forbid federal agencies from
collecting data for other purposes. The ability of agencies to collect
non-census data has been upheld by the courts.
**Relationship to Other Federal Laws**
*Comment*: We received several comments that sought clarification of the
interaction of various federal laws and the privacy regulation. Many of
these comments simply listed federal laws and regulations with which the
commenter currently must comply. For example, commenters noted that they
must comply with regulations relating to safety, public health, and
civil rights, including Medicare and Medicaid, the Americans with
Disabilities Act, the Family and Medical Leave Act, the Federal Aviation
Administration regulations, the Department of Transportation
regulations, the Federal Highway Administration regulations, the
Occupational Safety and Health Administration regulations, and the
Environmental Protection Agency regulations, and alcohol and drug free
workplace rules. These commenters suggested that the regulation state
clearly and unequivocally that uses or disclosures of protected health
information for these purposes were permissible. Some suggested
modifying the definition of health care operations to include these uses
specifically. Another suggestion was to add a section that permitted the
transmission of protected health information to employers when
reasonably necessary to comply with federal, state, or municipal laws
and regulations, or when necessary for public or employee safety and
health.
*Response:* Although we sympathize with entities' needs to evaluate the
existing laws with which they must comply in light of the requirements
of the final regulation, we are unable to respond substantially to
comments that do no pose specific questions. We offer, however, the
following guidance: if an covered entity is required to disclose
protected health information pursuant to a specific statutory or
regulatory scheme, the covered entity generally will be permitted under
§ 164.512(a) to make these disclosures without a consent or
authorization; if, however, a statute or regulation merely suggests a
disclosure, the covered entity will need to determine if the disclosure
comes within another category of permissible disclosure under §§ 164.510
or 164.512 or, alternatively, if the disclosure would otherwise come
within § 164.502. If not, the entity will need to obtain a consent or
authorization for the disclosure.
*Comment:* One commenter sought clarification as to when a disclosure is
considered to be "required" by another law versus "permitted" by that
law.
*Responses:* We use these terms according to their common usage. By
"required by law," we mean that a covered entity has a legal obligation
to disclose the information. For example, if a statute states that a
covered entity must report the names of all individuals presenting with
gun shot wounds to the emergency room or else be fined \$500 for each
violation, a covered entity would be required by law to disclose the
protected health information necessary to comply with this mandate. The
privacy regulation permits this type of disclosure, but does not require
it. Therefore, if a covered entity chose not to comply with the
reporting statute it would violate only the reporting statute and not
the privacy regulation.
On the other hand, if a statute stated that a covered entity may or is
permitted to report the names of all individuals presenting with gun
shot wounds to the emergency room and, in turn, would receive \$500 for
each month it made these reports, a covered entity would not be
permitted by § 164.512(a) to disclose the protected health information.
Of course, if another permissible provision applied to these facts, the
covered entity could make the disclosure under that provision, but it
would not be considered to be a disclosure. See discussion under §
164.512(a) below.
*Comment:* Several commenters suggested that the proposed rule was
unnecessarily duplicative of existing regulations for federal programs,
such as Medicare, Medicaid, and the Federal Employee Health Benefit
Program.
*Response:* Congress specifically subjected certain federal programs,
including Medicare, Medicaid, and the Federal Employee Health Benefit
Program to the privacy regulation by including them within the
definition of "health plan." Therefore, covered entities subject to
requirements of existing federal programs will also have to comply with
the privacy regulation. *Comment:* One comment asserts that the
regulation would not affect current federal requirements if the current
requirements are weaker than the requirements of the privacy regulation.
This same commenter suggested that current federal requirements will
trump both state law and the proposed regulation, even if Medicaid
transactions remain wholly intrastate.
*Response:* We disagree. As noted in our discussion of "Relationship to
Other Federal Laws," each law or regulation will need to be evaluated
individually. We similarly disagree with the second assertion made by
the commenter. The final rule will preempt state laws only in specific
instances. For a more detailed analysis, see the preamble discussion of
"Preemption."
***Administrative Subpoenas***
*Comment:* One comment stated that the final rule should not impose new
standards on administrative subpoenas that would conflict with existing
laws or administrative or judicial rules that establish standards for
issuing subpoenas. Nor should the final rule conflict with established
standards for the conduct of administrative, civil, or criminal
proceedings, including the rules regarding the discovery of evidence.
Other comments sought further restrictions on access to protected health
information in this context.
*Response:* Section 164.512(e) below addresses disclosures for judicial
and administrative proceedings. The final rules generally do not
interfere with these existing processes to the extent an individual
served with a subpoena, court order, or other similar process is able to
raise objections already available. See the discussion below under §
164.512(e) for a fuller response.
***Americans with Disabilities Act***
*Comment:* Several comments discussed the intersection between the
proposed Privacy Rule and the Americans with Disabilities Act ("ADA")
and sections 503 and 504 of the Rehabilitation Act of 1973. One comment
suggested that the final rule explicitly allows disclosures authorized
by the Americans with Disabilities Act without an individual's
authorization, because this law, in the commenter's view, provides more
than adequate protection for the confidentiality of medical records in
the employment context. The comment noted that under these laws
employers may receive information related to fitness for duty,
pre-employment physicals, routine examinations, return to work
examinations, examinations following other types of absences,
examinations triggered by specific events, changes in circumstances,
requests for reasonable accommodations, leave requests, employee
wellness programs, and medical monitoring.
Other commenters suggested that the ADA requires the disclosure of
protected health information to employers so that the employee may take
advantage of the protections of these laws. They suggested that the
final rules clarify that employment may be conditioned on obtaining an
authorization for disclosure of protected health information for lawful
purposes and provide guidance concerning the interaction of the ADA with
the final regulation's requirements. Several commenters wanted
clarification that the privacy regulation would not permit employers to
request or use protected health information in violation of the ADA.
*Response:* We disagree with the comment that the final rule should
allow disclosures of protected health information authorized by the ADA
without the individual's authorization. We learned from the comments
that access to and use of protected health information by employers is
of particular concern to many people. With regard to employers, we do
not have statutory authority to regulate them. Therefore, it is beyond
the scope of this regulation to prohibit employers from requesting or
obtaining protected health information. Covered entities may disclose
protected health information about individuals who are members of an
employer's workforce with an authorization. Nothing in the privacy
regulation prohibits employers from obtaining that authorization as a
condition of employment. We note, however, that employers must comply
with other laws that govern them, such as nondiscrimination laws. For
example, if an employer receives a request for a reasonable
accommodation, the employer may require reasonable documentation about
the employee's disability and the functional limitations that require
the reasonable accommodation, if the disability and the limitations are
not obvious. If the individual provides insufficient documentation and
does not provide the missing information in a timely manner after the
employer's subsequent request, the employer may require the individual
to go to an appropriate health professional of the employer's choice. In
this situation, the employee does not authorize the disclosure of
information to substantiate the disability and the need for reasonable
accommodation, the employer need not provide the accommodation.
We agree that this rule does not permit employers to request or use
protected health information in violation of the ADA or other
antidiscrimination laws.
***Appropriations Laws***
*Comment:* One comment suggested that the penalty provisions of HIPAA,
if extended to the privacy regulation, would require the Secretary to
violate "Appropriations Laws" because the Secretary could be in the
position of assessing penalties against her own and other federal
agencies in their roles as covered entities. Enforcing penalties on
these entities would require the transfer of agency funds to the General
Fund.
*Response:* We disagree. Although we anticipate achieving voluntary
compliance and resolving any disputes prior to the actual assessment of
penalties, the Department of Justice's Office of Legal Counsel has
determined in similar situations that federal agencies have authority to
assess penalties against other federal agencies and that doing so is not
in violation of the Anti-Deficiency Act, 31 U.S.C. 1341.
***Balanced Budget Act of 1997***
*Comment:* One comment expressed concern that the regulation would place
tremendous burdens on providers already struggling with the effects of
the Balanced Budget Act of 1997.
*Response:* We appreciate the costs covered entities face when complying
with other statutory and regulatory requirements, such as the Balanced
Budget Act of 1997. However, HHS cannot address the impact of the
Balanced Budget Act or other statutes in the context of this regulation.
*Comment:* Another comment stated that the regulation is in direct
conflict with the Balanced Budget Act of 1997 ("BBA"). The comment
asserts that the regulation's compliance date conflicts with the BBA, as
well as Generally Acceptable Accounting Principles. According to the
comment, covered entities that made capital acquisitions to ensure
compliance with the year 2000 ("Y2K") problem would not be able to
account for the full depreciation of these systems until 2005. Because
HIPAA requires compliance before that time, the regulation would force
premature obsolescence of this equipment because while it is Y2K
compliant, it may be HIPAA non-compliant.
*Response:* This comment raises two distinct issues--(1) the investment
in new equipment and (2) the compliance date. With regard to the first
issue, we reject the comment's assertion that the regulation requires
covered entities to purchase new information systems or information
technology equipment, but realize that some covered entities may need to
update their equipment. We have tried to minimize the costs, while
responding appropriately to Congress' mandate for privacy rules. We have
dealt with the cost issues in detail in the "Regulatory Impact Analysis"
section of this Preamble. With regard to the second issue, Congress, not
the Secretary, established the compliance data at section 1175(b) of the
Act.
***Civil Rights of Institutionalized Persons Act***
*Comment:* A few comments expressed concern that the privacy regulation
would inadvertently hinder the Department of Justice Civil Rights
Divisions' investigations under the Civil Rights of Institutionalized
Persons Act ("CRIPA"). These comments suggested clearly including civil
rights enforcement activities as health care oversight.
*Response:* We agree with this comment. We do not intend for the privacy
rules to hinder CRIPA investigations. Thus, the final rule includes
agencies that are authorized by law to "enforce civil rights laws for
which health information is relevant" in the definition of "health
oversight agency" at § 164.501. Covered entities are permitted to
disclose protected health information to health oversight agencies under
§ 164.512(d) without an authorization. Therefore, we do not believe the
final rule should hinder the Department of Justice's ability to conduct
investigations pursuant to its authority in CRIPA.
***Clinical Laboratory Improvement Amendments***
*Comment:* One comment expressed concern that the proposed definition of
health care operations did not include activities related to the quality
control clinical studies performed by laboratories to demonstrate the
quality of patient test results. Because the Clinical Laboratory
Improvement Amendments of 1988 ("CLIA") requires these studies that the
comment asserted require the use of protected health information, the
comment suggested including this specific activity in the definition of
"health care operations."
*Response:* We do not intend for the privacy regulation to impede the
ability of laboratories to comply with the requirements of CLIA. Quality
control activities come within the definition of "health care
operations" in § 164.501 because they come within the meaning of the
term "quality assurance activities." To the extent they would not come
within health care operations, but are required by CLIA, the privacy
regulation permits clinical laboratories that are regulated by CLIA to
comply with mandatory uses and disclosures of protected health
information pursuant to § 164.512(a).
*Comment:* One comment stated that the proposed regulation's right of
access for inspection and copying provisions were contrary to CLIA in
that CLIA permits laboratories to disclose lab test results only to
"authorized persons." This comment suggested that the final rule include
language adopting this restriction to ensure that patients not obtain
laboratory test results before the appropriate health care provider has
reviewed and explained those results to the patients.
A similar comment stated that the lack of preemption of state laws could
create problems for clinical laboratories under CLIA. Specifically, this
comment noted that CLIA permits clinical laboratories to perform tests
only upon the written or electronic request of, and to provide the
results to, an "authorized person." State laws define who is an
"authorized person." The comment expressed concern as to whether the
regulation would preempt state laws that only permit physicians to
receive test results.
*Response:* We agree that CLIA controls in these cases. Therefore, we
have amended the right of access, § 164.524(a), so that a covered entity
that is subject to CLIA does not have to provide access to the
individual to the extent such access would be prohibited by law. Because
of this change, we believe the preemption concern is moot.
***Controlled Substance Act***
*Comment:* One comment expressed concern that the privacy regulation as
proposed would restrict the Drug Enforcement Agency's ("the DEA")
enforcement of the Controlled Substances Act ("CSA"). The comment
suggested including enforcement activities in the definition of "health
oversight agency."
*Response:* In our view, the privacy regulation should not impede the
DEA's ability to enforce the CSA. First, to the extent the CSA requires
disclosures to the DEA, these disclosures would be permissible under §
164.512(a). Second, some of the DEA's CSA activities come within the
exception for health oversight agencies which permits disclosures to
health oversight agencies for:
> activities authorized by law, including audits; civil, administrative,
> or criminal investigations; inspections . . . civil, administrative,
> or criminal proceedings or actions; and other activity necessary for
> appropriate oversight of the health care system.
Therefore, to the extent the DEA is enforcing the CSA, disclosures to it
in its capacity as a health oversight agency are permissible under §
164.512(d). Alternatively, CSA required disclosures to the DEA for law
enforcement purposes are permitted under § 164.512(f). When acting as a
law enforcement agency under the CSA, the DEA may obtain the information
pursuant to § 164.512(f). Thus, we do not agree that the privacy
regulation will impede the DEA's enforcement of the CSA. See the
preamble discussion of § 164.512 for further explanation.
*Comment:* One commenter suggested clarifying the provisions allowing
disclosures that are "required by law" to ensure that the mandatory
reporting requirements the CSA imposes on covered entities, including
making available reports, inventories, and records of transactions, are
not preempted by the regulation.
*Response:* We agree that the privacy regulation does not alter covered
entities' obligations under the CSA. Because the CSA requires covered
entities manufacturing, distributing, and/or dispensing controlled
substances to maintain and provide to the DEA specific records and
reports, the privacy regulation permits these disclosures under §
164.512(a). In addition, when the DEA seeks documents to determine an
entity's compliance with the CSA, such disclosures are permitted under §
164.512(d).
*Comment:* The same commenter expressed concern that the proposed
privacy regulation inappropriately limits voluntary reporting and would
prevent or deter employees of covered entities from providing the DEA
with information about violations of the CSA.
*Response:* We agree with the general concerns expressed in this
comment. We do not believe the privacy rules will limit voluntary
reporting of violations of the CSA. The CSA requires certain entities to
maintain several types of records that may include protected health
information. Although reports that included protected health information
may be restricted under these rules, reporting the fact that an entity
is not maintaining proper reports is not. If it were necessary to obtain
protected health information during the investigatory stages following
such a voluntary report, the DEA would be able to obtain the information
in other ways, such as by following the administrative procedures
outlined in § 164.512(e).
We also agree that employees of covered entities who report violations
of the CSA should not be subjected to retaliation by their employers.
Under § 164.502(j), we specifically state that a covered entity is not
considered to have violated the regulation if a workforce member or
business associate in good faith reports violations of laws or
professional standards by covered entities to appropriate authorities.
*See* discussion of § 164.502(j) below.
***Department of Transportation***
*Comment:* Several commenters stated that the Secretary should recognize
in the preamble that it is permissible for employers to condition
employment on an individual's delivering a consent to certain medical
tests and/or examinations, such as drug-free workplace programs and
Department of Transportation ("DOT")-required physical examinations.
These comments also suggested that employers should be able to receive
certain information, such as pass/fail test and examination results,
fitness-to-work assessments, and other legally required or permissible
physical assessments without obtaining an authorization. To achieve this
goal, these comments suggested defining "health information" to exclude
information such as information about how much weight a specific
employee can lift.
*Response:* We reject the suggestion to define "health information,"
which Congress defined in HIPAA, so that it excludes individually
identifiable health information that may be relevant to employers for
these types of examinations and programs. We do not regulate employers.
Nothing in the rules prohibit employers from conditioning employment on
an individual signing the appropriate consent or authorization. By the
same token, however, the rules below do not relieve employers from their
obligations under the ADA and other laws that restrict the disclosure of
individually identifiable health information.
*Comment:* One commenter asserted that the proposed regulation conflicts
with the DOT guidelines regarding positive alcohol and drug tests that
require the employer be notified in writing of the results. This
document contains protected health information. In addition, the
treatment center records must be provided to the Substance Abuse
Professional ("SAP") and the employer must receive a report from SAP
with random drug testing recommendations.
*Response:* It is our understanding that DOT requires drug testing of
all applicants for employment in safety-sensitive positions or
individuals being transferred to such positions. Employers, pursuant to
DOT regulations, may condition an employee's employment or position upon
first obtaining an authorization for the disclosure of results of these
tests to the employer. Therefore, we do not believe the final rules
conflict with the DOT requirements, which do not prohibit obtaining
authorizations before such information is disclosed to employers.
***Developmental Disabilities Act***
*Comment:* One commenter urged HHS to ensure that the regulation would
not impede access to individually identifiable health information to
entities that are part of the Protection and Advocacy System to
investigate abuse and neglect as authorized by the Developmental
Disabilities Bill of Rights Act.
*Response:* The Developmental Disabilities Assistance and Bill of Rights
Act of 2000 ("DD Act") mandates specific disclosures of individually
identifiable health information to Protection and Advocacy systems
designated by the chief elected official of the states and Territories.
Therefore, covered entities may make these disclosures under §
164.512(a) without first obtaining an individual's authorization, except
in those circumstances in which the DD Act requires the individual's
authorization. Therefore, the rules below will not impede the
functioning of the existing Protection and Advocacy System.
***Employee Retirement Income Security Act of 1974***
*Comment:* Several commenters objected to the fact that the NPRM did not
clarify the scope of preemption of state laws under the Employee
Retirement Income Security Act of 1974 (ERISA). These commenters
asserted that the final rule must state that ERISA preempts all state
laws (including those relating to the privacy of individually
identifiable health information) so that multistate employers could
continue to administer their group health plans using a single set of
rules. In contrast, other commenters criticized the Department for its
analysis of the current principles governing ERISA preemption of state
law, pointing out that the Department has no authority to interpret
ERISA.
*Response:* This Department has no authority to issue regulations under
ERISA as requested by some of these commenters, so the rule below does
not contain the statement requested. See the discussion of this point
under "Preemption" above.
*Comment:* One commenter requested that the final rule clarify that
section 264(c)(2) of HIPAA does not save state laws that would otherwise
be preempted by the Federal Employees Health Benefits Program. The
commenter noted that in the NPRM this statement was made with respect to
Medicare and ERISA, but not the law governing the FEHBP.
*Response:* We agree with this comment. The preemption analysis set out
above with respect to ERISA applies equally to the Federal Employees
Health Benefit Program.
*Comment:* One commenter noted that the final rule should clarify the
interplay between state law, the preemption standards in Subtitle A of
Title I of HIPAA (Health Care Access, Portability and Renewability), and
the preemption standards in the privacy requirements in Subtitle F of
Title II of HIPAA (Administrative Simplification).
*Response:* The NPRM described only the preemption standards that apply
with respect to the statutory provisions of HIPAA that were implemented
by the proposed rule. We agree that the preemption standards in Subtitle
A of Title I of HIPAA are different. Congress expressly provided that
the preemption provisions of Title I apply only to Part 7, which
addresses portability, access, and renewability requirements for Group
Health Plans. To the extent state laws contain provisions regarding
portability, access, or renewability, as well as privacy requirements, a
covered entity will need to evaluate the privacy provisions under the
Title II preemption provisions, as explained in the preemption
provisions of the rules, and the other provisions under the Title I
preemption requirements.
***European Union Privacy Directive and U.S. Safe Harbors***
*Comment:* Several comments stated that the privacy regulation should be
consistent with the European Union's Directive on Data Protection.
Others sought guidance as to how to comply with both the E.U. Directive
on Data Protection and the U.S. Safe Harbor Privacy Principles.
*Response:* We appreciate the need for covered entities obtaining
personal data from the European Union to understand how the privacy
regulation intersects with the Data Protection Directive. We have
provided guidance as to this interaction in the "Other Federal Laws"
provisions of the preamble.
*Comment:* A few comments expressed concern that the proposed definition
of "individual" excluded foreign military and diplomatic personnel and
their dependents, as well as overseas foreign national beneficiaries.
They noted that the distinctions are based on nationality and are
inconsistent with the stance of the E.U. Directive on Data Protection
and the Department of Commerce's assurances to the European Commission.
*Response:* We agree with the general principle that privacy protections
should protect every person, regardless of nationality. As noted in the
discussion of the definition of "individual," the final regulation's
definition does not exclude foreign military and diplomatic personnel,
their dependents, or overseas foreign national beneficiaries from the
definition of individual. As described in the discussion of § 164.512
below, the final rule applies to foreign diplomatic personnel and their
dependents like all other individuals. Foreign military personnel
receive the same treatment under the final rule as U.S. military
personnel do, as discussed with regard to § 164.512 below. Overseas
foreign national beneficiaries to the extent they receive care for the
Department of Defense or a source acting on behalf of the Department of
Defense remain generally excluded from the final rules protections. For
a more detailed explanation, see § 164.500.
***Fair Credit Reporting Act***
*Comment:* A few commenters requested that we exclude information
maintained, used, or disclosed pursuant to the Fair Credit Reporting Act
("FCRA") from the requirements of the privacy regulation. These
commenters noted that the protection in the privacy regulation duplicate
those in the FCRA.
*Response*: Although we realize that some overlap between FCRA and the
privacy rules may exist, we have chosen not to remove information that
may come within the purview of FCRA from the scope of our rules because
FCRA's focus is not the same as our Congressional mandate to protect
individually identifiable health information.
To the extent a covered entity seeks to engage in collection activities
or other payment-related activities, it may do so pursuant to the
requirements of this rule related to payment. See discussion of §§
164.501 and 164.502 below.
We understand that some covered entities may be part of, or contain
components that are, entities which meet the definition of "consumer
reporting agencies." As such, these entities are subject to the FCRA. As
described in the preamble to § 164.504, covered entities must designate
what parts of their organizations will be treated as covered entities
for the purpose of these privacy rules. The covered entity component
will need to comply with these rules, while the components that are
consumer reporting agencies will need to comply with FCRA.
*Comment:* One comment suggested that the privacy regulation would
conflict with the FCRA if the regulation's requirement applied to
information disclosed to consumer reporting agencies.
*Response:* To the extent a covered entity is required to disclose
protected health information to a consumer reporting agency, it may do
so under § 164.512(a). *See also* discussion under the definition of
"payment" below.
***Fair Debt Collection and Practices Act***
*Comment:* Several comments expressed concern that health plans and
health care providers be able to continue using debt collectors in
compliance with the Fair Debt Collections Practices Act and related
laws.
*Response:* In our view, health plans and health care providers will be
able to continue using debt collectors. Using the services of a debt
collector to obtain payment for the provision of health care comes
within the definition of "payment" and is permitted under the
regulation. Thus, so long as the use of debt collectors is consistent
with the regulatory requirements (such as, providers obtain the proper
consents, the disclosure is of the minimum amount of information
necessary to collect the debt, the provider or health plan enter into a
business associate agreement with the debt collector, etc.), relying
upon debt collectors to obtain reimbursement for the provision of health
care would not be prohibited by the regulation.
***Family Medical Leave Act***
*Comment:* One comment suggested that the proposed regulation adversely
affects the ability of an employer to determine an employee's
entitlement to leave under the Family Medical Leave Act ("FMLA") by
affecting the employer's right to receive medical certification of the
need for leave, additional certifications, and fitness for duty
certification at the end of the leave. The commenter sought
clarification as to whether a provider could disclose information to an
employer without first obtaining an individual's consent or
authorization. Another commenter suggested that the final rule
explicitly exclude from the rule disclosures authorized by the FMLA,
because, in the commenter's view, it provides more than adequate
protection for the confidentiality of medical records in the employment
context.
*Response:* We disagree that the FMLA provides adequate privacy
protections for individually identifiable health information. As we
understand the FMLA, the need for employers to obtain protected health
information under the statute is analogous to the employer's need for
protected health information under the ADA. In both situations,
employers may need protected health information to fulfill their
obligations under these statutes, but neither statute requires covered
entities to provide the information directly to the employer. Thus,
covered entities in these circumstances will need an individual's
authorizations before the disclosure is made to the employer.
***Federal Common Law***
*Comment:* One commenter did not want the privacy rules to interfere
with the federal common law governing collective bargaining agreements
permitting employers to insist on the cooperation of employees with
medical fitness evaluations.
*Response:* We do not seek to interfere with legal medical fitness
evaluations. These rules require a covered entity to have an
individual's authorization before the information resulting from such
evaluations is disclosed to the employer unless another provision of the
rule applies. We do not prohibit employers from conditioning employment,
accommodations, or other benefits, when legally permitted to do so, upon
the individual/employee providing an authorization that would permit the
disclosure of protected health information to employers by covered
entities. *See* § 164.508(b)(4) below.
***Federal Educational Rights and Privacy Act***
*Comment:* A few commenters supported the exclusion of "education
records" from the definition of "protected health information." However,
one commenter requested that "treatment records" of students who are 18
years or older attending post-secondary education institutions be
excluded from the definition of "protected health information" as well
to avoid confusion.
*Response:* We agree with these commenters. See "Relationship to Other
Federal Laws" for a description of our exclusion of FERPA "education
records" and records defined at 20 U.S.C. 1232g(a)(4)(B)(iv), commonly
referred to as "treatment records," from the definition of "protected
health information."
*Comment:* One comment suggested that the regulation should not apply to
any health information that is part of an "education record" in any
educational agency or institution, regardless of its FERPA status.
*Response:* We disagree. As noted in our discussion of "Relationship of
Other Federal Laws," we exclude education records from the definition of
protected health information because Congress expressly provided privacy
protections for these records and explained how these records should be
treated in FERPA.
*Comment:* One commenter suggested eliminating the preamble language
that describes school nurses and on-site clinics as acting as providers
and subject to the privacy regulation, noting that this language is
confusing and inconsistent with the statements provided in the preamble
explicitly stating that HIPAA does not preempt FERPA.
*Response:* We agree that this language may have been confusing. We have
provided a clearer expression of when schools may be required to comply
with the privacy regulation in the "Relationship to Other Federal Laws"
section of the preamble.
*Comment:* One commenter suggested adding a discussion of FERPA to the
"Relationship to Other Federal Laws" section of the preamble.
*Response:* We agree and have added FERPA to the list of federal laws
discussed in "Relationship to Other Federal Laws" section of the
preamble.
*Comment:* One commenter stated that school clinics should not have to
comply with the "ancillary" administrative requirements, such as
designating a privacy official, maintaining documentation of their
policies and procedures, and providing the Secretary of HHS with access.
*Response:* We disagree. Because we have excluded education records and
records described at 20 U.S.C. 1232g(a)(4)(B)(iv) held by educational
agencies and institutions subject to FERPA from the definition of
protected health information, only non-FERPA schools would be subject to
the administrative requirements. Most of these school clinics will also
not be covered entities because they are not engaged in HIPAA
transactions and these administrative requirements will not apply to
them. However, to the extent a school clinic is within the definition of
a health care provider, as Congress defined the term, and the school
clinic is engaged in HIPAA transactions, it will be a covered entity and
must comply with the rules below.
*Comment:* Several commenters expressed concern that the privacy
regulation would eliminate the parents' ability to have access to
information in their children's school health records. Because the
proposed regulation suggests that school-based clinics keep health
records separate from other educational files, these comments argued
that the regulation is contrary to the spirit of FERPA, which provides
parents with access rights to their children's educational files.
*Response:* As noted in the "Relationship to Other Federal Laws"
provision of the preamble, to the extent information in school-based
clinics is not protected health information because it is an education
record, the FERPA access requirements apply and this regulation does
not. For more detail regarding the rule's application to unemancipated
minors, see the preamble discussion about "Personal Represenatives."
***Federal Employees Compensation Act***
*Comment:* One comment noted that the Federal Employees Compensation Act
("FECA") requires claimants to sign a release form when they file a
claim. This commenter suggested that the privacy regulation should not
place additional restrictions on this type of release form.
*Response:* We agree. In the final rule, we have added a new provision,
§ 164.512(l), that permits covered entities to make disclosures
authorized under workers' compensation and similar laws. This provision
would permit covered entities to make disclosures authorized under FECA
and not require a different release form.
***Federal Employees Health Benefits Program***
*Comment:* A few comments expressed concern about the preemption effect
on FEHBP and wanted clarification that the privacy regulation does not
alter the existing preemptive scope of the program.
*Response:* We do not intend to affect the preemptive scope of the
FEHBP. The Federal Employee Health Benefit Act of 1998 preempts any
state law that "relates to" health insurance or plans. 5 U.S.C. 8902(m).
The final rule does not attempt to alter the preemptive scope Congress
has provided to the FEHBP.
*Comment:* One comment suggested that in the context of FEHBP HHS should
place the enforcement responsibilities of the privacy regulation with
Office of Personnel Management, as the agency responsible for
administering the program.
*Response:* We disagree. Congress placed enforcement with the Secretary.
*See* section 1176 of the Act.
***Federal Rules of Civil Procedure***
*Comment:* A few comments suggested revising proposed § 164.510(d) so
that it is consistent with the existing discovery procedure under the
Federal Rules of Civil Procedure or local rules.
*Response:* We disagree that the rules regarding disclosures and uses of
protected health information for judicial and administrative procedures
should provide only those protections that exist under existing
discovery rules. Although the current process may be appropriate for
other documents and information requested during the discovery process,
the current system, as exemplified by the Federal Rules of Civil
Procedure, does not provide sufficient protection for protected health
information. Under current discovery rules, private attorneys,
government officials, and others who develop such requests make the
initial determinations as to what information or documentation should be
disclosed. Independent third-party review, such as that by a court, only
becomes necessary if a person of whom the request is made refuses to
provide the information. If this happens, the person seeking discovery
must obtain a court order or move to compel discovery. In our view this
system does not provide sufficient protections to ensure that
unnecessary and unwarranted disclosures of protected health information
does not occur. For a related discuss, see the preamble regarding
"Disclosures for Judicial and Administrative Proceedings" under §
164.512(e).
***Federal Rules of Evidence***
*Comment:* Many comments requested clarification that the privacy
regulation does not conflict or interfere with the federal or state
privileges. In particular, one of these comments suggested that the
final regulation provide that disclosures for a purpose recognized by
the regulation not constitute a waiver of federal or state privileges.
*Response:* We do not intend for the privacy regulation to interfere
with federal or state rules of evidence that create privileges.
Consistent with The Uniform Health-Care Information Act drafted by the
National Conference of Commissioners on Uniform State Laws, we do not
view a consent or an authorization to function as a waiver of federal or
state privileges. For further discussion of the effect of consent or
authorization on federal or state privileges, see preamble discussions
in §§ 164.506 and 164.508.
*Comment:* Other comments applauded the Secretary's references to
*Jaffee v. Redman*, 518 U.S. 1 (1996), which recognized a
psychotherapist-patient privilege, and asked the Secretary to
incorporate expressly this privilege into the final regulation.
*Response:* We agree that the psychotherapist-patient relationship is an
important one that deserves protection. However, it is beyond the scope
our mandate to create specific evidentiary privileges. It is also
unnecessary because the United States Supreme Court has adopted this
privilege.
*Comment:* A few comments discussed whether one remedy for violating the
privacy regulation should be to exclude or suppress evidence obtained in
violation of the regulation. One comment supported using this penalty,
while another opposed it.
*Response:* We do not have the authority to mandate that courts apply or
not apply the exclusionary rule to evidence obtained in violation of the
regulation. This issue is in the purview of the courts.
***Federal Tort Claims Act***
*Comment:* One comment contended that the proposed regulation's
requirement mandating covered entities to name the subjects of protected
health information disclosed under a business partner contract as third
party intended beneficiaries under the contract would have created an
impermissible right of action against the government under the Federal
Tort Claims Act ("FTCA").
*Response:* Because we have deleted the third party beneficiary
provisions from the final rules, this comment is moot.
*Comment:* Another comment suggested the regulation would hamper the
ability of federal agencies to disclose protected health information to
their attorneys, the Department of Justice, during the initial stages of
the claims brought under the FTCA.
*Response:* We disagree. The regulation applies only to federal agencies
that are covered entities. To the extent an agency is not a covered
entity, it is not subject to the regulation; to the extent an agency is
a covered entity, it must comply with the regulation. A covered entity
that is a federal agency may disclose relevant information to its
attorneys, who are business associates, for purposes of health care
operations, which includes uses or disclosures for legal functions.
*See* § 164.501 (definitions of "business associate" and "health care
operations"). The final rule provides specific provisions describing how
federal agencies may provide adequate assurances for these types of
disclosures of protected health information. See § 164.504(e)(3).
***Food and Drug Administration***
*Comment:* A few comments expressed concerns about the use of protected
health information for reporting activities to the Food and Drug
Administration ("FDA"). Their concern focused on the ability to obtain
or disclose protected health information for pre- and post-marketing
adverse event reports, device tracking, and post-marketing safety and
efficacy evaluation.
*Response:* We agree with this comment and have provided that covered
entities may disclose protected health information to persons subject to
the jurisdiction of the FDA, to comply with the requirements of, or at
the direction of, the FDA with regard to reporting adverse events (or
similar reports with respect to dietary supplements), the tracking of
medical devices, other post-marketing surveillance, or other similar
requirements described at § 164.512(b).
***Foreign Standards***
*Comment:* One comment asked how the regulation could be enforced
against foreign countries (or presumably entities in foreign countries)
that solicit medical records from entities in the United States.
*Response:* We do not regulate solicitations of information. To the
extent a covered entity wants to comply with a request for disclosure of
protected health information to foreign countries or entities within
foreign countries, it will need to comply with the privacy rules before
making the disclosure. If the covered entity fails to comply with the
rules, it will be subject to enforcement proceedings.
***Freedom of Information Act***
*Comment:* One comment asserted that the proposed privacy regulation
conflicts with the Freedom of Information Act ("FOIA"). The comment
argued that the proposed restriction on disclosures by agencies would
not come within one of the permissible exemptions to the FOIA. In
addition, the comment noted that only in exceptional circumstances would
the protected health information of deceased individuals come within an
exemption because, for the most part, death extinguishes an individual's
right to privacy.
*Response:* Section 164.512(a) below permits covered entities to
disclose protected health information when such disclosures are required
by other laws as long as they follow the requirements of those laws.
Therefore, the privacy regulation will not interfere with the ability of
federal agencies to comply with FOIA, when it requires the disclosure.
We disagree, however, that most protected health information will not
come within Exemption 6 of FOIA. See the discussion above under
"Relationship to Other Federal Laws" for our review of FOIA. Moreover,
we disagree with the comment's assertion that the protected health
information of deceased individuals does not come within Exemption 6.
Courts have recognized that a deceased individual's surviving relatives
may have a privacy interest that federal agencies may consider when
balancing privacy interests against the public interest in disclosure of
the requested information. Federal agencies will need to consider not
only the privacy interests of the subject of the protected health
information in the record requested, but also, when appropriate, those
of a deceased individual's family consistent with judicial rulings.
If an agency receives a FOIA request for the disclosure of protected
health information of a deceased individual, it will need to determine
whether or not the disclosure comes within Exemption 6. This evaluation
must be consistent with the court's rulings in this area. If the
exemption applies, the federal agency will not have to release the
information. If the federal agency determines that the exemption does
not apply, may release it under § 164.512(a) of this regulation.
*Comment:* One commenter expressed concern that our proposal to protect
the individually identifiable health information about the deceased for
two years following death would impede public interest reporting and
would be at odds with many state Freedom of Information laws that make
death records and autopsy reports public information. The commenter
suggested permitting medical information to be available upon the death
of an individual or, at the very least, that an appeals process be
permitted so that health information trustees would be allowed to
balance the interests in privacy and in public disclosure and release or
not release the information accordingly.
*Response*: These rules permit covered entities to make disclosures that
are required by state Freedom of Information Act (FOIA) laws under
164.512(a). Thus, if a state FOIA law designates death records and
autopsy reports as public information that must be disclosed, a covered
entity may disclose it without an authorization under the rule. To the
extent that such information is required to be disclosed by FOIA or
other law, such disclosures are permitted under the final rule. In
addition, to the extent that death records and autopsy reports are
obtainable from non-covered entities, such as state legal authorities,
access to this information is not impeded by this rule.
If another law does not require the disclosure of death records and
autopsy reports generated and maintained by a covered entity, which are
protected health information, covered entities are not allowed to
disclose such information except as permitted or required by the final
rule, even if another entity discloses them.
*Comment:* One comment sought clarification of the relationship between
the Freedom of Information Act, the Privacy Act, and the privacy rules.
*Response:* We have provided this analysis in the "Relationship to Other
Federal Laws" section of the preamble in our discussion of the Freedom
of Information Act.
***Gramm-Leach-Bliley***
*Comments:* One commenter noted that the Financial Services
Modernization Act, also known as Gramm-Leach-Bliley ("GLB"), requires
financial institutions to provide detailed privacy notices to
individuals. The commenter suggested that the privacy regulation should
not require financial institutions to provide additional notice.
*Response:* We disagree. To the extent a covered entity is required to
comply with the notice requirements of GLB and those of our rules, the
covered entity must comply with both. We will work with the FTC and
other agencies implementing GLB to avoid unnecessary duplication. For a
more detailed discussion of GLB and the privacy rules, see the
"Relationship to Other Federal Laws" section of the preamble.
*Comment:* A few commenters asked that the Department clarify that
financial institutions, such as banks, that serve as payors are covered
entities. The comments explained that with the enactment of the
Gramm-Leach-Bliley Act, banks are able to form holding companies that
will include insurance companies (that may be covered entities). They
recommended that banks be held to the rule's requirements and be
required to obtain authorization to conduct non-payment activities, such
as for the marketing of health and non-health items and services or the
use and disclosure to non-health related divisions of the covered
entity.
*Response:* These comments did not provide specific facts that would
permit us to provide a substantive response. An organization will need
to determine whether it comes within the definition of "covered entity."
An organization may also need to consider whether or not it contains a
health care component. Organizations that are uncertain about the
application of the regulation to them will need to evaluate their
specific facts in light of this rule.
***Inspector General Act***
*Comment:* One comment requested the Secretary to clarify in the
preamble that the privacy regulation does not preempt the Inspector
General Act.
*Response:* We agree that to the extent the Inspector General Act
requires uses or disclosures of protected health information, the
privacy regulation does not preempt it. The final rule provides that to
the extent required under section 201(a)(5) of the Act, nothing in this
subchapter should be construed to diminish the authority of any
Inspector General, including the authority provided in the Inspector
General Act of 1978. See discussion of § 160.102 above.
***Medicare and Medicaid***
*Comment:* One comment suggested possible inconsistencies between the
regulation and Medicare/Medicaid requirements, such as those under the
Quality Improvement System for Managed Care. This commenter asked that
HHS expand the definition of health care operations to include health
promotion activities and avoid potential conflicts.
*Response:* We disagree that the privacy regulation would prohibit
managed care plans operating in the Medicare or Medicaid programs from
fulfilling their statutory obligations. To the extent a covered entity
is required by law to use or disclose protected health information in a
particular manner, the covered entity may make such a use or disclosure
under § 164.512(a). Additionally, quality assessment and improvement
activities come within the definition of "health care operations."
Therefore, the specific example provided by the commenter would seem to
be a permissible use or disclosure under § 164.502, even if it were not
a use or disclosure "required by law."
*Comment:* One commenter stated that Medicare should not be able to
require the disclosure of psychotherapy notes because it would destroy a
practitioner's ability to treat patients effectively.
*Response:* If the Title XVIII of the Social Security Act requires the
disclosure of psychotherapy notes, the final rule permits, but does not
require, a covered entity to make such a disclosure under § 164.512(a).
If, however, the Social Security Act does not require such disclosures,
Medicare does not have the discretion to require the disclosure of
psychotherapy notes as a public policy matter because the final rule
provides that covered entities, with limited exceptions, must obtain an
individual's authorization before disclosing psychotherapy notes. *See*
§ 164.508(a)(2).
***National Labor Relations Act***
*Comment:* A few comments expressed concern that the regulation did not
address the obligation of covered entities to disclose protected health
information to collective bargaining representatives under the National
Labor Relations Act.
*Response:* The final rule does not prohibit disclosures that covered
entities must make pursuant to other laws. To the extent a covered
entity is required by law to disclose protected health information to
collective bargaining representatives under the NLRA, it may to so
without an authorization. Also, the definition of "health care
operations" at § 164.501 permits disclosures to employee representatives
for purposes of grievance resolution.
***Organ Donation***
*Comment:* One commenter expressed concern about the potential impact of
the regulation on the organ donation program under 42 CFR Part 482.
*Response:* In the final rule, we add provisions allowing the use or
disclosure of protected health information to organ procurement
organizations or other entities engaged in the procurement, banking, or
transplantation of cadaveric organs, eyes, or tissue for the purpose of
facilitating donation and transplantation. See § 164.512(h).
***Privacy Act Comments***
*Comment:* One comment suggested that the final rule unambiguously
permit the continued operation of the statutorily established or
authorized discretionary routine uses permitted under the Privacy Act
for both law enforcement and health oversight.
*Response:* We disagree. See the discussion of the Privacy Act in
"Relationship to Other Federal Laws" above.
***Public Health Services Act***
*Comment:* One comment suggested that the Public Health Service Act
places more stringent rules regarding the disclosure of information on
Federally Qualified Health Centers than the proposed privacy regulation
suggested. Therefore, the commenter suggested that the final rule exempt
Federally Qualified Health Centers from the rules requirements
*Response:* We disagree. Congress expressly included Federally Qualified
Health Centers, a provider of medical or other health services under the
Social Security Act section 1861(s), within of its definition health
care provider in section 1171 of the Act; therefore, we cannot exclude
them from the regulation.
*Comment:* One commenter noted that no conflicts existed between the
proposed rule and the Public Health Services Act.
*Response:* As we discuss in the "Relationship to Other Federal Laws"
section of the preamble, the Public Health Service Act contains explicit
confidentiality requirements that are so general as not to create
problems of inconsistency. We recognized, however, that in some cases,
that law or its accompanying regulations may contain greater
restrictions. In those situations, a covered entity's ability to make
what are permissive disclosures under this privacy regulation would be
limited by those laws.
***Reporting Requirement***
*Comment:* One comment noted that federal agencies must provide
information to certain entities pursuant to various federal statutes.
For example, federal agencies must not withhold information from a
Congressional oversight committee or the General Accounting Office.
Similarly, some federal agencies must provide the Bureau of the Census
and the National Archives and Records Administration with certain
information. This comment expressed concern that the privacy regulation
would conflict with these requirements. Additionally, the commenter
asked whether the privacy notice would need to contain these uses and
disclosures and recommended that a general statement that these federal
agencies would disclose protected health information when required by
law be considered sufficient to meet the privacy notice requirements.
*Response:* To the extent a federal agency acting as a covered entity is
required by federal statute to disclose protected health information,
the regulation permits the disclosure as required by law under §
164.512(a). The notice provisions at § 164.520(b)(1)(ii)(B) require
covered entities to provide a brief description of the purposes for
which the covered entity is permitted or required by the rules to use or
disclose protected health information without an individual's written
authorization. If these statutes require the disclosures, covered
entities subject to the requirement may make the disclosure pursuant to
§ 164.512(a). Thus, their notice must include a description of the
category of these disclosures. For example, a general statement such as
the covered entity "will disclose your protected health information to
comply with legal requirements" should suffice.
*Comment:* One comment stressed that the final rule should not
inadvertently preempt mandatory reporting laws duly enacted by federal,
state, or local legislative bodies. This commenter also suggested that
the final rule not prevent the reporting of violations to law
enforcement agencies.
*Response:* We agree. Like the proposed rule, the final rule permits
covered entities to disclose protected health information when required
by law under § 164.512(a). To the extent a covered entity is required by
law to make a report to law enforcement agencies or is otherwise
permitted to make a disclosure to a law enforcement agency as described
in § 164.512(f), it may do so without an authorization. Alternatively, a
covered entity may always request that individuals authorize these
disclosures.
***Security Standards***
*Comment:* One comment called for HHS to consider the privacy regulation
in conjunction with the other HIPAA standards. In particular, this
comment focused on the belief that the security standards should be
compatible with the existing and emerging health care and information
technology industry standards.
*Response:* We agree that the security standards and the privacy rules
should be compatible with one another and are working to ensure that the
final rules in both areas function together. Because we are addressing
comments regarding the privacy rules in this preamble, we will consider
the comment about the security standard as we finalize that set of
rules.
***Substance Abuse Confidentiality Statute and Regulations***
*Comment:* Several commenters noted that many health care providers are
bound by the federal restrictions governing alcohol and drug abuse
records. One commenter noted that the NPRM differed substantially from
the substance abuse regulations and would have caused a host of
practical problems for covered entities. Another commenter, however,
supported the NPRM's analysis that stated that more stringent provisions
of the substance abuse provisions would apply. This commenter suggested
an even stronger approach of including in the text a provision that
would preserve existing federal law. Yet, one comment suggested that the
regulation as proposed would confuse providers by making it difficult to
determine when they may disclose information to law enforcement because
the privacy regulation would permit disclosures that the substance abuse
regulations would not.
*Response:* We appreciate the need of some covered entities to evaluate
the privacy rules in light of federal requirements regarding alcohol and
drug abuse records. Therefore, we provide a more detailed analysis in
the "Relationship to Other Federal Laws" section of the preamble.
*Comment:* Some of these commenters also noted that state laws contain
strict confidentiality requirements. A few commenters suggested that HHS
reassess the regulations to avoid inconsistencies with state privacy
requirements, implying that problems exist because of conflicts between
the federal and state laws regarding the confidentiality of substance
abuse information.
*Response:* As noted in the preamble section discussing preemption, the
final rules do not preempt state laws that provide more privacy
protections. For a more detailed analysis of the relationship between
state law and the privacy rules, see the "Preemption" provisions of the
preamble.
***Tribal Law***
*Comments*: One commenter suggested that the consultation process with
tribal governments described in the NPRM was inadequate under Executive
Order No. 13084. In addition, the commenter expressed concern that the
disclosures for research purposes as permitted by the NPRM would
conflict with a number of tribal laws that offer individuals greater
privacy rights with respect to research and reflects cultural
appropriateness. In particular, the commenter referenced the Health
Research Code for the Navajo Nation which creates a entity with broader
authority over research conducted on the Navajo Nation than the local
IRB and requires informed consent by study participants. Other laws
mentioned by the commenter included the Navajo Nation Privacy and Access
to Information Act and a similar policy applicable to all health care
providers within the Navajo Nation. The commenter expressed concern that
the proposed regulation research provisions would override these tribal
laws.
*Response*: We disagree with the comment that the consultation with
tribal governments undertaken prior to the proposed regulation is
inadequate under Executive Order No. 13084. As stated in the proposed
regulation, the Department consulted with representatives of the
National Congress of American Indians and the National Indian Health
Board, as well as others, about the proposals and the application of
HIPAA to the Tribes, and the potential variations based on the
relationship of each Tribe with the IHS for the purpose of providing
health services. In addition, Indian and tribal governments had the
opportunity to, and did, submit substantive comments on the proposed
rules.
Additionally, disclosures permitted by this regulation do not conflict
with the policies as described by this commenter. Disclosures for
research purposes under the final rule, as in the proposed regulation,
are permissive disclosures only. The rule describes the outer boundaries
of permissible disclosures. A covered health care provider that is
subject to the tribal laws of the Navajo Nation must continue to comply
with those tribal laws. If the tribal laws impose more stringent privacy
standards on disclosures for research, such as requiring informed
consent in all cases, nothing in the final rule would preclude
compliance with those more stringent privacy standards. The final rule
does not interfere with the internal governance of the Navajo Nation or
otherwise adversely affect the policy choices of the tribal government
with respect to the cultural appropriateness of research conducted in
the Navajo Nation.
***TRICARE***
*Comment:* One comment expressed concern regarding the application of
the "minimum necessary" standard to investigations of health care
providers under the TRICARE (formerly the CHAMPUS) program. The comment
also expressed concern that health care providers would be able to avoid
providing their records to such investigators because the proposed §
164.510 exceptions were not mandatory disclosures.
*Response:* In our view, neither the minimum necessary standard nor the
final §§ 164.510 and 164.512 permissive disclosures will impede such
investigations. The regulation requires covered entities to make all
reasonable efforts not to disclose more than the minimum amount of
protected health information necessary to accomplish the intended
purpose of the use or disclosure. This requirement, however, does not
apply to uses or disclosures that are required by law. *See* §
164.502(b)(2)(iv). Thus, if the disclosure to the investigators is
required by law, the minimum necessary standard will not apply.
Additionally, the final rule provides that covered entities rely, if
such reliance is reasonable, on assertions from public officials about
what information is reasonably necessary for the purpose for which it is
being sought. See § 164.514(d)(3)(iii).
We disagree with the assertion that providers will be able to avoid
providing their records to investigators. Nothing in this rule permits
covered entities to avoid disclosures required by other laws.
***Veterans Affairs***
*Comment:* One comment sought clarification about how disclosures of
protected health information would occur within the Veterans Affairs
programs for veterans and their dependents. *Response:* We appreciate
the commenter's request for clarification as to how the rules will
affect disclosures of protected health information in the specific
context of Veteran's Affairs programs. Veterans health care programs
under 38 U.S.C. chapter 17 are defined as "health plans." Without
sufficient details as to the particular aspects of the Veterans Affairs
programs that this comment views as problematic, we cannot comment
substantively on this concern.
*Comment:* One comment suggested that the final regulation clarify that
the analysis applied to the substance abuse regulations apply to laws
governing Veteran's Affairs health records.
*Response:* Although we realize some difference may exist between the
laws, we believe the discussion of federal substance abuse
confidentiality regulations in the "Relationship to Other Federal Laws"
preamble provides guidance that may be applied to the laws governing
Veteran's Affairs ("VA") health records. In most cases, a conflict will
not exist between these privacy rules and the VA programs. For example,
some disclosures allowed without patient consent or authorization under
the privacy regulation may not be within the VA statutory list of
permissible disclosures without a written consent. In such
circumstances, the covered entity would have to abide by the VA statute,
and no conflict exists. If the disclosures permitted by the VA statute
come within the permissible disclosures of our rules, no conflict
exists. In some cases, our rules may demand additional requirements,
such as obtaining the approval of a privacy board or Institutional
Review Board if a covered entity seeks to disclose protected health
information for research purposes without the individual's
authorization. A covered entity subject to the VA statute will need to
ensure that it meets the requirements of both that statute and the
regulation below. If a conflict arises, the covered entity should
evaluate the specific potential conflicting provisions under the implied
repeal analysis set forth in the "Relationship to Other Federal Laws"
discussion in the preamble.
***WIC***
*Comment:* One comment called on other federal agencies to examine their
regulations and policies regarding the use and disclosure of protected
health information. The comment suggested that other agencies revise
their regulations and policies to avoid duplicative, contradictory, or
more stringent requirements. The comment noted that the U.S. Department
of Agriculture's Special Supplemental Nutrition Program for Women,
Infants, and Children ("WIC") does not release WIC data. Because the
commenter believed the regulation would not prohibit the disclosure of
WIC data, the comment stated that the Department of Agriculture should
now release such information.
*Response:* We support other federal agencies to whom the rules apply in
their efforts to review existing regulations and policies regarding
protected health information. However, we do not agree with the
suggestion that other federal agencies that are not covered entities
must reduce the protections or access-related rights they provide for
individually identifiable health information they hold.
**PART 160, SUBPART C - COMPLIANCE AND ENFORCEMENT**
**Section 160.306(a) -- Who Can File Complaints with the Secretary**
*Comment:* The proposed rule limited those who could file a complaint
with the Secretary to individuals. A number of commenters suggested that
other persons with knowledge of a possible violation should also be able
to file complaints. Examples that were provided included a mental health
care provider with first hand knowledge of a health plan improperly
requiring disclosure of psychotherapy notes and an occupational health
nurse with knowledge that her human resources manager is improperly
reviewing medical records. A few comments raised the concern that
permitting any person to file a complaint lends itself to abuse and is
not necessary to ensure privacy rights and that the complainant should
be a person for whom there is a duty to protect health information.
*Response:* As discussed below, the rule defines "individual" as the
person who is the subject of the individually identifiable health
information. However, the covered entity may allow other persons, such
as personal representatives, to exercise the rights of the individual
under certain circumstances, e.g., for a deceased individual. We agree
with the commenters that any person may become aware of conduct by a
covered entity that is in violation of the rule. Such persons could
include the covered entity's employees, business associates, patients,
or accrediting, health oversight, or advocacy agencies or organizations.
Many persons, such as the covered entity's employees, may, in fact, be
in a better position than the "individual" to know that a violation has
occurred. Another example is a state Protection and Advocacy group that
may represent persons with developmental disabilities. We have decided
to allow complaints from any person. The term "person" is not restricted
here to human beings or natural persons, but also includes any type of
association, group, or organization.
Allowing such persons to file complaints may be the only way the
Secretary may learn of certain possible violations. Moreover,
individuals who are the subject of the information may not be willing to
file a complaint because of fear of embarrassment or retaliation. Based
on our experience with various civil rights laws, such as Title VI of
the Civil Rights Act of 1964 and Title II of the Americans with
Disabilities Act, that allow any person to file a complaint with the
Secretary, we do not believe that this practice will result in abuse.
Finally, upholding privacy protections benefits all persons who have or
may be served by the covered entity as well as the general public, and
not only the subject of the information.
If a complaint is received from someone who is not the subject of
protected health information, the person who is the subject of this
information may be concerned with the Secretary's investigation of this
complaint. While we did not receive comments on this issue, we want to
protect the privacy rights of this individual. This might involve the
Secretary seeking to contact the individual to provide information as to
how the Secretary will address individual's privacy concerns while
resolving the complaint. Contacting all individuals may not be
practicable in the case of allegations of systemic violations (e.g.,
where the allegation is that hundreds of medical records were wrongfully
disclosed).
***Requiring That a Complainant Exhaust the Covered Entity's Internal
Complaint Process Prior to Filing a Complaint with the Secretary***
*Comment:* A number of commenters, primarily health plans, suggested
that individuals should not be permitted to file a complaint with the
Secretary until they exhaust the covered entity's own complaint process.
Commenters stated that covered entities should have a certain period of
time, such as ninety days, to correct the violation. Some commenters
asserted that providing for filing a complaint with the Secretary will
be very expensive for both the public and private sectors of the health
care industry to implement. Other commenters suggested requiring the
Secretary to inform the covered entity of any complaint it has received
and not initiate an investigation or "take enforcement action" before
the covered entity has time to address the complaint.
*Response:* We have decided, for a number of reasons, to retain the
approach as presented in the proposed rule. First, we are concerned that
requiring that complainants first notify the covered entity would have a
chilling effect on complaints. In the course of investigating individual
complaints, the Secretary will often need to reveal the identity of the
complainant to the covered entity. However, in the investigation of
cases of systemic violations and some individual violations, individual
names may not need to be identified. Under the approach suggested by
these commenters, the covered entity would learn the names of all
persons who file complaints with the Secretary. Some individuals might
feel uncomfortable or fear embarrassment or retaliation revealing their
identity to the covered entity they believe has violated the regulation.
Individuals may also feel they are being forced to enter into
negotiations with this entity before they can file a complaint with the
Secretary.
Second, because some potential complainants would not bring complaints
to the covered entity, possible violations might not become known to the
Secretary and might continue. Third, the delay in the complaint coming
to the attention of the Secretary because of the time allowed for the
covered entity to resolve the complaint may mean that significant
violations are not addressed expeditiously. Finally, the process
proposed by these commenters is arguably unnecessary because an
individual who believes that an agreement can be reached with the
covered entity, can, through the entity's internal complaint process or
other means, seek resolution before filing a complaint with the
Secretary.
Our approach is consistent with other laws and regulations protecting
individual rights. None of the civil rights laws enforced by the
Secretary require a complainant to provide any notification to the
entity that is alleged to have engaged in discrimination (e.g.,
Americans with Disabilities Act, section 504 of the Rehabilitation Act,
Title VI of the Civil Rights Act, and the Age Discrimination Act). The
concept of "exhaustion" is used in laws that require individuals to
pursue administrative remedies, such as that provided by a governmental
agency, before bringing a court action. Under HIPAA, individuals do not
have a right to court action.
Some commenters seemed to believe that the Secretary would pursue
enforcement action without notifying the covered entity. It has been the
Secretary's practice in investigating cases under other laws, such as
various civil rights laws, to inform entities that we have received a
complaint against them and to seek early resolution if possible. In
enforcing the privacy rule, the Secretary will generally inform the
covered entity of the nature of any complaints it has received against
the entity. (There may be situations where information is withheld to
protect the privacy interests of the complainant or others or where
revealing information would impede the investigation of the covered
entity.) The Secretary will also generally afford the entity an
opportunity to share information with the Secretary that may result in
an early resolution. Our approach will be to seek informal resolution of
complaints whenever possible, which includes allowing covered entities a
reasonable amount of time to work with the Secretary to come into
compliance before initiating action to seek civil monetary penalties.
**Section 160.306(b)(3) - Requiring that Complaints be Filed with the
Secretary Within a Certain Period of Time**
*Comment:* A number of commenters, primarily privacy and disability
advocacy organizations, suggested that the regulation require that
complaints be filed with the Secretary by a certain time. These
commenters generally recommended that the time period for filing a
complaint should commence to run from the time when the individual knew
or had reason to know of the violation or omission. Another comment
suggested that a requirement to file a complaint with the Secretary
within 180 days of the alleged noncompliance is a problem because a
patient may, because of his or her medical condition, be unable to
access his or her records within that time frame.
*Response:* We agree with the commenters that complainants should
generally be required to submit complaints in a timely fashion. Federal
regulations implementing Title VI of the Civil Rights Act of 1964
provide that "\[a\] complaint must be filed not later than '180 days
from the date of the alleged discrimination' unless the time for filing
is extended by the responsible Department official or his designee." 45
CFR 80.7(b). Other civil rights laws, such as the Age Discrimination
Act, section 504 of the Rehabilitation Act, and Title II of the
Americans with Disabilities Act (ADA) (state and local government
services), also use this approach. Under civil rights laws administered
by the EEOC, individuals have 180 days of the alleged discriminatory act
to file a charge with EEOC (or 300 days if there is a state or local
fair employment practices agency involved).
Therefore, in the final rule we require that complaints be filed within
180 days of when the complainant knew or should have known that the act
or omission complained of occurred unless this time limit is waived by
the Secretary for good cause shown. We believe that an investigation of
a complaint is likely to be most effective if persons can be interviewed
and documents reviewed as close to the time of the alleged violation as
possible. Requiring that complaints generally be filed within a certain
period of time increases the likelihood that the Secretary will have
necessary and reliable information. Moreover, we are taking this
approach in order to encourage complainants to file complaints as soon
as possible. By receiving complaints in a timely fashion, we can, if
such complaints prove valid, reduce the harm caused by the violation.
**Section 160.308 -- Basis for Conducting Compliance Reviews**
*Comment:* A number of comments expressed concern that the Secretary
would conduct compliance reviews without having received a complaint or
having reason to believe there is noncompliance. A number of these
commenters appeared to believe that the Secretary would engage in
"routine visits." Some commenters suggested that the Secretary should
only be able to conduct compliance reviews if the Secretary has
initiated an investigation of a complaint regarding the covered entity
in the preceding twelve months. Some commenters suggested that there
should only be compliance reviews based on established criteria for
reviews (e.g., finding of "reckless disregard"). Many of these
commenters stated that cooperating with compliance reviews is
potentially burdensome and expensive.
One commenter asked whether the Secretary will have a process for
reviewing all covered entities to determine how they are complying with
requirements. This commenter questioned whether covered entities will be
required to submit plans and wait for Departmental approval.
Another commenter suggested that the Secretary specify a time limit for
the completion of a compliance review.
*Response:* We disagree with the commenters that the final rule should
restrict the Secretary's ability to conduct compliance reviews. The
Secretary needs to maintain the flexibility to conduct whatever reviews
are necessary to ensure compliance with the rule.
**Section 160.310(a) and (c) - The Secretary's Access to Information in
Determining Compliance**
*Comment:* Some commenters raised objections to provisions in the
proposed rule which required that covered entities maintain records and
submit compliance reports as the Secretary determines is necessary to
determine compliance and required that covered entities permit access by
the Secretary during normal business hours to its books, records,
accounts, and other sources of information, including protected health
information, and its facilities, that are pertinent to ascertaining
compliance with this subpart. One commenter stated that the Secretary's
access to private health information without appropriate patient consent
is contrary to the intent of HIPAA. Another commenter expressed the view
that, because covered entities face criminal penalties for violations,
these provisions violate the Fifth Amendment protections against forced
self incrimination. Other commenters stated that covered entities should
be given the reason the Secretary needs to have access to its books and
records. Another commenter stated that there should be a limit to the
frequency or extent of intrusion by the federal government into the
business practices of a covered entity and that these provisions violate
the Fourth Amendment of the Constitution.
Finally, a coalition of church plans suggested that the Secretary
provide church plans with additional procedural safeguards to reduce
unnecessary intrusion into internal church operations. These suggested
safeguards included permitting HHS to obtain records and other documents
only if they are relevant and necessary to compliance and enforcement
activities related to church plans, requiring a senior official to
determine the appropriateness of compliance-related activities for
church plans, and providing church plans with a self-correcting period
similar to that Congress expressly provided in Title I of HIPAA under
the tax code.
*Response:* The final rule retains the proposed language in these two
provisions with one change. The rule adds a provision indicating that
the Secretary's access to information held by the covered entity may be
at any time and without notice where exigent circumstances exist, such
as where time is of the essence because documents might be hidden or
destroyed. Thus, covered entities will generally receive notice before
the Secretary seeks to access the entity's books or records.
Other than the exigent circumstances language, the language in these two
provisions is virtually the same as the language in this Department's
regulation implementing Title VI of the Civil Rights Act of 1964. 45 CFR
80.6(b) and (c). The Title VI regulation is incorporated by reference in
other Department regulations prohibiting discrimination of the basis of
disability. 45 CFR 84.61. Similar provisions allowing this Department
access to recipient information is found in the Secretary's regulation
implementing the Age Discrimination Act. 45 CFR 91.34. These provisions
have not proved to be burdensome to entities that are subject to these
civil rights regulations (i.e., all recipients of Department funds).
We do not interpret Constitutional case law as supporting the view that
a federal agency's review of information pursuant to statutory mandate
violates the Fifth Amendment protections against forced self
incrimination. Nor would such a review of this information raise Fourth
Amendment problems. See discussion above regarding Constitutional
comments and responses.
We appreciate the concern that the Secretary not involve herself
unnecessarily into the internal operations of church plans. However, by
providing health insurance or care to their employees, church plans are
engaging in a secular activity. Under the regulation, church plans are
subject to the same compliance and enforcement requirements with which
other covered entities must comply. Because Congress did not carve out
specific exceptions or require stricter standards for investigations
related to church plans, incorporating such measures into the regulation
would be inappropriate.
Additionally, there is no indication that the regulation will directly
interfere with the religious practices of church plans. Also, the
regulation as written appropriately limits the ability of investigators
to obtain information from covered entities. The regulation provides
that the Secretary may obtain access only to information that is
pertinent to ascertain compliance with the regulation. We do not
anticipate asking for information that is not necessary to assess
compliance with the regulation. The purpose of obtaining records and
similar materials is to determine compliance, not to engage in any sort
of review or evaluation of religious activities or beliefs. Therefore,
we believe the regulation appropriately balances the need to access
information to determine compliance with the desire of covered entities
to avoid opening every record in their possession to the government.
***Provision of Technical Assistance***
*Comment:* A number of commenters inquired as to how a covered entity
can request technical assistance from the Secretary to come into
compliance. A number of commenters suggested that the Secretary provide
interpretive guidance to assist with compliance. Others recommended that
the Secretary have a contact person or privacy official, available by
telephone or email, to provide guidance on the appropriateness of a
disclosure or a denial of access. One commenter suggested that there be
a formal process for a covered entity to submit compliance activities to
the Secretary for prior approval and clarification. This commenter
suggested that clarifications be published on a contemporaneous basis in
the Federal Register to help correct any ambiguities and confusion in
implementation. It was also suggested that the Secretary undertake an
assessment of "best practices" of covered entities and document and
promote the findings to serve as a convenient "road map" for other
covered entities. Another commenter suggested that we work with
providers to create implementation guidelines modeled after the
interpretative guidelines that HCFA creates for surveyors on the
conditions of participation for Medicare and Medicaid contractors.
*Response:* While we have not in the final rule committed the Secretary
to any specific model of providing guidance or assistance, we do state
our intent, subject to budget and staffing constraints, to develop a
technical assistance program that will include the provision of written
material when appropriate to assist covered entities in achieving
compliance. We will consider other models including HCFA's Medicare and
Medicaid interpretative guidelines. Further information regarding the
Secretary's technical assistance program may be provided in the Federal
Register and on the HHS Office for Civil Rights (OCR) Web Site. While
OCR plans to have fully trained staff available to respond to questions,
its ability to provide individualized advice in regard to such matters
as the appropriateness of a particular disclosure or the sufficiency of
compliance activities will be based on staff resources and demands. The
idea of looking at "best practices" and sharing information with all
covered entities is a good one and we will explore how best to do this.
We note that a covered entity is not excused from compliance with the
regulation because of any failure to receive technical assistance or
guidance.
***Basis for Violation Findings and Enforcement***
*Comment:* A number of commenters asked that covered entities not be
liable for violations of the rule if they have acted in good faith. One
commenter indicated that enforcement actions should not be pursued
against covered entities that make legitimate business decisions about
how to comply with the privacy standards.
*Response:* The commenters seemed to argue that even if a covered entity
does not comply with a requirement of the rule, the covered entity
should not be liable if there was an honest and sincere intention or
attempt to fulfill its obligations. The final rule, however, does not
take this approach but instead draws careful distinctions between what a
covered entity must do unconditionally, and what a covered entity must
make certain reasonable efforts to do. In addition, the final rule is
clear as to the specific provisions where "good faith" is a
consideration. For example, a covered entity is permitted to use and
disclose protected health information without authorization based on
criteria that includes a good faith belief that such use or disclosure
is necessary to avert an imminent threat to health or safety (§
164.512(j)(1)(i)). Therefore, covered entities need to pay careful
attention to the specific language in each requirement. However, we note
that many of these provisions can be implemented in a variety of ways;
e.g, covered entities can exercise business judgement regarding how to
conduct staff training.
As to enforcement, a covered entity will not necessarily suffer a
penalty solely because an act or omission violates the rule. As we
discuss elsewhere, the Department will exercise discretion to consider
not only the harm done, but the willingness of the covered entity to
achieve voluntary compliance. Further, the Administrative Simplification
provisions of HIPAA provide that whether a violation was known or not is
relevant in determining whether civil or criminal penalties apply. In
addition, if a civil penalty applies, HIPAA allows the Secretary, where
the failure to comply was due to reasonable cause and not to willful
neglect, to delay the imposition of the penalty to allow the covered
entity to comply. The Department will develop and release for public
comment an enforcement regulation applicable to all the administrative
simplification regulations that will address these issues.
*Comment:* One commenter asked whether hospitals will be vicariously
liable for the violations of their employees and expressed concern that
hospitals and other providers will be the ones paying large fines.
*Response:* The enforcement regulation will address this issue. However,
we note that section 1128A(1) of the Social Security Act, which applies
to the imposition of civil monetary penalties under HIPAA, provides that
a principal is liable for penalties for the actions of its agent acting
within the scope of the agency. Therefore, a covered entity will
generally be responsible for the actions of its employees such as where
the employee discloses protected health information in violation of the
regulation.
*Comment:* A commenter expressed the concern that if a covered entity
acquires a non-compliant health plan, it would be liable for financial
penalties. This commenter suggested that, at a minimum, the covered
entity be given a grace period of at least a year, but not less than six
months to bring any acquisition up to standard. The commenter stated
that the Secretary should encourage, not discourage, compliant companies
to acquire non-compliant ones. Another commenter expressed a general
concern about resolution of enforcement if an entity faced with a HIPAA
complaint acquires or merges with an entity not covered by HIPAA.
*Response:* As discussed above, the Secretary will encourage voluntary
efforts to cure violations of the rule, and will consider that fact in
determining whether to bring a compliance action. We do not agree,
however, that we should limit our authority to pursue violations of the
rule if the situation warrants it.
*Comment:* One commenter was concerned about the "undue risk" of
liability on originators of information, stemming from the fact that
"the number of covered entities is limited and they are unable to
restrict how a recipient of information may use or re-disclose
information\..."
*Response:* Under this rule, we do not hold covered entities responsible
for the actions of recipients of protected health information, unless
the recipient is a business associate of the covered entity. We agree
that it is not fair to hold covered entities responsible for the actions
of persons with whom they have no on-going relationship, but believe it
is fair to expect covered entities to hold their business associates to
appropriate standards of behavior with respect to health information.
***Other Compliance and Enforcement Comments***
*Comment:* A number of comments raised questions regarding the
Secretary's priorities for enforcement. A few commenters stated that
they supported deferring enforcement until there is experience using the
proposed standards. One organization asked that we clarify that the
regulation does not replace or otherwise modify the
self-regulatory/consumer empowerment approach to consumer privacy in the
online environment.
*Response:* We have not made any decisions regarding enforcement
priorities. It appears that some commenters believe that no enforcement
action will be taken against a given covered entity until that entity
has had some time to comply. Covered entities have two years to come
into compliance with the regulation (three years in the case of small
health plans). Some covered entities will have had experience using the
standards prior to the compliance date. We do not agree that we should
defer enforcement where violations of the rule occur. It would be wrong
for covered entities to believe that enforcement action is based on
their not having much experience in using a particular standard or
meeting another requirement.
We support a self-regulation approach in that we recognize that most
compliance will be achieved by the voluntary activities of covered
entities rather than by our enforcement activities. Our emphasis will be
on education, technical assistance, and voluntary compliance and not on
finding violations and imposing penalties. We also support a consumer
empowerment approach. A knowledgeable consumer is key to the
effectiveness of this rule. A consumer familiar with the requirements of
this rule will be equipped to make choices regarding which covered
entity will best serve their privacy interests and will know their
rights under the rule and how they can seek redress for violations of
this rule. Privacy-minded consumers will seek to protect the privacy
rights of others by bringing concerns to the attention of covered
entities, the public, and the Secretary. However, we do not agree that
we should defer enforcement where violations of the rule occur.
*Comment:* One commenter expressed concern that by filing a complaint an
individual would be required to reveal sensitive information to the
public. Another commenter suggested that complaints regarding
noncompliance in regard to psychotherapy notes should be made to a panel
of mental health professionals designated by the Secretary. This
commenter also proposed that all patient information be maintained as
privileged, not be revealed to the public, and be kept under seal after
the case is reviewed and closed.
*Response:* We appreciate this concern and will seek to ensure that
individually identifiable health information and other personal
information contained in complaints will not be available to the public.
The privacy regulation provides, at § 160.310(c)(3), that protected
health information obtained by the Secretary in connection with an
investigation or compliance review will not be disclosed except if
necessary for ascertaining or enforcing compliance with the regulation
or if required by law. In addition, this Department generally seeks to
protect the privacy of individuals to the fullest extent possible, while
permitting the exchange of records required to fulfill its
administrative and program responsibilities. The Freedom of Information
Act, 5 U.S.C. 552, and the HHS implementing regulation, 45 CFR Part 5,
provide substantial protection for records about individuals where
disclosure would constitute an unwarranted invasion of their personal
privacy. In implementing the privacy regulation, OCR plans to continue
its current practice of protecting its complaint files from disclosure.
OCR treats these files as investigatory records compiled for law
enforcement purposes. Moreover, OCR maintains that disclosing protected
health information in these files generally constitutes an unwarranted
invasion of personal privacy.
It is not clear in regarding the use of mental health professionals,
whether the commenter believes that such professionals should be
involved because they would be best able to keep psychotherapy notes
confidential or because such professionals can best understand the
meaning or relevance of such notes. OCR anticipates that it will not
have to obtain a copy or review psychotherapy notes in investigating
most complaints regarding noncompliance in regard to such notes. There
may be some cases where a review of the notes may be needed such as
where we need to identify that the information a covered entity
disclosed was in fact psychotherapy notes. If we need to obtain a copy
of psychotherapy notes, we will keep these notes confidential and
secure. OCR investigative staff will be trained to ensure that they
fully respect the confidentiality of personal information. In addition,
while the specific contents of these notes is generally not relevant to
violations under this rule, if such notes are relevant, we will secure
the expertise of mental health professionals if needed in reviewing
psychotherapy notes.
*Comment:* A member of Congress and a number of privacy and consumer
groups expressed concern with whether OCR has adequate funding to carry
out the major responsibility of enforcing the complaint process
established by this rule. The Senator stated that \"\[d\]ue to the
limited enforcement ability allowed for in this rule by HIPAA, it is
essential that OCR have the capacity to enforce the regulations. Now is
the time for OCR to begin building the necessary infrastructure to
enforce the regulation effectively.\"
*Response*: We agree and are committed to an effective enforcement
program. We are working with Congress to ensure that the Secretary has
the necessary funds to secure voluntary compliance through education and
technical assistance, to investigate complaints and conduct compliance
reviews, to provide states with exception determinations, and to use
civil and criminal penalties when necessary. We will continue to work
with Congress and within the new Administration in this regard.
***Coordination with Reviewing Authorities***
*Comment:* A number of commenters referenced other entities that already
consider the privacy of health information. One commenter indicated
opposition to the delegation of inspections to third party
organizations, such as the Joint Commission on the Accreditation of
Healthcare Organizations (JCAHO). A few commenters indicated that state
agencies are already authorized to investigate violations of state
privacy standards and that we should rely on those agencies to
investigate alleged violations of the privacy rules or delegate its
complaint process to states that wish to carry out this responsibility
or to those states that have a complaint process in place. Another
commenter argued that individuals should be required to exhaust any
state processes before filing a complaint with the Secretary. Others
referenced the fact that state medical licensing boards investigate
complaints against physicians for violating patient confidentiality. One
group asked that the federal government streamline all of these
activities so physicians can have a single entity to whom they must be
responsive. Another group suggested that OMB should be given
responsibility for ensuring that FEHB Plans operate in compliance with
the privacy standards and for enforcement.
A few commenters stated that the regulation might be used as a basis for
violation findings and subsequent penalties under other Department
authorities, such as under Medicare's Conditions of Participation
related to patient privacy and right to confidentiality of medical
records. One commenter wanted some assurance that this regulation will
not be used as grounds for sanctions under Medicare. Another commenter
indicated support for making compliance with the privacy regulation a
Condition of Participation under Medicare.
*Response:* HIPAA does not give the Secretary the authority to delegate
her responsibilities to other private or public agencies such as JCAHO
or state agencies. However, we plan to explore ways that we may benefit
from current activities that also serve to protect the privacy of
individually identifiable health information. For example, if we conduct
an investigation or review of a covered entity, that entity may want to
share information regarding findings of other bodies that conducted
similar reviews. We would welcome such information. In developing its
enforcement program, we may explore ways it can coordinate with other
regulatory or oversight bodies so that we can efficiently and
effectively pursue our joint interests in protecting privacy.
We do not accept the suggestion that individuals be required to exhaust
their remedies under state law before filing a complaint with the
Secretary. Our rationale is similar to that discussed above in regard to
the suggestion that covered entities be required to exhaust a covered
entity's internal complaint process before filing a complaint with the
Secretary. Congress provided for federal privacy protection and we want
to allow individuals the right to this protection without barriers or
delay. Covered entities may in their privacy notice inform individuals
of any rights they have under state law including any right to file
privacy complaints. We do not have the authority to interfere with state
processes and HIPAA explicitly provides that we cannot preempt state
laws that provide greater privacy protection.
We have not yet addressed the issue as to whether this regulation might
be used as a basis for violation findings or penalties under other
Department authorities. We note that Medicare conditions of
participation require participating providers to have procedures for
ensuring the confidentiality of patient records, as well as afford
patients with the right to the confidentiality of their clinical
records.
***Penalties***
*Comment:* Many commenters considered the statutory penalties
insufficient to protect privacy, stating that the civil penalties are
too weak to have the impact needed to reduce the risk of inappropriate
disclosure. Some commenters took the opposing view and stated that large
fines and prison sentences for violations would discourage physicians
from transmitting any sort of health care information to any other
agency, regardless of the medical necessity. Another comment expressed
the concern that doctors will be at risk of going to jail for protecting
the privacy of individuals (by not disclosing information the government
believes should be released).
*Response:* The enforcement regulation will address the application of
the civil monetary and criminal penalties under HIPAA. The regulation
will be published in the Federal Register as a proposed regulation and
the public will have an opportunity to comment. We do not believe that
our rule, and the penalties available under it, will discourage
physicians and other providers from using or disclosing necessary
information. We believe that the rule permits physicians to make the
disclosures that they need to make under the health care system without
exposing themselves to jeopardy under the rule. We believe that the
penalties under the statute are woefully inadequate. We support
legislation that would increase the amount of these penalties.
*Comment:* A number of commenters stated that the regulations should
permit individuals to sue for damages caused by breaches of privacy
under these regulations. Some of these commenters specified that
damages, equitable relief, attorneys fees, and punitive damages should
be available. Conversely, one comment stated that strong penalties are
necessary and would preclude the need for a private right of action.
Another commenter stated that he does not believe that the statute
intended to give individuals the equivalent of a right to sue, which
results from making individuals third party beneficiaries to contracts
between business partners.
*Response:* We do not have the authority to provide a private right of
action by regulation. As discussed below, the final rule deletes the
third party beneficiary provision that was in the proposed rule.
However, we believe that, in addition to strong civil monetary
penalties, federal law should allow any individual whose rights have
been violated to bring an action for actual damages and equitable
relief. The Secretary's Recommendations, which were submitted to
Congress on September 11, 1997, called for a private right of action to
permit individuals to enforce their privacy rights.
*Comment:* One comment stated that, in calculating civil monetary
penalties, the criteria should include aggravating or mitigating
circumstances and whether the violation is a minor or first time
violation. Several comments stated that penalties should be tiered so
that those that commit the most egregious violations face stricter civil
monetary penalties.
*Response:* As mentioned above, issues regarding civil fines and
criminal penalties will be addressed in the enforcement regulation.
*Comment:* One comment stated that the regulation should clarify whether
a single disclosure that involved the health information of multiple
parties would constitute a single or multiple infractions, for the
purpose of calculating the penalty amount.
*Response:* The enforcement regulation will address the calculation of
penalties. However, we note that section 1176 subjects persons to civil
monetary penalties of not more than \$100 for each violation of a
requirement or prohibition and not more than \$25,000 in a calendar year
for all violations of an identical requirement or prohibition. For
example, if a covered entity fails to permit amendment of protected
health information for 10 patients in one calendar year, the entity may
be fined up to \$1000 (\$100 times 10 violations equals \$1000).
**PART 164 -- SUBPART A -- GENERAL REQUIREMENTS**
**PART 164 -- SUBPART B-D -- RESERVED**
**PART 164 -- SUBPART E -- PRIVACY**
**SECTION 164.500 -- APPLICABILITY**
***Covered Entities***
The response to comments on covered entities is included in the response
to comments on the definition of "covered entity" in the preamble
discussion of § 160.103.
***Covered Information***
The response to comments on covered information is included in the
response to comments on the definition of "protected health information"
in the preamble discussion of § 164.501.
**SECTION 164.501---DEFINITIONS**
***Designated record set*.**
*Comment*: Many commenters generally supported our proposed definition
of designated record set. Commenters suggested different methods for
narrowing the information accessible to individuals, such as excluding
information obtained without face-to-face interaction (e.g., phone
consultations). Other commenters recommended broadening the information
accessible to individuals, such as allowing access to "the entire
medical record," not just a designated record set. Some commenters
advocated for access to all information about individuals. A few
commenters generally supported the provision but recommended that
consultation and interpretative assistance be provided when the
disclosure may cause harm or misunderstanding.
*Response*: We believe individuals should have a right to access any
protected health information that may be used to make decisions about
them and modify the final rule to accomplish this result. This approach
facilitates an open and cooperative relationship between individuals and
covered health care providers and health plans and allows individuals
fair opportunities to know what health information may be used to make
decisions about them. We list certain records that are always part of
the designated record set. For covered providers these are the medical
record and billing record. For health plans these are the enrollment,
payment, claims adjudication, and case or medical management records.
The purpose of these specified records is management of the accounts and
health care of individuals. In addition, we include in the designated
record set to which individuals have access any record used, in whole or
in part, by or for the covered entity to make decisions about
individuals. Only protected health information that is in a designated
record set is covered. Therefore, if a covered provider has a phone
conversation, information obtained during that conversation is subject
to access only to the extent that it is recorded in the designated
record set.
We do not require a covered entity to provide access to all individually
identifiable health information, because the benefits of access to
information not used to make decisions about individuals is limited and
is outweighed by the burdens on covered entities of locating,
retrieving, and providing access to such information. Such information
may be found in many types of records that include significant
information not relevant to the individual as well as information about
other persons. For example, a hospital's peer review files that include
protected health information about many patients but are used only to
improve patient care at the hospital, and not to make decisions about
individuals, are not part of that hospital's designated record sets.
We encourage but do not require covered entities to provide interpretive
assistance to individuals accessing their information, because such a
requirement could impose administrative burdens that outweigh the
benefits likely to accrue.
The importance to individuals of having the right to inspect and copy
information about them is supported by a variety of industry groups and
is recognized in current state and federal law. The July 1977 Report of
the Privacy Protection Study Commission recommended that individuals
have access to medical records and medical record information.[^2] The
Privacy Act (5 U.S.C. 552a) requires government agencies to permit
individuals to review records and have a copy made in a form
comprehensible to the individual. In its report "Best Principles for
Health Privacy," the Health Privacy Working Group recommended that
individuals should have the right to access information about them.[^3]
The National Association of Insurance Commissioners' Health Information
Privacy Model Act establishes the right of an individual to examine or
receive a copy of protected health information in the possession of the
carrier or a person acting on behalf of the carrier.
Many states also establish a right for individuals to access health
information about them. For example, Alaska law (AK Code 18.23.005)
entitles patients "to inspect and copy any records developed or
maintained by a health care provider or other person pertaining to the
health care rendered to the patient." Hawaii law (HRS section 323C-11)
requires health care providers and health plans, among others, to permit
individuals to inspect and copy protected health information about them.
Many other states have similar provisions.
Industry and standard-setting organizations also have developed policies
to enable individual access to health information. The National
Committee for Quality Assurance and the Joint Commission on
Accreditation of Healthcare Organizations issued recommendations
stating, "Patients' confidence in the protection of their information
requires that they have the means to know what is contained in their
records. The opportunity for patients to review their records will
enable them to correct any errors and may provide them with a better
understanding of their health status and treatment."[^4] Standards of
the American Society for Testing and Materials state, "The patient or
his or her designated personal representative has access rights to the
data and information in his or her health record and other health
information databases except as restricted by law. An individual should
be able to inspect or see his or her health information or request a
copy of all or part of the health information, or both."[^5] We build on
this well-established principle in this final rule.
*Comment*: Several commenters advocated for access to not only
information that has already been used to make decisions, but also
information that may be used to make decisions. Other commenters
believed accessible information should be more limited; for example,
some commenters argued that accessible information should be restricted
to only information used to make health care decisions.
*Response*: We agree that it is desirable that individuals have access
to information reasonably likely to be used to make decisions about
them. On the other hand, it is desirable that the category of records
covered be readily ascertainable by the covered entity. We therefore
define "designated record set" to include certain categories of records
(a provider's medical record and billing record, the enrollment records,
and certain other records maintained by a health plan) that are normally
used, and are reasonably likely to be used, to make decisions about
individuals. We also add a category of other records that are, in fact,
used, in whole or in part, to make decisions about individuals. This
category includes records that are used to make decisions about any
individuals, whether or not the records have been used to make a
decision about the particular individual requesting access.
We disagree that accessible information should be restricted to
information used to make health care decisions, because other decisions
by covered entities can also affect individuals' interests. For example,
covered entities make financial decisions about individuals, such as
whether an individual's deductible has been met. Because such decisions
can significantly affect individuals' interests, we believe they should
have access to any protected health information included in such
records.
*Comment*: Some commenters believed the rule should use the term
"retrievable" instead of "retrieved" to describe information accessible
to individuals. Other commenters suggested that the rule follow the
Privacy Act's principle of allowing access only when entities retrieve
records by individual identifiers. Some commenters requested
clarification that covered entities are not required to maintain
information by name or other patient identifier.
*Response*: We have modified the proposed definition of the designated
record set to focus on how information is used, not how it is retrieved.
Information may be retrieved or retrievable by name, but if it is never
used to make decisions about any individuals, the burdens of requiring a
covered entity to find it and to redact information about other
individuals outweigh any benefits to the individual of having access to
the information. When the information might be used to affect the
individual's interests, however, that balance changes and the benefits
outweigh the burdens. We confirm that this regulation does not require
covered entities to maintain any particular record set by name or
identifier.
*Comment*: A few commenters recommended denial of access for information
relating to investigations of claims, fraud, and misrepresentations.
Many commenters suggested that sensitive, proprietary, and legal
documents that are "typical state law privileges" be excluded from the
right to access. Specific suggestions for exclusion, either from the
right of access or from the definition of designated record set, include
quality assurance activities, information related to medical appeals,
peer review and credentialing, attorney-client information, and
compliance committee activities. Some commenters suggested excluding
information already supplied to individuals on previous requests and
information related to health care operations. However, some commenters
felt that such information was already excluded from the definition of
designated record set. Other commenters requested clarification that
this provision will not prevent patients from getting information
related to medical malpractice.
*Response*: We do not agree that records in these categories are never
used to affect the interests of individuals. For example, while
protected health information used for peer review and quality assurance
activities typically would not be used to make decisions about
individuals, and, thus, typically would not be part of a designated
record set, we cannot say that this is true in all cases. We design this
provision to be sufficiently flexible to work with the varying practices
of covered entities.
The rule addresses several of these comments by excepting from the
access provisions (§ 164.524) information compiled in reasonable
anticipation of, or for use in, a civil, criminal, or administrative
action or proceeding. Similarly, nothing in this rule requires a covered
entity to divulge information covered by physician-patient or similar
privilege. Under the access provisions, a covered entity may redact
information in a record about other persons or information obtained
under a promise of confidentiality, prior to releasing the information
to the individual. We clarify that nothing in this provision would
prevent access to information needed to prosecute or defend a medical
malpractice action; the rules of the relevant court determine such
access.
We found no persuasive evidence to support excluding information already
supplied to individuals on previous requests. The burdens of tracking
requests and the information provided pursuant to requests outweigh the
burdens of providing the access requested. A covered entity may,
however, discuss the scope of the request for access with the individual
to facilitate the timely provision of access. For example, if the
individual agrees, the covered entity could supply only the information
created or received since the date access was last granted.
***Disclosure*.**
*Comment*: A number of commenters asked that the definition of
"disclosure" be modified so that it is clear that it does not include
the release, transfer, provision of access to, or divulging in any other
manner of protected health information to the individual who is the
subject of that information. It was suggested that we revise the
definition in this way to clarify that a health care provider may
release protected health information to the subject of the information
without first requiring that the patient complete an authorization form.
*Response:* We agree with the commenters' concern, but accomplish this
result through a different provision in the regulation. In § 164.502 of
this final rule, we specify that disclosures of protected health
information to the individual are not subject to the limitations on
disclosure of protected health information otherwise imposed by this
rule.
*Comment:* A number of commenters stated that the regulation should not
apply to disclosures occurring within or among different subsidiaries or
components of the same entity. One commenter interpreted "disclosure" to
mean outside the agency or, in the case of a state Department of Health,
outside sister agencies and offices that directly assist the Secretary
in performing Medicaid functions and are listed in the state plan as
entitled to receive Medicaid data.
*Response:* We agree that there are circumstances under which related
organizations may be treated as a single covered entity for purposes of
protecting the privacy of health information, and modify the rule to
accommodate such circumstances. In § 164.504 of the final rule, we
specify the conditions under which affiliated companies may combine into
a single covered entity and similarly describe which components of a
larger organization must comply with the requirements of this rule. For
example, transfers of information within the designated component or
affiliated entity are uses while transfers of information outside the
designated component or affiliated entity are disclosures. See the
discussion of § 164.504 for further information and rationale. It is not
clear from these comments whether the particular organizational
arrangements described could constitute a single covered entity.
*Comment:* A commenter noted that the definition of "disclosure" should
reflect that health plan correspondence containing protected health
information, such as Explanation of Benefits (EOBs), is frequently sent
to the policyholder. Therefore, it was suggested that the words
"provision of access to" be deleted from the definition and that a
"disclosure" be clarified to include the conveyance of protected health
information to a third party.
*Response:* The definition is, on its face, broad enough to cover the
transfers of information described and so is not changed. We agree that
health plans must be able to send EOBs to policyholders. Sending EOB
correspondence to a policyholder by a covered entity is a disclosure for
purposes of this rule, but it is a disclosure for purposes of payment.
Therefore, subject to the provisions of § 164.522(b) regarding
Confidential Communications, it is permitted even if it discloses to the
policyholder protected health information about another individual (see
below).
***Health care operations*.**
*Comment:* Several commenters stated that the list of activities within
the definition of health care operations was too broad and should be
narrowed. They asserted that the definition should be limited to exclude
activities that have little or no connection to the care of a particular
patient or to only include emergency treatment situations or situations
constituting a clear and present danger to oneself or others.
*Response:* We disagree. We believe that narrowing the definition in the
manner requested will place serious burdens on covered entities and
impair their ability to conduct legitimate business and management
functions.
*Comment*: Many commenters, including physician groups, consumer groups,
and privacy advocates, argued that we should limit the information that
can be used for health care operations to de-identified data. They
argued that if an activity could be done with de-identified data, it
should not be incorporated in the definition of health care operations.
*Response:* We disagree. We believe that many activities necessary for
the business and administrative operations of health plans and health
care providers are not possible with de-identified information or are
possible only under unduly burdensome circumstances. For example,
identified information may be used or disclosed during an audit of
claims, for a plan to contact a provider about alternative treatments
for specific patients, and in reviewing the competence of health care
professionals. Further, not all covered entities have the same ability
to de-identify protected health information. Covered entities with
highly automated information systems will be able to use de-identified
data for many purposes. Other covered entities maintain most of their
records on paper, so a requirement to de-identify information would
place too great a burden on the legitimate and routine business
functions included in the definition of health care operations. Small
business, which are most likely to have largely paper records, would
find such a blanket requirement particularly burdensome.
Protected health information that is de-identified pursuant to §
164.514(a) is not subject to this rule. We hope this provides covered
entities capable of de-identifying information with the incentive to do
so.
*Comment:* Some commenters requested that we permit the use of
demographic data (geographic, location, age, gender, and race) separate
from all other data for health care operations. They argued that
demographic data was needed to establish provider networks and monitor
providers to ensure that the needs of ethnic and minority populations
were being addressed.
*Response*: The use of demographic data for the stated purposes is
within the definition of health care operations; a special rule is not
necessary.
*Comment*: Some commenters pointed out that the definition of health
care operations is similar to, and at times overlaps with, the
definition of research. In addition, a number of commenters questioned
whether or not research conducted by the covered entity or its business
partner must only be applicable to and used within the covered entity to
be considered health care operations. Others questioned whether such
studies or research performed internal to a covered entity are "health
care operations" even if generalizable results may be produced.
*Response*: We agree that some health care operations have many of the
characteristics of research studies and in the NPRM asked for comments
on how to make this distinction. While a clear answer was not suggested
in any of the comments, the comments generally together with our fact
finding lead to the provisions in the final rule. The distinction
between health care operations and research rests on whether the primary
purpose of the study is to produce "generalizable knowledge." We have
modified the definition of health care operations to include "quality
assessment and improvement activities, including outcomes evaluation and
development of clinical guidelines, *provided that the obtaining of
generalizable knowledge is not the primary purpose of any studies
resulting from such activities*." If the primary purpose of the activity
is to produce generalizable knowledge, the activity fits within this
rule's definition of "research" and the covered entity must comply with
§§ 164.508 or 164.512, including obtaining an authorization or the
approval of an institutional review board or privacy board. If not and
the activity otherwise meets the definition of health care operations,
the activity is not research and may be conducted under the health care
operations provisions of this rule.
In some instances, the primary purpose of the activity may change as
preliminary results are analyzed. An activity that was initiated as an
internal outcomes evaluation may produce information that the covered
entity wants to generalize. If the purpose of a study changes and the
covered entity does intend to generalize the results, the covered entity
should document the change in status of the activity to establish that
they did not violate the requirements of this rule. (See definition of
"research," below, for further information on the distinction between
"research" and "health care operations.")
We note that the difficulty in determining when an activity is for the
internal operations of an entity and when it is a research activity is a
long-standing issue in the industry. The variation among commenters'
views is one of many indications that, today, there is not consensus on
how to draw this line. We do not resolve the larger issue here, but
instead provide requirements specific to the information covered by this
rule.
*Comment*: Several commenters asked that disease management and
disability management activities be explicitly included in the
definition of health care operations. Many health plans asserted that
they would not be able to provide disease management, wellness, and
health promotion activities if the activity were solely captured in the
rule's definition of "treatment." They also expressed concern that
"treatment" usually applies to an individual, not to a population, as is
the practice for disease management.
*Response*: We were unable to find generally accepted definitions of the
terms 'disease management' and 'disability management.' Rather than rely
on this label, we include many of the functions often included in
discussions of disease management in this definition or in the
definition of treatment, and modify both definitions to address the
commenters' concerns. For example, we have revised the definition of
health care operations to include population-based activities related to
improving health or reducing health care costs. This topic is discussed
further in the comment responses regarding the definition of
'treatment,' below.
*Comment:* Several commenters urged that the definition of health care
operations be illustrative and flexible, rather than structured in the
form of a list as in the proposed rule. They believed it would be
impossible to identify all the activities that constitute health care
operations. Commenters representing health plans were concerned that the
"static" nature of the definition would stifle innovation and could not
reflect the new functions that health plans may develop in the future
that benefit consumers, improve quality, and reduce costs. Other
commenters, expressed support for the approach taken in the proposed
rule, but felt the list was too broad.
*Response:* In the final rule, we revise the proposed definition of
health care operations to broaden the list of activities included, but
we do not agree with the comments asking for an illustrative definition
rather than an inclusive list. Instead, we describe the activities that
constitute health care operations in broad terms and categories, such as
"quality assessment" and "business planning and development." We believe
the use of broadly stated categories will allow industry innovation, but
without the privacy risks entailed in an illustrative approach.
*Comment*: Several commenters noted that utilization review and internal
quality review should be included in the definition. They pointed out
that both of these activities were discussed in the preamble to the
proposed rule but were not incorporated into the regulation text.
*Response*: We agree and have modified the regulation text to
incorporate quality assessment and improvement activities, including the
development of clinical guidelines and protocol development.
*Comment:* Several commenters stated that the proposal did not provide
sufficient guidance regarding compiling and analyzing information in
anticipation of or for use in legal proceedings. In particular, they
raised concerns about the lack of specificity as to when "anticipation"
would be triggered.
*Response:* We agree that this provision was confusing and have replaced
it with a broader reference to conducting or arranging for legal
services generally.
*Comment*: Hospital representatives pointed out the pressure on health
care facilities to improve cost efficiencies, make cost-effectiveness
studies, and benchmark essential health care operations. They emphasized
that such activities often use identifiable patient information,
although the products of the analyses usually do not contain
identifiable health information. Commenters representing state hospital
associations pointed out that they routinely receive protected health
information from hospitals for analyses that are used by member
hospitals for such things as quality of care benchmark comparisons,
market share analysis, determining physician utilization of hospital
resources, and charge comparisons.
*Response:* We have expanded the definition of health care operations to
include use and disclosure of protected health information for the
important functions noted by these commenters. We also allow a covered
entity to engage a business associate to provide data aggregation
services. See § 164.504(e).
*Comment*: Several commenters argued that many activities that are
integral to the day-to-day operations of a health plan have not been
included in the definition. Examples provided by the commenters include:
issuing plan identification cards, customer service, computer
maintenance, storage and back-up of radiologic images, and the
installation and servicing of medical equipment or computer systems.
*Response*: We agree with the commenters that there are activities not
directly part of treatment or payment that are more closely associated
with the administrative or clerical functions of the plan or provider
that need to be included in the definition. To include such activities
in the definition of health care operations, we eliminate the
requirement that health care operations be directly related to treatment
and payment, and we add to this definition the new categories of
business management (including general administrative activities) and
business planning activities.
*Comment*: One commenter asked for clarification on whether cost-related
analyses could also be done by providers as well as health plans.
*Response*: Health care operations, including business management
functions, are not limited to health plans. Any covered entity can
perform health care operations.
*Comment:* One commenter stated that the proposed rule did not address
what happens to records when a covered entity is sold or merged with
another entity.
*Response:* We agree and add to the definition of health care operations
disclosures of protected health information for due diligence to a
covered entity that is a potential successor in interest. This provision
includes disclosures pursuant to the sale of a covered entity\'s
business as a going concern, mergers, acquisitions, consolidations, and
other similar types of corporate restructuring between covered entities,
including a division of a covered entity, and to an entity that is not a
covered entity but will become a covered entity if the reorganization or
sale is completed. Other types of sales of assets, or disclosures to
organizations that are not and would not become covered entities, are
not included in the definition of health care operations and could only
occur if the covered entity obtained valid authorization for such
disclosure in accordance with § 164.508 or if the disclosure is
otherwise permitted under this rule.
Once a covered entity is sold or merged with another covered entity, the
successor in interest becomes responsible for complying with this
regulation with respect to the transferred information.
*Comment*: Several commenters expressed concern that the definition of
health care operations failed to include the use of protected health
information for the underwriting of new health care policies and took
issue with the exclusion of uses and disclosures of protected health
information of prospective enrollees. They expressed the concern that
limiting health care operations to the underwriting and rating of
existing members places a health plan in the position of not being able
to evaluate prudently and underwrite a consumer's health care risk.
*Response*: We agree that covered entities should be able to use the
protected health information of prospective enrollees to underwrite and
rate new business and change the definition of health care operations
accordingly. The definition of health care operations below includes
underwriting, premium rating, and other activities related to the
creation of a contract of health insurance.
*Comment*: Several commenters stated that group health plans needed to
be able to use and disclose protected health information for purposes of
soliciting a contract with a new carrier and rate setting.
*Response*: We agree and add "activities relating to the \...
replacement of a contract of insurance" to cover such disclosures. See §
164.504 for the rules for plan sponsors of group health plans to obtain
such information.
*Comment*: Commenters from the business community supported our
recognition of the importance of financial risk transfer mechanisms in
the health care marketplace by including "reinsurance" in the definition
of health care operations. However, they stated that the term
"reinsurance" alone was not adequate to capture "stop-loss insurance"
(also referred to as excess of loss insurance), another type of risk
transfer insurance.
*Response*: We agree with the commenters that stop-loss and excess of
loss insurance are functionally equivalent to reinsurance and add these
to the definition of health care operations.
*Comment*: Commenters from the employer community explained that there
is a trend among employers to contract with a single insurer for all
their insurance needs (health, disability, workers' compensation). They
stated that in these integrated systems, employee health information is
shared among the various programs in the system. The commenters believed
the existing definition poses obstacles for those employers utilizing an
integrated health system because of the need to obtain authorizations
before being permitted to use protected health information from the
health plan to administer or audit their disability or workers'
compensation plan.
Other commenters representing employers stated that some employers
wanted to combine health information from different insurers and health
plans providing employee benefits to their workforces, including its
group health plan, workers' compensation insurers, and disability
insurers, so that they could have more information in order to better
manage the occurrences of disability and illness among their workforces.
They expressed concern that the proposed rule would not permit such
sharing of information.
*Response:* While we agree that integrating health information from
different benefit programs may produce efficiencies as well as benefits
for individuals, the integration also raises significant privacy
concerns, particularly if there are no safeguards on uses and
disclosures from the integrated data. Under HIPAA, we do not have
jurisdiction over many types of insurers that use health information,
such as workers' compensation insurers or insurers providing disability
income benefits, and we cannot address the extent to which they provide
individually identifiable health information to a health plan, nor do we
prohibit a health plan from receiving such information. Once a health
plan receives identifiable health information, however, the information
becomes protected and may only be used and disclosed as otherwise
permitted by this rule.
We clarify, however, that a covered entity may provide data and
statistical analyses for its customers as a health care operation,
provided that it does not disclose protected health information in a way
that would otherwise violate this rule. A group health plan or health
insurance issuer or HMO, or their business associate on their behalf,
may perform such analyses for an employer customer and provide the
results in de-identified form to the customer, using integrated data
received from other insurers, as long as protected health information is
not disclosed in violation of this rule. See the definition of "health
care operations," § 164.501. If the employer sponsors more than one
group health plan, or if its group health plan provides coverage through
more than one health insurance issuer or HMO, the different covered
entities may be an organized health care arrangement and be able to
jointly participate in such an analysis as part of the health care
operations of such organized health care arrangement. See the
definitions of "health care operations" and "organized health care
arrangement," § 164.501. We further clarify that a plan sponsor
providing plan administration to a group health plan may participate in
such an analysis, provided that the requirements of § 164.504(f) and
other parts of this rule are met.
The results described above are the same whether the health information
that is being combined is from separate insurers or from one entity that
has a health component and also provides excepted benefits. See the
discussion relating to health care components, § 164.504.
We note that under the arrangements described above, the final rule
provides substantial flexibility to covered entities to provide general
data and statistical analyses, resulting in the disclosure of
de-identified information, to employers and other customers. An employer
also may receive protected health information from a covered entity for
any purpose, including those described in comment above, with the
authorization of the individual. See § 164.508.
*Comment*: A number of commenters asserted that the proposed definition
appeared to limit training and educational activities to that of health
care professionals, students, and trainees. They asked that we expand
the definition to include other education-related activities, such as
continuing education for providers and training of non-health care
professionals as needed for supporting treatment or payment.
*Response*: We agree with the commenters that the definition of health
care operations was unnecessarily limiting with respect to educational
activities and expand the definition of health care operations to
include "conducting training programs in which students, trainees, or
practitioners in areas of health care learn under supervision to
practice or improve their skills as health care providers." We clarify
that medical rounds are considered treatment, not health care
operations.
*Comment*: A few commenters outlined the need to include the training of
non-health care professionals, such as health data analysts,
administrators, and computer programmers within the definition of health
care operations. It was argued that, in many cases, these professionals
perform functions which support treatment and payment and will need
access to protected health information in order to carry out their
responsibilities.
*Response*: We agree and expand the definition of health care operations
to include training of non-health care professionals.
*Comment*: One commenter stated that the definition did not explicitly
include physician credentialing and peer review.
*Response*: We have revised the definition to specifically include
"licensing or credentialing activities." In addition, peer review
activities are captured in the definition as reviewing the competence or
qualifications of health care professionals and evaluating practitioner
and provider performance.
***Health oversight agency*.**
*Comment:* Some commenters sought to have specific organizations defined
as health oversight agencies. For example, some commenters asked that
the regulation text, rather than the preamble, explicitly list state
insurance departments as an example of health oversight agencies.
Medical device manufacturers recommended expanding the definition to
include government contractors such as coding committees, which provide
data to HCFA to help the agency make reimbursement decisions.
One federal agency sought clarification that several of its sub-agencies
were oversight agencies; it was concerned about its status in part
because the agency fits into more than one of the categories of health
oversight agency listed in the proposed rule.
Other commenters recommended expanding the definition of oversight
agency to include private-sector accreditation organizations. One
commenter recommended stating in the final rule that private companies
providing information to insurers and employers are not included in the
definition of health oversight agency.
*Response:* Because the range of health oversight agencies is so broad,
we do not include specific examples in the definition. We include many
examples in the preamble above and provide further clarity here.
As under the NPRM, state insurance departments are an example of a
health oversight agency. A commenter concerned about state trauma
registries did not describe the registries' activities or legal
charters, so we cannot clarify whether such registries may be health
oversight agencies. Government contractors such as coding committees,
which provide data to HCFA to support payment processes, are not thereby
health oversight agencies under this rule. We clarify that public
agencies may fit into more than one category of health oversight agency.
The definition of health oversight agency does not include
private-sector accreditation organizations. While their work can promote
quality in the health care delivery system, private accreditation
organizations are not authorized by law to oversee the health care
system or government programs in which health information is necessary
to determine eligibility or compliance, or to enforce civil rights laws
for which health information is relevant. Under the final rule, we
consider private accrediting groups to be performing a health care
operations function for covered entities. Thus, disclosures to private
accrediting organizations are disclosures for health care operations,
not for oversight purposes.
When they are performing accreditation activities for a covered entity,
private accrediting organizations will meet the definition of business
associate, and the covered entity must enter into a business associate
contract with the accrediting organization in order to disclose
protected health information. This is consistent with current practice;
today, accrediting organizations perform their work pursuant to
contracts with the accredited entity. This approach is also consistent
with the recommendation by the Joint Commission on Accreditation of
Healthcare Organizations and the National Committee for Quality
Assurance, which stated in their report titled [Protecting Personal
Health Information: A Framework for Meeting the Challenges in a Managed
Care Environment]{.underline} (1998) that "Oversight organizations,
including accrediting bodies, states, and federal agencies, should
include in their contracts terms that describe their responsibility to
maintain the confidentiality of any personally identifiable health
information that they review."
We agree with the commenter who believed that private companies
providing information to insurers and employers are not performing an
oversight function; the definition of health oversight agency does not
include such companies.
In developing and clarifying the definition of health oversight in the
final rule, we seek to achieve a balance in accounting for the full
range of activities that public agencies may undertake to perform their
health oversight functions while establishing clear and appropriate
boundaries on the definition so that it does not become a catch-all
category that public and private agencies could use to justify any
request for information.
***Individual*.**
*Comment:* A few commenters stated that foreign military and diplomatic
personnel, and their dependents, and overseas foreign national
beneficiaries, should not be excluded from the definition of
"individual."
*Response:* We agree with concerns stated by commenters and eliminate
these exclusions from the definition of "individual" in the final rule.
Special rules for use and disclosure of protected health information
about foreign military personnel are stated in § 164.512(k). Under the
final rule, protected health information about diplomatic personnel is
not accorded special treatment. While the exclusion of overseas foreign
national beneficiaries has been deleted from the definition of
"individual," we have revised § 164.500 to indicate that the rule does
not apply to the Department of Defense or other federal agencies or
non-governmental organizations acting on its behalf when providing
health care to overseas foreign national beneficiaries. This means that
the rule will not cover any health information created incident to the
provision of health care to foreign nationals overseas by U.S. sponsored
missions or operations. (See § 164.500 and its corresponding preamble
for details and the rationale for this policy.)
*Comment:* Several commenters expressed concern about the
interrelationship of the definition of "individual" and the two year
privacy protection for deceased persons.
*Response:* In the final rule, we eliminate the two year limit on
privacy protection for protected health information about deceased
individuals and require covered entities to comply with the requirements
of the rule with respect to the protected health information of deceased
individuals as long as they hold such information. See discussion under
§ 164.502.
***Individually identifiable health information*.**
*Comment:* A number of commenters suggested that HHS revise the
definitions of health information and individually identifiable health
information to include consistent language in paragraph (1) of each
respective definition. They observed that paragraph (1) of the
definition of health information reads: "(1) Is created or received *by*
a health care provider, health plan, *public health authority,*
employer*, life insurer, school or university,* or health care
clearinghouse\...;" in contrast to paragraph (1) of the definition of
individually identifiable health information, which reads: "(1) Is
created by or received *from* a health care provider, health plan,
employer, or health care clearinghouse\..." \[Emphasis added.\]
Another commenter asked that we delete from the definition of health
information, the words "health or" to make the definition more
consistent with the definition of "health care," as well as the words
"whether oral or."
*Response:* We define these terms in the final rule as they are defined
by Congress in sections 1171(4) and 1171(6) of the Act, respectively. We
have, however, changed the word "from" in the definition of
"individually identifiable health information" to conform to the
statute.
*Comment:* Several commenters urged that the definition of individually
identifiable health information include information created or received
by a researcher. They reasoned that it is important to ensure that
researchers using personally identifiable health information are subject
to federal privacy standards. They also stated that if information
created by a school regarding the health status of its students could be
labeled "health information," then information compiled by a clinical
researcher regarding an individual also should be considered health
information.
*Response:* We are restricted to the statutory limits of the terms. The
Congress did not include information created or received by a researcher
in either definition, and, consequently, we do not include such language
in the rule's definitions.
*Comment:* Several commenters suggested modifying the definition of
individually identifiable health information to state as a condition
that the information provide a direct means of identifying the
individual. They commented that the rule should support the need of
those (e.g., researchers) who need "ready access to health
information\... that remains linkable to specific individuals."
*Response:* The Congress included in the statutory definition of
individually identifiable health information the modifier "reasonable
basis" when describing the condition for determining whether information
can be used to identify the individual. Congress thus intended to go
beyond "direct" identification and to encompass circumstances in which a
reasonable likelihood of identification exists. Even after removing
"direct" or "obvious" identifiers of information, a risk or probability
of identification of the subject of the information may remain; in some
instances, the risk will not be inconsequential. Thus, we agree with the
Congress that "reasonable basis" is the appropriate standard to
adequately protect the privacy of individuals' health information.
*Comment:* A number of commenters suggested that the Secretary eliminate
the distinction between protected health information and individually
identifiable health information. One commenter asserted that all
individually identifiable health information should be protected. One
commenter observed that the terms individually identifiable health
information and protected health information are defined differently in
the rule and requested clarification as to the precise scope of coverage
of the standards. Another commenter stated that the definition of
individually identifiable health information includes "employer,"
whereas protected health information pertains only to covered entities
for which employers are not included. The commenter argued that this was
an "incongruity" between the definitions of individually identifiable
health information and protected health information and recommended that
we remove "employer" from the definition of individually identifiable
health information.
*Response:* We define individually identifiable health information in
the final rule generally as it is defined by Congress in section 1171(6)
of the Act. Because "employer" is included in the statutory definition,
we cannot accept the comment to remove the word "employer" from the
regulatory definition.
We use the phrase 'protected health information' to distinguish between
the individually identifiable health information that is used or
disclosed by the entities that are subject to this rule and the entire
universe of individually identifiable health information. 'Individually
identifiable health information' as defined in the statute is not
limited to health information used or disclosed by covered entities, so
the qualifying phrase 'protected health information' is necessary to
define that individually identifiable health information to which this
rule applies.
*Comment:* One commenter noted that the definition of individually
identifiable health information in the NPRM appeared to be the same
definition used in the other HIPAA proposed rule, Security and
Electronic Signature Standards (63 FR 43242). However, the commenter
stated that the additional condition in the privacy NPRM, that protected
health information is or has been electronically transmitted or
electronically maintained by a covered entity and includes such
information in any other form, appears to create potential disparity
between the requirements of the two rules. The commenter questioned
whether the provisions in proposed § 164.518(c) were an attempt to
install similar security safeguards for such situations.
*Response:* The statutory definition of individually identifiable health
information applies to the entire Administrative Simplification subtitle
of HIPAA and, thus, was included in the proposed Security Standards. At
this time, however, the final Security Standards have not been
published, so the definition of protected health information is relevant
only to HIPAA's privacy standards and is, therefore, included in Subpart
E of Part 164 only. We clarify that the requirements in the proposed
Security Standards are distinct and separate from the privacy safeguards
promulgated in this final rule.
*Comment:* Several commenters expressed confusion and requested
clarification as to what is considered health information or
individually identifiable health information for purposes of the rule.
For example, one commenter was concerned that information exists in
collection agencies, credit bureaus, etc., which could be included under
the proposed regulation but may or may not have been originally obtained
by a covered entity. The commenter noted that generally this information
is not clinical, but it could be inferred from the data that a health
care provider provided a person or member of person's family with health
care services. The commenter urged the Secretary to define more clearly
what and when information is covered.
One commenter queried how a non-medical record keeper could tell when
personal information is health information within the meaning of rule,
e.g., when a worker asks for a low salt meal in a company cafeteria,
when a travel voucher of an employee indicates that the traveler
returned from an area that had an outbreak of fever, or when an airline
passenger requests a wheel chair. It was suggested that the rule cover
health information in the hands of schools, employers, and life insurers
only when they receive individually identifiable health information from
a covered entity or when they create it while providing treatment or
making payment.
*Response:* This rule applies only to individually identifiable health
information that is held by a covered entity. Credit bureaus, airlines,
schools, and life insurers are not covered entities, so the information
described in the above comments is not protected health information.
Similarly, employers are not covered entities under the rule. Covered
entities must comply with this regulation in their health care capacity,
not in their capacity as employers. For example, information in hospital
personnel files about a nurses' sick leave is not protected health
information under this rule.
*Comment:* One commenter recommended that the privacy of health
information should relate to actual medical records. The commenter
expressed concern about the definition's broadness and contended that
applying prescriptive rules to information that health plans hold will
not only delay processing of claims and coverage decisions, but
ultimately affect the quality and cost of care for health care
consumers.
*Response:* We disagree. Health information about individuals exists in
many types of records, not just the formal medical record about the
individual. Limiting the rule's protections to individually identifiable
health information contained in medical records, rather than
individually identifiable health information in any form, would omit a
significant amount of individually identifiable health information,
including much information in covered transactions.
*Comment:* One commenter voiced a need for a single standard for
individually identifiable health information and disability and workers'
compensation information; each category of information is located in
their one electronic data base, but would be subjected to a different
set of use and transmission rules.
*Response:* We agree that a uniform, comprehensive privacy standard is
desirable. However, our authority under the HIPAA is limited to
individually identifiable health information as it is defined in the
statute. The legislative history of HIPAA makes clear that workers'
compensation and disability benefits programs were not intended to be
covered by the rule. Entities are of course free to apply the
protections required by this rule to all health information they hold,
including the excepted benefits information, if they wish to do so (for
example, in order to reduce administrative burden).
*Comment:* Commenters recommended that the definition of individually
identifiable health information not include demographic information that
does not have any additional health, treatment, or payment information
with it. Another commenter recommended that protected health information
should not include demographic information at all.
*Response*: Congress explicitly included demographic information in the
statutory definition of this term, so we include such language in our
regulatory definition of it.
*Comments:* A number of commenters expressed concern about whether
references to personal information about individuals, such as "John Doe
is fit to work as a pipe fitter \..." or "Jane Roe can stand no more
than 2 hours \...", would be considered individually identifiable health
information. They argued that such "fitness-to-work" and "fitness for
duty" statements are not health care because they do not reveal the type
of information (such as the diagnosis) that is detrimental to an
individual's privacy interest in the work environment.
*Response:* References to personal information such as those suggested
by the commenters could be individually identifiable health information
if the references were created or received by a health care provider,
health plan, employer, or health care clearinghouse and they related to
the past, present, or future physical or mental health or condition, the
provision of health care to an individual, or the past, present, or
future payment for the provision of health care to an individual.
Although these fitness for duty statements may not reveal a diagnosis,
they do relate to a present physical or mental condition of an
individual because they describe the individual's capacity to perform
the physical and mental requirements of a particular job at the time the
statement is made (even though there may be other non-health-based
qualifications for the job). If these statements were created or
received by one of more of the entities described above, they would be
individually identifiable health information.
***Law enforcement official*.**
*Comment:* Some commenters, particularly those representing health care
providers, expressed concern that the proposed definition of "law
enforcement official" could have allowed many government officials
without health care oversight duties to obtain access to protected
health information without patient consent.
*Response:* We do not intend for the definition of "law enforcement
official" to be limited to officials with responsibilities directly
related to health care. Law enforcement officials may need protected
health information for investigations or prosecutions unrelated to
health care, such as investigations of violent crime, criminal fraud, or
crimes committed on the premises of health care providers. For these
reasons, we believe it is not appropriate to limit the definition of
"law enforcement official" to persons with responsibilities oversight of
the health care system.
*Comment:* A few commenters expressed concern that the proposed
definition could include any county or municipal official, even those
without traditional law enforcement training. *Response:* We do not
believe that determining training requirements for law enforcement
officials is appropriately within the purview of this regulation;
therefore, we do not make the changes that these commenters requested.
*Comment:* Some commenters, particularly those from the district
attorney community, expressed general concern that the proposed
definition of "law enforcement official" was too narrow to account for
the variation in state interpretations of law enforcement officials'
power. One group noted specifically that the proposed definition could
have prevented prosecutors from gaining access to needed protected
health information.
*Response:* We agree that protected health information may be needed by
law enforcement officials for both investigations and prosecutions. We
did not intend to exclude the prosecutorial function from the definition
of "law enforcement official ," and accordingly we modify the definition
of law enforcement official to reflect their involvement in prosecuting
cases. Specifically, in the final rule, we define law enforcement
official as an official of any agency or authority of the United States,
a state, a territory, a political subdivision of a state or territory,
or an Indian tribe, who is empowered by law to: (1) investigate or
conduct an inquiry into a potential violation of law; or (2) prosecute
or otherwise conduct a criminal, civil, or administrative proceeding
arising from an alleged violation of law.
*Comment:* One commenter recommended making the definition of law
enforcement official broad enough to encompass Medicaid program
auditors, because some matters requiring civil or criminal law
enforcement action are first identified through the audit process.
*Response:* We disagree. Program auditors may obtain protected health
information necessary for their audit functions under the oversight
provision of this regulation (§ 164.512(d)).
*Comment:* One commenter suggested that the proposed definition of "law
enforcement official" could be construed as limited to circumstances in
which an official "knows" that law has been violated. This commenter was
concerned that, because individuals are presumed innocent and because
many investigations, such as random audits, are opened without an agency
knowing that there is a violation, the definition would not have allowed
disclosure of protected health information for these purposes. The
commenter recommended modifying the definition to include investigations
into "whether" the law has been violated.
*Response:* We do not intend for lawful disclosures of protected health
information for law enforcement purposes to be limited to those in which
a law enforcement official knows that law has been violated.
Accordingly, we revise the definition of "law enforcement official " to
include investigations of \"potential\" violations of law.
***Marketing*.**
Comments related to "marketing" are addressed in the responses to
comments regarding § 164.514(e).
***Payment*.**
*Comment:* One commenter urged that the Department not permit protected
health information to be disclosed to a collection agency for collecting
payment on a balance due on patient accounts. The commenter noted that,
at best, such a disclosure would only require the patient's and/or
insured's address and phone number.
*Response:* We disagree. A collection agency may require additional
protected health information to investigate and assess payment disputes
for the covered entity. For example, the collection agency may need to
know what services the covered entity rendered in order to resolve
disputes about amounts due. The information necessary may vary,
depending on the nature of the dispute. Therefore we do not specify the
information that may be used or disclosed for collection activities. The
commenter's concern may be addressed by the minimum necessary
requirements in § 164.514. Under those provisions, when a covered entity
determines that a collection agency only requires limited information
for its activities, it must make reasonable efforts to limit disclosure
to that information.
*Comment:* A number of commenters supported retaining the expansive
definition in the proposed rule so that current methods of administering
the claims payment process would not be hindered by blocking access to
protected health information.
*Response:* We agree and retain the proposed overall approach to the
definition.
*Comment:* Some commenters argued that the definition of "payment'
should be narrowly interpreted as applying only to the individual who is
the subject of the information.
*Response:* We agree with the commenter and modify the definition to
clarify that payment activities relate to the individual to whom health
care is provided.
*Comment:* Another group of commenters asserted that the doctor-patient
relationship was already being interfered with by the current practices
of managed care. For example, it was argued that the definition expanded
the power of government and other third party "payors," turning them
into controllers along with managed care companies. Others stated that
activities provided for under the definition occur primarily to fulfill
the administrative function of managed health plans and that an
individual's privacy is lost when his or her individually identifiable
health information is shared for administrative purposes.
*Response:* Activities we include in the definition of payment reflect
core functions through which health care and health insurance services
are funded. It would not be appropriate for a rule about health
information privacy to hinder mechanisms by which health care is
delivered and financed. We do not through this rule require any health
care provider to disclose protected health information to governmental
or other third party payors for the activities listed in the payment
definition. Rather, we allow these activities to occur, subject to and
consistent with the requirements of this rule.
*Comment*: Several commenters requested that we expand the definition to
include "coordination of benefits" as a permissible activity.
*Response:* We agree and modify the definition accordingly.
*Comment:* A few commenters raised concerns that the use of "medical
data processing" was too restrictive. It was suggested that a broader
reference such as "health related" data processing would be more
appropriate.
*Response:* We agree and modify the definition accordingly.
*Comment:* Some commenters suggested that the final rule needed to
clarify that drug formulary administration activities are payment
related activities.
*Response:* While we agree that uses and disclosures of protected health
information for drug formulary administration and development are common
and important activities, we believe these activities are better
described as health care operations and that these activities come
within that definition.
*Comment:* Commenters asked that the definition include calculation of
prescription drug costs, drug discounts, and maximum allowable costs and
copayments.
*Response:* Calculations of drug costs, discounts, or copayments are
payment activities if performed with respect to a specific individual
and are health care operations if performed in the aggregate for a group
of individuals.
*Comment*: We were urged to specifically exclude "therapeutic
substitution" from the definition.
*Response:* We reject this suggestion. While we understand that there
are policy concerns regarding therapeutic substitution, those policy
concerns are not primarily about privacy and thus are not appropriately
addressed in this regulation.
*Comment:* A few commenters asked that patient assistance programs
(PAPS) should be excluded from the definition of payment. Such programs
are run by or on behalf of manufacturers and provide free or discounted
medications to individuals who could not afford to purchase them.
Commenters were concerned that including such activities in the
definition of payment could harm these programs.
For example, a university school of pharmacy may operate an outreach
program and serve as a clearinghouse for information on various
pharmaceutical manufacturer PAPS. Under the program state residents can
submit a simple application to the program (including medication regimen
and financial information), which is reviewed by program pharmacists who
study the eligibility criteria and/or directly call the manufacturer's
program personnel to help evaluate eligibility for particular PAPS. The
program provides written guidance to the prescribing physicians that
includes a suggested approach for helping their indigent patients obtain
the medications that they need and enrollment information for particular
PAPS.
*Response:* We note that the concerns presented are not affected by
definition of "payment." The application of this rule to patient
assistance programs activities will depend on how the individual
programs operate and are affected primarily by the definition of
treatment. Each of these programs function differently, so it is not
possible to state a blanket rule for whether and how the rule affects
such programs.
Under the example provided, the physician who contacts the program on
behalf of a patient is managing the patient's care. If the provider is
also a covered entity, he or she would be permitted to make such a
"treatment" disclosure of protected health information if a general
consent had been obtained from the patient. Depending on the particular
facts, the manufacturer, by providing the prescription drugs for an
individual, could also be providing health care under this rule. Even
so, however, the manufacturer may or may not be a covered entity,
depending on whether or not it engages in any of the standard electronic
transactions (See the definition of a covered entity). It also may be an
indirect treatment provider, since it may be providing the product
through another provider, not directly to the patient. In this example,
the relevant disclosures of protected health information by any covered
health care provider with a direct treatment relationship with the
patient would be permitted subject to the general consent requirements
of § 164.506.
Whether and how this rule affects the school of pharmacy is equally
dependent on the specific facts. For example, if the school merely
provides a patient or a physician with the name of a manufacturer and a
contact phone number, it would not be functioning as a health care
provider and would not be subject to the rule. However, if the school is
more involved in the care of the individual, its activities could come
in within the definition of "health care provider" under this rule.
*Comment*: Commenters pointed out that drugs may or may not be "covered"
under a plan. Individuals, on the other hand, may or may not be
"eligible" for benefits under a plan. The definition should incorporate
both terms to clarify that determinations of both coverage and
eligibility are payment activities.
*Response*: We agree and modify the rule to include "eligibility".
*Comment*: Several commenters urged that "concurrent and retrospective
review" were significant utilization review activities and should be
incorporated.
*Response*: We agree and modify the definition accordingly.
*Comment*: Commenters noted that the proposed rule was not clear as to
whether protected health information could be used to resolve disputes
over coverage, including appeals or complaints regarding quality of
care.
*Response*: We modify the definition of payment to include resolution of
payment and coverage disputes; the final definition of payment includes
"the adjudication \... of health benefit claims." The other examples
provided by commenters, such as arranging, conducting, or assistance
with primary and appellate level review of enrollee coverage appeals,
also fall within the scope of adjudication of health benefits claims.
Uses and disclosures of protected health information to resolve disputes
over quality of care may be made under the definition of "health care
operations" (see above).
*Comment*: Some commenters suggested that if an activity falls within
the scope of payment it should not be considered marketing. Commenters
supported an approach that would bar such an activity from being
construed as "marketing" even if performing that activity would result
in financial gain to the covered entity.
*Response:* We agree that the proposed rule did not clearly define
'marketing,' leaving commenters to be concerned about whether payment
activities that result in financial gain might be considered marketing.
In the final rule we add a definition of marketing and clarify when
certain activities that would otherwise fall within that definition can
be accomplished without authorization. We believe that these changes
will clarify the distinction between marketing and payment and address
the concerns raised by commenters.
*Comment*: Commenters asserted that HHS should not include long-term
care insurance within the definition of "health plan". If they are
included, the commenters argued that the definition of payment must be
modified to reflect the activities necessary to support the payment of
long-term care insurance claims. As proposed, commenters argued that the
definition of payment would not permit long term care insurers to use
and disclose protected health information without authorization to
perform functions that are "compatible with and directly relate
to\...payment" of claims submitted under long term care policies.
*Response*: Long‑term care policies, except for nursing home
fixed‑indemnity policies, are defined as health plans by the statute
(see definition of "health plan," above). We disagree with the assertion
that the definition of payment does not permit long term care insurers
to undertake these necessary activities. Processing of premium payments,
claims administration, and other activities suggested for inclusion by
the commenters are covered by the definition. The rule permits protected
health information to be used or disclosed by a health plan to determine
or fulfill its responsibility for provision of benefits under the health
plan.
*Comment*: Some commenters argued that the definition needs to be
expanded to include the functions of obtaining stop-loss and ceding
reinsurance.
*Response*: We agree that use and disclosure of protected health
information for these activities should be permitted without
authorization, but have included them under health care operation rather
than payment.
*Comment*: Commenters asked that the definition be modified to include
collection of accounts receivable or outstanding accounts. Commenters
raised concern that the proposed rule, without changes, might
unintentionally prevent the flow of information between medical
providers and debt collectors.
*Response*: We agree that the proposed definition of payment did not
explicitly provide for "collection activities" and that this oversight
might have impeded a covered entity's debt collection efforts. We modify
the regulatory text to add "collection activities."
*Comment*: The preamble should clarify that self-insured group health
and workers' compensation plans are not covered entities or business
partners.
*Response*: The statutory definition of health plan does not include
workers' compensation products. See the discussion of "health plan"
under § 160.103 above.
*Comment:* Certain commenters explained that third party administrators
usually communicate with employees through Explanation of Benefit (EOB)
reports on behalf of their dependents (including those who might not be
minor children). Thus, the employee might be apprized of the medical
encounters of his or her dependents but not of medical diagnoses unless
there is an over-riding reason, such as a child suspected of drug abuse
due to multiple prescriptions. The commenters urged that the current
claim processing procedures be allowed to continue.
*Response:* We agree. We interpret the definition of payment and, in
particular the term 'claims management,' to include such disclosures of
protected health information.
*Comment:* One private company noted that pursuant to the proposed
Transactions Rule standard for payment and remittance advice, the ASC
X12N 835 can be used to make a payment, send a remittance advice, or
make a payment and send remittance advice by a health care payor and a
health care provider, either directly or through a designated financial
institution. Because a remittance advice includes diagnostic or
treatment information, several private companies and a few public
agencies believed that the proposed Transactions Rule conflicted with
the proposed privacy rule. Two health plans requested guidance as to
whether, pursuant to the ASC X12N 835 implementation guide, remittance
advice information is considered "required" or "situational." They
sought guidance on whether covered entities could include benefits
information in payment of claims and transfer of remittance information.
One commenter asserted that if the transmission of certain protected
health information were prohibited, health plans may be required to
strip remittance advice information from the ASC X12N 835 when making
health care payments. It recommended modifying the proposed rule to
allow covered entities to provide banks or financial institutions with
the data specified in any transaction set mandated under the
Transactions Rule for health care claims payment.
Similarly, a private company and a state health data organization
recommended broadening the scope of permissible disclosures pursuant to
the banking section to include integrated claims processing information,
as contained in the ASC X12N 835 and proposed for adoption in the
proposed Transactions Rule; this transaction standard includes
diagnostic and treatment information. The company argued that inclusion
of diagnostic and treatment information in the data transmitted in
claims processing was necessary for comprehensive and efficient
integration in the provider's patient accounting system of data
corresponding with payment that financial institutions credit to the
provider's account.
A state health data organization recommended applying these rules to
financial institutions that process electronic remittance advice
pursuant to the Transactions Rule.
*Response:* The Transactions Rule was published August 17, 2000, after
the issuance of the privacy proposed rule. As noted by the commenters,
the ASC X12N 835 we adopted as the "Health Care Payment and Remittance
Advice" standard in the Transactions Rule has two parts. They are the
electronic funds transfer (EFT) and the electronic remittance advice
(ERA). The EFT part is optional and is the mechanism that payors use to
electronically instruct one financial institution to move money from one
account to another at the same or at another financial institution. The
EFT includes information about the payor, the payee, the amount, the
payment method, and a reassociation trace number. Since the EFT is used
to initiate the transfer of funds between the accounts of two
organizations, typically a payor to a provider, it includes no
individually identifiable health information, not even the names of the
patients whose claims are being paid. The funds transfer information may
also be transmitted manually (by check) or by a variety of other
electronic means, including various formats of electronic transactions
sent through a payment network, such as the Automated Clearing House
(ACH) Network.
The ERA, on the other hand, contains specific information about the
patients and the medical procedures for which the money is being paid
and is used to update the accounts receivable system of the provider.
This information is always needed to complete a standard Health Care
Payment and Remittance Advice transaction, but is never needed for the
funds transfer activity of the financial institution. The only
information the two parts of this transaction have in common is the
reassociation trace number.
Under the ASC X12N 835 standard, the ERA may be transmitted alone,
directly from the health plan to the health care provider and the
reassociation trace number is used by the provider to match the ERA
information with a specific payment conducted in some other way (e.g.,
EFT or paper check). The standard also allows the EFT to be transmitted
alone, directly to the financial institution that will initiate the
payment. It also allows both parts to be transmitted together, even
though the intended recipients of the two parts are different (the
financial institution and the provider). For example, this would be done
when the parties agree to use the ACH system to carry the ERA through
the provider\'s bank to the provider when it is more efficient than
sending the ERA separately through a different electronic medium.
Similarly, the ASC X12N 820 standard for premium payments has two parts,
an EFT part (identical to that of the 835) and a premium data part
containing identity and health information about the individuals for
whom health insurance premiums are being paid.
The transmission of both parts of the standards are payment activities
under this rule, and permitted subject to certain restrictions. Because
a financial institution does not require the remittance advice or
premium data parts to conduct funds transfers, disclosure of those parts
by a covered entity to it (absent a business associate arrangement to
use the information to conduct other activities) would be a violation of
this rule.
We note that additional requirements may be imposed by the final
Security Rule. Under the proposed Security Rule, the ACH system and
similar systems would have been considered \"open networks\" because
transmissions flow unpredictably through and become available to member
institutions who are not party to any business associate agreements (in
a way similar to the internet). The proposed Security Rule would require
any protected health information transferred through the ACH or similar
system to be encrypted.
*Comment:* A few commenters noted the Gramm-Leach-Bliley (GLB) Act
(Pub.L. 106-102) allows financial holding companies to engage in a
variety of business activities, such as insurance and securities, beyond
traditional banking activities. Because the term "banking" may take on
broader meaning in light of these changes, the commenter recommended
modifying the proposed rule to state that disclosure of diagnostic and
treatment information to banks along with payment information would
constitute a violation of the rule. Specifically, the organization
recommended clarifying in the final rule that the provisions included in
the proposed section on banking and payment processes (proposed §
164.510(i)) govern payment processes only and that all activities of
financial institutions that did not relate directly to payment processes
must be conducted through business partner contracts. Furthermore, this
group recommended clarifying that if financial institutions act as
payors, they will be covered entities under the rule.
*Response:* We recognize that implementation of the GLB Act will expand
significantly the scope of activities in which financial holding
companies engage. However, unless a financial institution also meets the
definition of a "covered entity," it cannot be a covered entity under
this rule.
We agree with the commenters that disclosure of diagnostic and specific
treatment information to financial institutions for many banking and
funds processing purposes may not be consistent with the minimum
necessary requirements of this final rule. We also agree with the
commenters that financial institutions are business associates if they
receive protected health information when they engage in activities
other than funds processing for covered entities. For example, if a
health care provider contracts with a financial institution to conduct
"back office" billing and accounts receivable activities, we require the
provider to enter into a business associate contract with the
institution.
*Comment:* Two commenters expressed support for the proposed rule's
approach to disclosure for banking and payment processes. On the other
hand, many other commenters were opposed to disclosure of protected
health information without authorization to banks. One commenter said
that no financial institution should have individually identifiable
health information for any reason, and it said there were technological
means for separating identity from information necessary for financial
transactions. Some commenters believed that implementation of the
proposed rule's banking provisions could lead banks to deny loans on the
basis of individuals' health information.
*Response:* We seek to achieve a balance between protecting patient
privacy and facilitating the efficient operation of the health care
system. While we agree that financial institutions should not have
access to extensive information about individuals' health, we recognize
that even the minimal information required for processing of payments
may effectively reveal a patient's health condition; for example, the
fact that a person has written a check to a provider suggests that
services were rendered to the person or a family member. Requiring
authorization for disclosure of protected health information to a
financial institution in order to process every payment transaction in
the health care system would make it difficult, if not impossible, for
the health care system to operate effectively. See also discussion of
section 1179 of the Act above.
*Comment:* Under the proposed rule, covered entities could have
disclosed the following information without consent to financial
institutions for the purpose of processing payments: (1) the account
holder's name and address; (2) the payor or provider's name and address;
(3) the amount of the charge for health services; (4) the date on which
services were rendered; (5) the expiration date for the payment
mechanism, if applicable (e.g., credit card expiration date); and (6)
the individual's signature. The proposed rule solicited comments on
whether additional data elements would be necessary to process payment
transactions from patients to covered entities.
One commenter believed that it was unnecessary to include this list in
the final rule, because information that could have been disclosed under
the proposed minimum necessary rule would have been sufficient to
process banking and payment information. Another private company said
that its extensive payment systems experience indicated that we should
avoid attempts to enumerate a list of information allowed to be
disclosed for banking and payment processing. Furthermore, the commenter
said, the proposed rule's list of information allowed to be disclosed
was not sufficient to perform the range of activities necessary for the
operation of modern electronic payment systems. Finally, the commenter
said, inclusion of specific data elements allowed to be disclosed for
banking and payment processes rule would stifle innovation in
continually evolving payment systems. Thus, the commenter recommended
that in the final rule, we eliminate the minimum necessary requirement
for banking and payment processing and that we do not include a list of
specific types of information allowed to be disclosed for banking and
payment processes.
On the other hand, several other commenters supported applying the
minimum necessary standard to covered entities' disclosures to financial
institutions for payment processing. In addition, these groups said that
because financial institutions are not covered entities under the
proposed rule, they urged Congress to enact comprehensive privacy
legislation to limit financial institutions' use and re-disclosure of
the minimally necessary protected health information they could receive
under the proposed rule. Several of these commenters said that, in light
of the increased ability to manipulate data electronically, they were
concerned that financial institutions could use the minimal protected
health information they received for making financial decisions. For
example, one of these commenters said that a financial institution could
identify an individual who had paid for treatment of domestic violence
injuries and subsequently could deny the individual a mortgage based on
that information.
*Response:* We agree with the commenters who were concerned that a
finite list of information could hamper systems innovation, and we
eliminate the proposed list of data items.
However, we disagree with the commenters who argued that the requirement
for minimum necessary disclosures not apply to disclosures to financial
institution or for payment activities. They presented no persuasive
reasons why these disclosures differ from others to which the standard
applies, nor did they suggest alternative means of protecting
individuals' privacy. Further, with elimination of the proposed list of
items that may be disclosed, it will be necessary to rely on the minimum
necessary disclosure requirement to ensure that disclosures for payment
purposes do not include information unnecessary for that purposes. In
practice, the following is the information that generally will be
needed: the name and address of the individual; the name and address of
the payor or provider; the amount of the charge for health services; the
date on which health services were rendered; the expiration date for the
payment mechanism, if applicable (i.e., credit card expiration date);
the individual's signature; and relevant identification and account
numbers.
*Comment:* One commenter said that the minimum necessary standard would
be impossible to implement with respect to information provided on its
standard payment claim, which, it said, was used by pharmacies for
concurrent drug utilization review and that was expected to be adopted
by HHS as the national pharmacy payment claim.
Two other commenters also recommended clarifying in the final rule that
pharmacy benefit cards are not considered a type of "other payment card"
pursuant to the rule's provisions governing payment processes. These
commenters were concerned that if pharmacy benefit cards were covered by
the rule's payment processing provisions, their payment claim, which
they said was expected to be adopted by HHS as the national pharmacy
payment claim, may have to be modified to comply with the minimum
necessary standard that would have been required pursuant to proposed §
164.510(i) on banking and payment processes. One of these commenters
noted that its payment claim facilitates concurrent drug utilization
review, which was mandated by Congress pursuant to the Omnibus Budget
Reconciliation Act of 1990 and which creates the real-time ability for
pharmacies to gain access to information that may be necessary to meet
requirements of this and similar state laws. The commenter said that
information on its standard payment claim may include information that
could be used to provide professional pharmacy services, such as
compliance, disease management, and outcomes programs. The commenter
opposed restricting such information by applying the minimum necessary
standard.
*Response:* We make an exception to the minium necessary disclosure
provision of this rule for the required and situational data elements of
the standard transactions adopted in the Transactions Rule, because
those elements were agreed to through the ANSI-accredited consensus
development process. The minimum necessary requirements do apply to
optional elements in such standard transactions, because industry
consensus has not resulted in precise and unambiguous situation specific
language to describe their usage. This is particularly relevant to the
NCPDP standards for retail pharmacy transactions referenced by these
commenters, in which the current standard leaves most fields optional.
For this reason, we do not accept this suggestion.
The term \'payment card\' was intended to apply to a debit or credit
card used to initiate payment transactions with a financial institution.
We clarify that pharmacy benefit cards, as well as other health benefit
cards, are used for identification of individual, plan, and benefits and
do not qualify as \"other payment cards.\"
*Comment:* Two commenters asked the following questions regarding the
banking provisions of the proposed rule: (1) Does the proposed
regulation stipulate that disclosures to banks and financial
institutions can occur only once a patient has presented a check or
credit card to the provider, or pursuant to a standing authorization?;
and (2) Does the proposed rule ban disclosure of diagnostic or other
related detailed payment information to financial institutions?
*Response:* We do not ban disclosure of diagnostic information to
financial institutions, because some such information may be evident
simply from the name of the payee (e.g., when payment is made to a
substance abuse clinic). This type of disclosure, however, is permitted
only when reasonably necessary for the transaction (see requirements for
minimum necessary disclosure of protected health information, in §
164.502 and § 164.514).
Similarly, we do not stipulate that such disclosure may be made only
once a patient has presented a check or credit card, because some
covered entities hire financial institutions to perform services such as
management of accounts receivables and other back office functions. In
providing such services to covered entities, the financial institution
will need access to protected health information. (In this situation,
the disclosure will typically be made under a business associate
arrangement that includes provisions for protection of the information.)
*Comment:* One commenter was concerned that the proposed rule's section
on financial institutions, when considered in conjunction with the
proposed definition of "protected health information," could have been
construed as making covered entities' disclosures of consumer payment
history information to consumer reporting agencies subject to the rule.
It noted that covered entities' reporting of payment history information
to consumer reporting agencies was not explicitly covered by the
proposed rule's provisions regarding disclosure of protected health
information without authorization. It was also concerned that the
proposed rule's minimum necessary standard could have been interpreted
to prevent covered entities and their business partners from disclosing
appropriate and complete information to consumer reporting agencies. As
a result, it said, consumer reporting agencies might not be able to
compile complete consumer reports, thus potentially creating an
inaccurate picture of a consumer's credit history that could be used to
make future credit decisions about the individual.
Furthermore, this commenter said, the proposed rule could have been
interpreted to apply to any information disclosed to consumer reporting
agencies, thus creating the possibility for conflicts between the rule's
requirements and those of the Fair Credit Reporting Act. They indicated
that areas of potential overlap included: limits on subsequent
disclosures; individual access rights; safeguards; and notice
requirements.
*Response:* We have added to the definition of "payment" disclosure of
certain information to consumer reporting agencies. With respect to the
remaining concerns, this rule does not apply to consumer reporting
agencies if they are not covered entities.
*Comment:* Several commenters recommended prohibiting disclosure of
psychotherapy notes under this provision and under all of the sections
governing disclosure without consent for national priority purposes.
*Response:* We agree that psychotherapy notes should not be disclosed
without authorization for payment purposes, and the final rule does not
allow such disclosure. See the discussion under § 164.508.
***Protected health information*.**
*Comment*: An overwhelmingly large number of commenters urged the
Secretary to expand privacy protection to all individually identifiable
health information, regardless of form, held or transmitted by a covered
entity. Commenters provided many arguments in support of their position.
They asserted that expanding the scope of covered information under the
rule would increase patient confidence in their health care providers
and the health care system in general. Commenters stated that patients
may not seek care or honestly discuss their health conditions with
providers if they do not believe that all of their health information is
confidential. In particular, many suggested that this fear would be
particularly strong with certain classes of patients, such as persons
with disabilities, who may be concerned about potential discrimination,
embarrassment or stigmatization, or domestic violence victims, who may
hide the real cause of their injuries.
In addition, commenters felt that a more uniform standard that covered
all records would reduce the complexity, burden, cost, and enforcement
problems that would result from the NPRM's proposal to treat electronic
and non-electronic records differently. Specifically, they suggested
that such a standard would eliminate any confusion regarding how to
treat mixed records (paper records that include information that has
been stored or transmitted electronically) and would eliminate the need
for health care providers to keep track of which portions of a paper
record have been (or will be) stored or transmitted electronically, and
which are not. Many of these commenters argued that limiting the
definition to information that is or has at one time been electronic
would result in different protections for electronic and paper records,
which they believe would be unwarranted and give consumers a false sense
of security. Other comments argued that the proposed definition would
cause confusion for providers and patients and would likely cause
difficulties in claims processing. Many others complained about the
difficulty of determining whether information has been maintained or
transmitted electronically. Some asked us to explicitly list the
electronic functions that are intended to be excluded, such as voice
mail, fax, etc. It was also recommended that the definitions of
'electronic transmission' and 'electronic maintenance' be deleted. It
was stated that the rule may apply to many medical devices that are
regulated by the FDA. A commenter also asserted that the proposal's
definition was technically flawed in that computers are also involved in
analog electronic transmissions such as faxes, telephone, etc., which is
not the intent of the language. Many commenters argued that limiting the
definition to information that has been electronic would create a
significant administrative burden, because covered entities would have
to figure out how to apply the rule to some but not all information.
Others argued that covering all individually identifiable health
information would eliminate any disincentives for covered entities to
convert from paper to computerized record systems. These commenters
asserted that under the proposed limited coverage, contrary to the
intent of HIPAA's administrative simplification standards, providers
would avoid converting paper records into computerized systems in order
to bypass the provisions of the regulation. They argued that treating
all records the same is consistent with the goal of increasing the
efficiency of the administration of health care services.
Lastly, in the NPRM, we explained that while we chose not to extend our
regulatory coverage to all records, we did have the authority to do so.
Several commenters agreed with our interpretation of the statute and our
authority and reiterated such statements in arguing that we should
expand the scope of the rule in this regard.
*Response:* We find these commenters' arguments persuasive and extend
protections to individually identifiable health information transmitted
or maintained by a covered entity in any form (subject to the exception
for "education records" governed by FERPA and records described at 20
U.S.C. 1232g(a)(4)(B)(iv)). We do so for the reasons described by the
commenters and in our NPRM, as well as because we believe that the
approach in the final rule creates a logical, consistent system of
protections that recognizes the dynamic nature of health information use
and disclosure in a continually shifting health care environment. Rules
that are specific to certain formats or media, such as "electronic" or
"paper," cannot address the privacy threats resulting from evolving
forms of data capture and transmission or from the transfer of the
information from one form to another. This approach avoids the somewhat
artificial boundary issues that stem from defining what is and is not
electronic.
In addition, we have reevaluated our reasons for not extending privacy
protections to all paper records in the NPRM and after review of
comments believe such justifications to be less compelling than we
originally thought. For example, in the NPRM, we explained that we chose
not to cover all paper records in order to focus on the public concerns
about health information confidentiality in electronic communications,
and out of concern that the potential additional burden of covering all
records may not be justified because of the lower privacy risks
presented by records that are in paper form only. As discussed above
however, a great many commenters asserted that dealing with a mixture of
protected and non-protected records is more burdensome, and that public
concerns over health information confidentiality are not at all limited
to electronic communications.
We note that medical devices in and of themselves, for example,
pacemakers, are not protected health information for purposes of this
regulation. However, information in or from the device may be protected
health information to the extent that it otherwise meets the definition.
*Comment:* Numerous commenters argued that the proposed coverage of any
information other than that which is transmitted electronically and/or
in a HIPAA transaction exceeds the Secretary's authority under section
264(c)(1) of HIPAA. The principal argument was that the initial language
in section 264(c)(1) ("If language governing standards with respect to
the privacy of individually identifiable health information transmitted
in connection with the transactions described in section 1173(a) of the
Social Security Act \... is not enacted by \[August 21, 1999\], the
Secretary \... shall promulgate final regulations containing such
standards\...") limits the privacy standards to "information transmitted
in connection with the \[HIPAA\] transactions." The precise argument
made by some commenters was that the grant of authority is contained in
the words "such standards," and that the referent of that phrase was
"standards with respect to the privacy of individually identifiable
health information transmitted in connection with the transactions
described in section 1173(a)\...".
Commenters also argued that this limitation on the Secretary's authority
is discernible from the statutory purpose statement at section 261 of
HIPAA, from the title to section 1173(a) ("Standards to Enable
Electronic Exchange"), and from various statements in the legislative
history, such as the statement in the Conference Report that the
"Secretary would be required to establish standards and modifications to
such standards regarding the privacy of individually identifiable health
information that is in the health information network." H. Rep. No.
104-736,104^th^ Cong., 2d Sess., at 265. It was also argued that
extension of coverage beyond the HIPAA transactions would be
inconsistent with the underlying statutory trade-off between
facilitating accessibility of information in the electronic transactions
for which standards are adopted under section 1173(a) and protecting
that information through the privacy standards.
Other commenters argued more generally that the Secretary's authority
was limited to information in electronic form only, not information in
any other form. These comments tended to focus on the statutory concern
with regulating transactions in electronic form and argued that there
was no need to have the privacy standards apply to information in paper
form, because there is significantly less risk of breach of privacy with
respect to such information.
The primary justifications provided by commenters for restricting the
scope of covered individually identifiable health information under the
regulation were that such an approach would reduce the complexity,
burden, cost, and enforcement problems that would result from a rule
that treats electronic and non-electronic records differently; would
appropriately limit the rule's focus to the security risks that are
inherent in electronic transmission or maintenance of individually
identifiable health information; and would conform these provisions of
the rule more closely with their interpretation of the HIPAA statutory
language.
*Response*: We disagree with these commenters. We believe that
restricting the scope of covered information under the rule consistent
with any of the comments described above would generate a number of
policy concerns. Any restriction in the application of privacy
protections based on the media used to maintain or transmit the
information is by definition arbitrary, unrelated to the potential use
or disclosure of the information itself and therefore not responsive to
actual privacy risks. For example, information contained in a paper
record may be scanned and transmitted worldwide almost as easily as the
same information contained in an electronic claims transaction, but
would potentially not be protected.
In addition, application of the rule to only the standard transactions
would leave large gaps in the amount of health information covered. This
limitation would be particularly harmful for information used and
disclosed by health care providers, who are likely to maintain a great
deal of information never contained in a transaction.
We disagree with the arguments that the Secretary lacks legal authority
to cover all individually identifiable health information transmitted or
maintained by covered entities. The arguments raised by these comments
have two component parts: (1) that the Secretary's authority is limited
by form, to individually identifiable health information in electronic
form only; and (2) that the Secretary's authority is limited by content,
to individually identifiable health information that is contained in
what commenters generally termed the "HIPAA transactions," i.e.,
information contained in a transaction for which a standard has been
adopted under section 1173(a) of the Act.
With respect to the issue of form, the statutory definition of "health
information" at section 1171(4) of the Act defines such information as
"any information, [whether oral or recorded in any form or
medium]{.underline}" (emphasis added) which is created or received by
certain entities and relates to the health condition of an individual or
the provision of health care to an individual (emphasis added).
"Individually identifiable health information", as defined at section
1171(6) of the Act, is information that is created or received by a
subset of the entities listed in the definition of "health information",
relates to the same subjects as "health information," and is, in
addition, individually identifiable. Thus, "individually identifiable
health information" is, as the term itself implies, a subset of "health
information." As "health information," "individually identifiable health
information" means, among other things, information that is "oral or
recorded in any form or medium." Therefore, the statute does not limit
"individually identifiable health information" to information that is in
electronic form only.
With respect to the issue of content, the limitation of the Secretary's
authority to information in HIPAA transactions under section 264(c)(1)
is more apparent than real. While the first sentence of section
264(c)(1) may be read as limiting the regulations to standards with
respect to the privacy of individually identifiable health information
"transmitted in connection with the \[HIPAA\] transactions," what that
sentence in fact states is that the privacy regulations must "contain"
such standards, not be limited to such standards. The first sentence
thus sets a statutory minimum, first for Congress, then for the
Secretary. The second sentence of section 264(c)(1) directs that the
regulations "address at least the subjects in subsection (b) \[of
section 264\]." Section 264(b), in turn, refers only to "individually
identifiable health information", with no qualifying language, and
refers back to subsection (a) of section 264, which is not limited to
HIPAA transactions. Thus, the first and second sentences of section
264(c)(1) can be read as consistent with each other, in which case they
direct the issuance of privacy standards with respect to individually
identifiable health information. Alternatively, they can be read as
ambiguous, in which case one must turn to the legislative history.
The legislative history of section 264 does not reflect the content
limitation of the first sentence of section 264(c)(1). Rather, the
Conference Report summarizes this section as follows: "If Congress fails
to enact privacy legislation, the Secretary is required to develop
standards with respect to privacy of individually identifiable health
information not later than 42 months from the date of enactment."
[Id.]{.underline}, at 270. This language indicates that the overriding
purpose of section 264(c)(1) was to postpone the Secretary's duty to
issue privacy standards (which otherwise would have been controlled by
the time limits at section 1174(a)), in order to give Congress more time
to pass privacy legislation. A corollary inference, which is also
supported by other textual evidence in section 264 and Part C of title
XI, is that if Congress failed to act within the time provided, the
original statutory scheme was to kick in. Under that scheme, which is
set out in section 1173(e) of the House bill, the standards to be
adopted were "standards with respect to the privacy of individually
identifiable health information." Thus, the legislative history of
section 264 supports the statutory interpretation underlying the rules
below.
*Comment*: Many commenters were opposed to the rule covering specific
forms of communication or records that could potentially be considered
covered information, i.e., faxes, voice mail messages, etc. A subset of
these commenters took issue particularly with the inclusion of oral
communications within the scope of covered information. The commenters
argued that covering information when it takes oral form (e.g., verbal
discussions of a submitted claim) makes the regulation extremely costly
and burdensome, and even impossible to administer. Another commenter
also offered that it would make it nearly impossible to discuss health
information over the phone, as the covered entity cannot verify that the
person on the other end is in fact who he or she claims to be.
*Response*: We disagree. Covering oral communications is an important
part of keeping individually identifiable health information private. If
the final rule were not to cover oral communication, a conversation
about a person's protected health information could be shared with
anyone. Therefore, the same protections afforded to paper and
electronically based information must apply to verbal communication as
well. Moreover, the Congress explicitly included "oral" information in
the statutory definition of health information.
*Comment*: A few commenters supported, without any change, the approach
proposed in the NPRM to limit the scope of covered information to
individually identifiable health information in any form once the
information is transmitted or maintained electronically. These
commenters asserted that our statutory authority limited us accordingly.
Therefore, they believed we had proposed protections to the extent
possible within the bounds of our statutory authority and could not
expand the scope of such protections without new legislative authority.
*Response*: We disagree with these commenters regarding the limitations
under our statutory authority. As explained above, we have the authority
to extend the scope of the regulation as we have done in the final rule.
We also note here that most of these commenters who supported the NPRM's
proposed approach, voiced strong support for extending the scope of
coverage to all individually identifiable health information in any
form, but concluded that we had done what we could within the authority
provided.
*Comment*: One commenter argued that the term "transaction" is generally
understood to denote a business matter, and that the NPRM applied the
term too broadly by including hospital directory information,
communication with a patient's family, researchers' use of data and many
other non-business activities.
*Response*: This comment reflects a misunderstanding of our use of the
term "transaction." The uses and disclosures described in the comment
are not "transactions" as defined in § 160.103. The authority to
regulate the types of uses and disclosures described is provided under
section 264 of Pub. L. 104-191. The conduct of the activities noted by
the commenters are not related to the determination of whether a health
care provider is a covered entity. We explain in the preamble that a
health care provider is a covered entity if it transmits health
information in electronic form in connection with transactions referred
to in section 1173(a)(1) of the Act.
*Comment*: A few commenters asserted that the Secretary has no authority
to regulate "use" of protected health information. They stated that
although section 264(b) mentions that the Secretary should address "uses
and disclosures," no other section of HIPAA employs the term "use."
*Response*: We disagree with these commenters. As they themselves note,
the authority to regulate use is given in section 264(b) and is
sufficient.
*Comment*: Some commenters requested clarification as to how certain
types of health information, such as photographs, faxes, X-Rays,
CT-scans, and others would be classified as protected or not under the
rule.
*Response*: All types of individually identifiable health information in
any form, including those described, when maintained or transmitted by a
covered entity are covered in the final rule.
*Comment*: A few commenters requested clarification with regard to the
differences between the definitions of individually identifiable health
information and protected health information.
*Response*: In expanding the scope of covered information in the final
rule, we have simplified the distinction between the two definitions. In
the final rule, protected health information is the subset of
individually identifiable health information that is maintained or
transmitted by covered entity, and thereby protected by this rule. For
additional discussion of protected health information and individually
identifiable health information, see the descriptive summary of §
164.501.
*Comment*: A few commenters remarked that the federal government has no
right to access or control any medical records and that HHS must get
consent in order to store or use any individually identifiable health
information.
*Response*: We understand the commenters' concern. It is not our intent,
nor do we through this rule create any government right of access to
medical records, except as needed to investigate possible violations of
the rule. Some government programs, such as Medicare, are authorized
under other law to gain access to certain beneficiary records for
administrative purposes. However, these programs are covered by the rule
and its privacy protections apply.
*Comment*: Some commenters asked us to clarify how schools would be
treated by the rule. Some of these commenters worried that privacy would
be compromised if schools were exempted from the provisions of the final
rule. Other commenters thought that school medical records were included
in the provisions of the NPRM.
*Response*: We agree with the request for clarification and provide
guidance regarding the treatment of medical records in schools in the
\"Relationship to Other Federal Laws\" preamble discussion of FERPA,
which governs the privacy of education records.
*Comment*: One commenter was concerned that only some information from a
medical chart would be included as covered information. The commenter
was especially concerned that transcribed material might not be
considered covered information.
*Response*: As stated above, all individually identifiable health
information in any form, including transcribed or oral information,
maintained or transmitted by a covered entity is covered under the
provisions of the final rule.
*Comment:* In response to our solicitation of comments on the scope of
the definition of protected health information, many commenters asked us
to narrow the scope of the proposed definition to include only
information in electronic form. Others asked us to include only
information from the HIPAA standard transactions.
*Response:* For the reasons stated by the commenters who asked us to
expand the proposed definition, we reject these comments. We reject
these approaches for additional reasons, as well. Limiting the
protections to electronic information would, in essence, protect
information only as long as it remained in a computer or other
electronic media; the protections in the rule could be avoided simply by
printing out the information. This approach would thus result in the
illusion, but not the reality, of privacy protections. Limiting
protection to information in HIPAA transactions has many of the problems
in the proposed approach: it would fail to protect significant amounts
of health information, would force covered entities to figure out which
information had and had not been in such a transaction, and could cause
the administrative burdens the commenters feared would result from
protecting some but not all information.
*Comment:* A few commenters asserted that the definition of protected
health information should explicitly include "genetic" information. It
was argued that improper disclosure and use of such information could
have a profound impact on individuals and families.
*Response:* We agree that the definition of protected health information
includes genetic information that otherwise meets the statutory
definition. But we believe that singling out specific types of protected
health information for special mention in the regulation text could
wrongly imply that other types are not included.
*Comment:* One commenter recommended that the definition of protected
health information be modified to clarify that an entity does not become
a 'covered entity' by providing a device to an individual on which
protected health information may be stored, provided that the company
itself does not store the individual's health information."
*Response:* We agree with the commenter's analysis, but believe the
definition is sufficiently clear without a specific amendment to this
effect.
*Comment:* One commenter recommended that the definition be amended to
explicitly exclude individually identifiable health information
maintained, used, or disclosed pursuant to the Fair Credit Reporting
Act, as amended, 15 U.S.C. 1681. It was stated that a disclosure of
payment history to a consumer reporting agency by a covered entity
should not be considered protected health information. Another commenter
recommended that health information, billing information, and a
consumer's credit history be exempted from the definition because this
flow of information is regulated by both the Fair Credit Reporting Act
(FCRA) and the Fair Debt Collection Practices Act (FDCPA).
*Response:* We disagree. To the extent that such information meets the
definition of protected health information, it is covered by this rule.
These statutes are designed to protect financial, not health,
information. Further, these statutes primarily regulate entities that
are not covered by this rule, minimizing the potential for overlap or
conflict. The protections in this rule are more appropriate for
protecting health information. However, we add provisions to the
definition of payment which should address these concerns. See the
definition of 'payment' in § 164.501.
*Comment:* An insurance company recommended that the rule require that
medical records containing protected health information include a
notation on a cover sheet on such records.
*Response:* Since we have expanded the scope of protected health
information, there is no need for covered entities to distinguish among
their records, and such a notation is not needed. This uniform coverage
eliminates the mixed record problem and resultant potential for
confusion.
*Comment:* A government agency requested clarification of the definition
to address the status of information that flows through dictation
services.
*Response:* A covered entity may disclose protected health information
for transcription of dictation under the definition of health care
operations, which allows disclosure for "general administrative"
functions. We view transcription and clerical services generally as part
of a covered entity's general administrative functions. An entity
transcribing dictation on behalf of a covered entity meets this rule's
definition of business associate and may receive protected health
information under a business associate contract with the covered entity
and subject to the other requirements of the rule.
*Comment:* A commenter recommended that information transmitted for
employee drug testing be exempted from the definition.
*Response:* We disagree that is necessary to specifically exclude such
information from the definition of protected health information. If a
covered entity is involved, triggering this rule, the employer may
obtain authorization from the individuals to be tested. Nothing in this
rule prohibits an employer from requiring an employee to provide such an
authorization as a condition of employment.
*Comment:* A few commenters addressed our proposal to exclude
individually identifiable health information in education records
covered by FERPA. Some expressed support for the exclusion. One
commenter recommended adding another exclusion to the definition for the
treatment records of students who attend institutions of post secondary
education or who are 18 years old or older to avoid confusion with rules
under FERPA. Another commenter suggested that the definition exclude
health information of participants in "Job Corps programs" as it has for
educational records and inmates of correctional facilities.
*Response:* We agree with the commenter on the potential for confusion
regarding records of students who attend post-secondary schools or who
are over 18, and therefore in the final rule we exclude records defined
at 20 U.S.C. 1232g(a)(4)(B)(iv) from the definition of protected health
information. For a detailed discussion of this change, refer to the
"Relationship to Other Federal Laws" section of the preamble. We find no
similar reason to exclude "Job Corps programs" from the requirements of
this regulation.
*Comment*: Some commenters voiced support for the exclusion of the
records of inmates from the definition of protected health information,
maintaining that correctional agencies have a legitimate need to share
some health information internally without authorization between health
service units in various facilities and for purposes of custody and
security. Other commenters suggested that the proposed exclusion be
extended to individually identifiable health information: created by
covered entities providing services to inmates or detainees under
contract to such facilities; of "former" inmates; and of persons who are
in the custody of law enforcement officials, such as the United States
Marshals Service and local police agencies. They stated that corrections
and detention facilities must be able to share information with law
enforcement agencies such as the United States Marshals Service, the
Immigration and Naturalization Services, county jails, and U.S.
Probation Offices.
Another commenter said that there is a need to have access to records of
individuals in community custody and explained that these individuals
are still under the control of the state or local government and the
need for immediate access to records for inspections and/or drug testing
is necessary.
A number of commenters were opposed to the proposed exclusion to the
definition of protected health information, arguing that the proposal
was too sweeping. Commenters stated that while access without consent is
acceptable for some purposes, it is not acceptable in all circumstances.
Some of these commenters concurred with the sharing of health care
information with other medical facilities when the inmate is transferred
for treatment. These commenters recommended that we delete the exception
for jails and prisons and substitute specific language about what
information could be disclosed and the limited circumstances or purposes
for which such disclosures could occur.
Others recommended omission of the proposed exclusion entirely, arguing
that excluding this information from protection sends the message that,
with respect to this population, abuses do not matter. Commenters argued
that inmates and detainees have a right to privacy of medical records
and that individually identifiable health information obtained in these
settings can be misused, e.g., when communicated indiscriminately,
health information can trigger assaults on individuals with stigmatized
conditions by fellow inmates or detainees. It can also lead to the
denial of privileges, or inappropriately influence the deliberations of
bodies such as parole boards.
A number of commenters explicitly took issue with the exclusion relative
to individuals, and in particular youths, with serious mental illness,
seizure disorders, and emotional or substance abuse disorders. They
argued that these individuals come in contact with criminal justice
authorities as a result of behaviors stemming directly from their
illness and assert that these provisions will cause serious problems.
They argue that disclosing the fact that an individual was treated for
mental illness while incarcerated could seriously impair the
individual's reintegration into the community. Commenters stated that
such disclosures could put the individual or family members at risk of
discrimination by employers and in the community at large.
Some commenters asserted that the rule should be amended to prohibit
jails and prisons from disclosing private medical information of
individuals who have been discharged from these facilities. They argued
that such disclosures may seriously impair individuals' rehabilitation
into society and subject them to discrimination as they attempt to
re-establish acceptance in the community.
*Response:* We find commenters' arguments against a blanket exemption
from privacy protection for inmates persuasive. We agree health
information in these settings may be misused, which consequently poses
many risks to the inmate or detainee and in some cases, their families
as described above by the commenters. Accordingly, we delete this
exception from the definition of "protected health information" in the
final rule. The final rule considers individually identifiable health
information of individuals who are prisoners and detainees to be
protected health information to the extent that it meets the definition
and is maintained or transmitted by a covered entity.
At the same time, we agree with those commenters who explained that
correctional facilities have legitimate needs for use and sharing of
individually identifiable health information inmates without
authorization. Therefore, we add a new provision (§ 164.512(k)(5)) that
permits a covered entity to disclose protected health information about
inmates without individual consent, authorization, or agreement to
correctional institutions for specified health care and other custodial
purposes. For example, covered entities are permitted to disclose for
the purposes of providing health care to the individual who is the
inmate, or for the health and safety of other inmates or officials and
employees of the facility. In addition, a covered entity may disclose
protected health information as necessary for the administration and
maintenance of the safety, security, and good order of the institution.
See the preamble discussion of the specific requirements at §
164.512(k)(5), as well as discussion of certain limitations on the
rights of individuals who are inmates with regard to their protected
health information at §§ 164.506, 164.520, 164.524, and 164.528.
We also provide the following clarifications. Covered entities that
provide services to inmates under contract to correctional institutions
must treat protected health information about inmates in accordance with
this rule and are permitted to use and disclose such information to
correctional institutions as allowed under § 164.512(k)(5).
As to former inmates, the final rule considers such persons who are
released on parole, probation, supervised release, or are otherwise no
longer in custody, to be individuals who are not inmates. Therefore, the
permissible disclosure provision at § 164.512(k)(5) does not apply in
such cases. Instead, a covered entity must apply privacy protections to
the protected health information about former inmates in the same manner
and to the same extent that it protects the protected health information
of other individuals. In addition, individuals who are former inmates
hold the same rights as all other individuals under the rule.
As to individuals in community custody, the final rule considers inmates
to be those individuals who are incarcerated in or otherwise confined to
a correctional institution. Thus, to the extent that community custody
confines an individual to a particular facility, § 164.512(k)(5) is
applicable.
***Psychotherapy notes*.**
*Comment:* Some commenters thought the definition of psychotherapy notes
was contrary to standard practice. They claimed that reports of
psychotherapy are typically part of the medical record and that
psychologists are advised, for ethical reasons and liability risk
management purposes, not to keep two separate sets of notes. Others
acknowledged that therapists may maintain separate notations of therapy
sessions for their own purpose. These commenters asked that we make
clear that psychotherapy notes, at least in summary form, should be
included in the medical record. Many plans and providers expressed
concern that the proposed definition would encourage the creation of
"shadow" records which may be dangerous to the patient and may increase
liability for the health care providers. Some commenters claimed that
psychotherapy notes contain information that is often essential to
treatment.
*Response:* We conducted fact‑finding with providers and other
knowledgeable parties to determine the standard practice of
psychotherapists and determined that only some psychotherapists keep
separate files with notes pertaining to psychotherapy sessions. These
notes are often referred to as "process notes," distinguishable from
"progress notes," \"the medical record,\" or "official records." These
process notes capture the therapist's impressions about the patient,
contain details of the psychotherapy conversation considered to be
inappropriate for the medical record, and are used by the provider for
future sessions. We were told that process notes are often kept separate
to limit access, even in an electronic record system, because they
contain sensitive information relevant to no one other than the treating
provider. These separate \"process notes\" are what we are calling
\"psychotherapy notes.\" Summary information, such as the current state
of the patient, symptoms, summary of the theme of the psychotherapy
session, diagnoses, medications prescribed, side effects, and any other
information necessary for treatment or payment, is always placed in the
patient\'s medical record. Information from the medical record is
routinely sent to insurers for payment.
*Comment:* Various associations and their constituents asked that the
exceptions for psychotherapy notes be extended to health care
information from other health care providers. These commenters argued
that psychotherapists are not the only providers or even the most likely
providers to discuss sensitive and potentially embarrassing issues, as
treatment and counseling for mental health conditions, drug abuse,
HIV/AIDS, and sexual problems are often provided outside of the
traditional psychiatric settings. One writer stated, "A prudent health
care provider will always assess the past and present psychiatric
medical history and symptoms of a patient."
Many commenters believed that the psychotherapy notes should include
frequencies of treatment, results of clinical tests, and summary of
diagnosis, functional status, the treatment plan, symptoms, prognosis
and progress to date. They claimed that this information is highly
sensitive and should not be released without the individual's written
consent, except in cases of emergency. One commenter suggested listing
the types of mental health information that can be requested by third
party payors to make payment determinations and defining the meaning of
each term.
*Response:* As discussed above and in the NPRM, the rationale for
providing special protection for psychotherapy notes is not only that
they contain particularly sensitive information, but also that they are
the personal notes of the therapist, intended to help him or her recall
the therapy discussion and are of little or no use to others not
involved in the therapy. Information in these notes is not intended to
communicate to, or even be seen by, persons other than the therapist.
Although all psychotherapy information may be considered sensitive, we
have limited the definition of psychotherapy notes to only that
information that is kept separate by the provider for his or her own
purposes. It does not refer to the medical record and other sources of
information that would normally be disclosed for treatment, payment, and
health care operations.
*Comment:* One commenter was particularly concerned that the use of the
term "counseling" in the definition of psychotherapy notes would lead to
confusion because counseling and psychotherapy are different
disciplines.
*Response:* In the final rule, we continue to use the term
\"counseling\" in the definition of "psychotherapy." During our
fact‑finding, we learned that "counseling" had no commonly agreed upon
definition, but seemed to be widely understood in practice. We do not
intend to limit the practice of psychotherapy to any specific
professional disciplines.
*Comment:* One commenter noted that the public mental health system is
increasingly being called upon to integrate and coordinate services
among other providers of mental health services and they have developed
an integrated electronic medical record system for state-operated
hospitals, part of which includes psychotherapy notes, and which cannot
be easily modified to provide different levels of confidentiality.
Another commenter recommended allowing use or disclosure of
psychotherapy notes by members of an integrated health care facility as
well as the originator.
*Response:* The final rule makes it clear that any notes that are
routinely shared with others, whether as part of the medical record or
otherwise, are, by definition, not psychotherapy notes, as we have
defined them. To qualify for the definition and the increased
protection, the notes must be created and maintained for the use of the
provider who created them i.e., the originator, and must not be the only
source of any information that would be critical for the treatment of
the patient or for getting payment for the treatment. The types of notes
described in the comment would not meet our definition for psychotherapy
notes.
*Comment:* Many providers expressed concern that if psychotherapy notes
were maintained separately from other protected health information,
other health providers involved in the individual's care would be unable
to treat the patient properly. Some recommended that if the patient does
not consent to sharing of psychotherapy notes for treatment purposes,
the treating provider should be allowed to decline to treat the patient,
providing a referral to another provider.
*Response:* The final rule retains the policy that psychotherapy notes
be separated from the remainder of the medical record in order to
receive additional protection. We based this decision on conversations
with mental health providers who have told us that information that is
critical to the treatment of individuals is normally maintained in the
medical record and that psychotherapy notes are used by the provider who
created them and rarely for other purposes. A strong part of the
rationale for the special treatment of psychotherapy notes is that they
are the personal notes of the treating provider and are of little or no
use to others who were not present at the session to which the notes
refer.
*Comment*: Several commenters requested that we clarify that the
information contained in psychotherapy notes is being protected under
the rule and not the notes themselves. They were concerned that the
protection for psychotherapy notes would not be meaningful if health
plans could demand the same information in a different format.
*Response:* This rule provides special protection for the information in
psychotherapy notes, but it does not extend that protection to the same
information that may be found in other locations. We do not require the
notes to be in a particular format, such as hand-written. They may be
typed into a word processor, for example. Copying the notes into a
different format, per se, would not allow the information to be accessed
by a health plan. However, the requirement that psychotherapy notes be
kept separate from the medical record and solely for the use of the
provider who created them means that the special protection does not
apply to the same information in another location.
***Public health authority*.**
*Comment:* A number of the comments called for the elimination of all
permissible disclosures without authorization, and some specifically
cited the public health section and its liberal definition of public
health authority as an inappropriately broad loophole that would allow
unfettered access to private medical information by various government
authorities.
Other commenters generally supported the provision allowing disclosure
to public health authorities and to non-governmental entities authorized
by law to carry out public health activities. They further supported the
broad definition of public health authority and the reliance on broad
legal or regulatory authority by public health entities although
explicit authorities were preferable and better informed the public.
*Response:* In response to comments arguing that the provision is too
broad, we note that section 1178(b) of the Act, as explained in the
NPRM, explicitly carves out protection for state public health laws.
This provision states that: "\[N\]othing in this part shall be construed
to invalidate or limit the authority, power, or procedures established
under any law providing for the reporting of disease or injury, child
abuse, birth or death, public health surveillance, or public health
investigation or intervention." In light of this broad Congressional
mandate not to interfere with current public health practices, we
believe the broad definition of "public health authority is appropriate
to achieve that end.
*Comment:* Some commenters said that they performed public health
activities in analyzing data and information. These comments suggested
that activities conducted by provider and health plan organizations that
compile and compare data for benchmarking performance, monitoring,
utilization, and determining the health needs of a given market should
be included as part of the public health exemption. One commenter
recommended amending the regulation to permit covered entities to
disclose protected health information to private organizations for
public health reasons.
*Response:* We disagree that such a change should be made. In the
absence of some nexus to a government public health authority or other
underlying legal authority, covered entities would have no basis for
determining which data collections are "legitimate" and how the
confidentiality of the information will be protected. In addition, the
public health functions carved out for special protection by Congress
are explicitly limited to those established by law.
*Comment:* Two commenters asked for additional clarification as to
whether the Occupational Safety and Health Administration (OSHA) and the
Mine Safety and Health Administration (MSHA) would be considered public
health authorities as indicated in the preamble. They suggested specific
language for the final rule. Commenters also suggested that we specify
that states operating OSHA-approved programs also are considered public
health authorities. One comment applauded the Secretary's recognition of
OSHA as both a health oversight agency and public health authority. It
suggested adding OSHA-approved programs that operate in states to the
list of entities included in these categories. In addition, the comment
requested the final regulation specifically mention these entities in
the text of the regulation as well.
*Response:* We agree that OSHA, MSHA and their state equivalents are
public health authorities when carrying out their activities related to
the health and safety of workers. We do not specifically reference any
agencies in the regulatory definition, because the definition of public
health authority and this preamble sufficiently address this issue. As
defined in the final rule, the definition of "public health authority"
at § 164.501 continues to include OSHA as a public health authority.
State agencies or authorities responsible for public health matters as
part of their official mandate, such as OSHA-approved programs, also
come within this definition. *See* discussion of § 164.512(b) below. We
have refrained, however, from listing specific agencies and have
retained a general descriptive definition.
*Comments:* Several commenters recommended expanding the definition of
public health authority to encompass other governmental entities that
may collect and hold health data as part of their official duties. One
recommended changing the definition of public health authority to read
as follows: *public health authority means an agency or authority\...
that is responsible for public health matters or the collection of
health data as part of its official mandate*.
*Response*: We do not adopt this recommendation. The public health
provision is not intended to cover agencies that are not responsible for
public health matters but that may in the course of their
responsibilities collect health-related information. Disclosures to such
authorities may be permissible under other provision of this rule.
*Comment:* Many commenters asked us to include a formal definition of
"required by law" incorporating the material noted in this preamble and
additional suggested disclosures.
*Response:* We agree generally and modify the definition accordingly.
See discussion above.
***Research.***
*Comment:* We received many comments from supporting the proposed
definition of "research." These commenters agreed that the definition of
"research" should be the same as the definition in the Common Rule.
These commenters argued that it was important that the definition of
"research" be consistent with the Common Rule's definition to ensure the
coherent oversight of medical research. In addition, some of these
commenters also supported this definition because they believed it was
already well-understood by researchers and provided reasonably clear
guidance needed to distinguish between research and health care
operations.
Some commenters, believed that the NPRM's definition was too narrow.
Several of these commenters agreed that the Common Rule's definition
should be adopted in the final rule, but argued that the proposed
definition of "generalizable knowledge" within the definition of
"research," which limited generalizable knowledge to knowledge that is
"related to health," was too narrow. For example, one commenter stated
that gun shot wound, spousal abuse, and other kinds of information from
emergency room statistics are often used to conduct research with
ramifications for social policy, but may not be "related to health."
Several of these commenters recommended that the definition of research
be revised to delete the words "related to health." Additional
commenters who argued that the definition was too narrow raised the
following concerns: the difference between "research" and "health care
operations" is irrelevant from the patients' perspective, and therefore,
the proposed rule should have required documentation of approval by an
IRB or privacy board before protected health information could be used
or disclosed for either of these purposes, and the proposed definition
was too limited because it did not capture research conducted by
non-profit entities to ensure public health goals, such as
disease-specific registries.
Commenters who argued that the definition was too broad recommended that
certain activities should be explicitly excluded from the definition. In
general, these commenters were concerned that if certain activities were
considered to be "research" the rule's research requirements would
represent a problematic level of regulation on industry initiatives.
Some activities that these commenters recommended be explicitly excluded
from the definition of "research" included: marketing research, health
and productivity management, quality assessment and improvement
activities, and internal research conducted to improve health.
*Response:* We agree that the final rule's definition of "research"
should be consistent with the Common Rule's definition of this term. We
also agree that our proposal to limit "generalizable knowledge" to
knowledge that is "related to health," and "knowledge that could be
applied to populations outside of the population served by the covered
entity," was too narrow. Therefore, in the final rule, we retain the
Common Rule's definition of "research"and eliminate the further
elaboration of "generalizable knowledge." We understand knowledge to be
generalizable when it can be applied to either a population inside or
outside of the population served by the covered entity. Therefore,
knowledge may be "generalizable" even if a research study uses only the
protected health information held within a covered entity, and the
results are generalizable only to the population served by the covered
entity. For example, generalizable knowledge could be generated from a
study conducted by the HCFA, using only Medicare data held by HCFA, even
if the knowledge gained from the research study is applicable only to
Medicare beneficiaries.
We rejected the other arguments claiming that the definition of
"research"was either too narrow or too broad. While we agree that it is
sometimes difficult to distinguish between "research" and "health care
operations," we disagree that the difference between these activities is
irrelevant from the patients' perspective. We believe, based on many of
the comments, that individuals expect that individually identifiable
health information about themselves will be used for health care
operations such as reviewing the competence or qualifications of health
care professionals, evaluating provider and plan performance, and
improving the quality of care. A large number of commenters, however,
indicated that they did not expect that individually identifiable health
information about themselves would be used for research purposes without
their authorization. Therefore, we retain more stringent protections for
research disclosures without patient authorization.
We also disagree with the commenters who were concerned that the
proposed definition was too limited because it did not capture research
conducted by non-profit entities to ensure public health goals, such as
disease-specific registries. Such activities conducted by either
non-profit or for-profit entities could meet the rule's definition of
research, and therefore are not necessarily excluded from this
definition.
We also disagree with many of the commenters who argued that certain
activities should be explicitly excluded from the definition of
research. We found no persuasive evidence that, when particular
activities are also systematic investigations designed to contribute to
generalizable knowledge, they should be treated any different from other
such activities.
We are aware that the National Bioethics Advisory Commission (NBAC) is
currently assessing the Common Rule's definition of "research" as part
of a report they are developing on the implementation and adequacy of
the Common Rule. Since we agree that a consistent definition is
important to the conduct and oversight of research, if the Common Rule's
definition of "research" is modified in the future, the Department of
Health and Human Services will consider whether the definition should
also be modified for this subpart.
*Comment:* Some commenters urged the Department to establish precise
definitions for "health care operations" and "research" to provide clear
guidance to covered entities and adequate privacy protections for the
subjects of the information whose information is disclosed for these
purposes. One commenter supported the definition of "research" proposed
in the NPRM, but was concerned about the "crossover" from data analyses
that begin as health care operations but later become "research" because
the analytical results are of such importance that they should be shared
through publication, thereby contributing to generalizable knowledge. To
distinguish between the definitions of "health care operations" and
"research," a few commenters recommended that the rule make this
distinction based upon whether the activity is a "use" or a
"disclosure." These commenters recommend that the "use" of protected
health information for research without patient authorization should be
exempt from the proposed research provisions provided that protected
health information was not disclosed in the final analysis, report, or
publication.
*Response:* We agree with commenters that at times it may be difficult
to distinguish projects that are health operations and projects that are
research. We note that this ambiguity exists today, and disagree that we
can address this issue with more precise definitions of research and
health care operations. Today, the issue is largely one of intent. Under
the Common Rule, the ethical and regulatory obligations of the
researcher stem from the intent of the activity. We follow that approach
here. If such a project is a systematic investigation that designed to
develop or contribute to generalizable knowledge, it is considered to be
"research," not "health care operations."
In some instances, the primary purpose of the activity may change as
preliminary results are analyzed. An activity that was initiated as an
internal outcomes evaluation may produce information that could be
generalized. If the purpose of a study changes and the covered entity
does intend to generalize the results, the covered entity should
document the fact as evidence that the activity was not subject to §
164.512(i) of this rule.
We understand that for research that is subject to the Common Rule, this
is not the case. The Office for Human Research Protection interprets 45
CFR 46 to require IRB review as soon as an activity meets the definition
of research, regardless of whether the activity began as "health care
operations" or "public health," for example. The final rule does not
affect the Office of Human Research Protection's interpretation of the
Common Rule.
We were not persuaded that an individual's privacy interest is of less
concern when covered entities use protected health information for
research purposes than when covered entities disclose protected health
information for research purposes. We do not agree generally that
internal activities of covered entities do not potentially compromise
the privacy interests of individuals. Many persons within a covered
entity may have access to protected health information. When the
activity is a systematic investigation, the number of persons who may be
involved in the records review and analysis may be substantial. We
believe that IRB or privacy board approval of the waiver of
authorization will provide important privacy protections to individuals
about whom protected health information is used or disclosed for
research. If a covered entity wishes to use protected health information
about its enrollees for research purposes, documentation of an IRBs' or
privacy board's assessment of the privacy impact of such a use is as
important as if the same research study required the disclosure of
protected health information. This conclusion is consistent with the
Common Rule's requirement for IRB review of all human subjects research.
***Treatment.***
*Comment:* Some commenters advocated for a narrow interpretation of
treatment that applies only to the individual who is the subject of the
information. Other commenters asserted that treatment should be broadly
defined when activities are conducted by health care providers to
improve or maintain the health of the patient. A broad interpretation
may raise concerns about potential misuse of information, but too
limited an interpretation will limit beneficial activities and further
contribute to problems in patient compliance and medical errors.
*Response:* We find the commenters' arguments for a broad definition of
treatment persuasive. Today, health care providers consult with one
another, share information about their experience with particular
therapies, seek advise about how to handle unique or challenging cases,
and engage in a variety of other discussions that help them maintain and
improve the quality of care they provide. Quality of care improves when
providers exchange information about treatment successes and failures.
These activities require sharing of protected health information. We do
not intend this rule to interfere with these important activities. We
therefore define treatment broadly and allow use and disclosure of
protected health information about one individual for the treatment of
another individual.
Under this definition, only health care providers or a health care
provider working with a third party can perform treatment activities. In
this way, we temper the breadth of the definition by limiting the scope
of information sharing. The various codes of professional ethics also
help assure that information sharing among providers for treatment
purposes will be appropriate.
We note that poison control centers are health care providers for
purposes of this rule. We consider the counseling and follow-up
consultations provided by poison control centers with individual
providers regarding patient outcomes to be treatment. Therefore, poison
control centers and other health care providers can share protected
health information about the treatment of an individual without a
business associate contract.
*Comment:* Many commenters suggested that "treatment" activities should
include services provided to both a specific individual and larger
patient populations and therefore urged that the definition of treatment
specifically allow for such activities, sometimes referred to as
"disease management" activities. Some argued that an analysis of an
overall population is integral to determining which individuals would
benefit from disease management services. Thus, an analysis of health
care claims for enrolled populations enables proactive contact with
those identified individuals to notify them of the availability of
services. Certain commenters noted that "disease management" services
provided to their patient populations, such as reminders about
recommended tests based on nationally accepted clinical guidelines, are
integral components of quality health care.
*Response:* We do not agree that population based services should be
considered treatment activities. The definition of "treatment" is
closely linked to the § 160.103 definition of "health care," which
describes care, services and procedures related to the health of an
individual. The activities described by "treatment," therefore, all
involve health care providers supplying health care to a particular
patient. While many activities beneficial to patients are offered to
entire populations or involve examining health information about entire
populations, treatment involves health services provided by a health
care provider and tailored to the specific needs of an individual
patient. Although a population-wide analysis or intervention may prompt
a health care provider to offer specific treatment to an individual, we
consider the population-based analyses to improve health care or reduce
health care costs to be health care operations (see definition of
"health care operations," above).
*Comment:* A number of commenters requested clarification about whether
prescription drug compliance management programs would be considered
"treatment." One commenter urged HHS to clarify that provision by a
pharmacy to a patient of customized prescription drug information about
the risks, benefits, and conditions of use of a prescription drug being
dispensed is considered a treatment activity. Others asked that the
final rule expressly recognize that prescription drug advice provided by
a dispensing pharmacist, such as a customized pharmacy letter, is within
the scope of treatment.
*Response:* The activities that are part of prescription drug compliance
management programs were not fully described by these commenters, so we
cannot state a general rule regarding whether such activities constitute
treatment. We agree that pharmacists' provision of
customized prescription drug information and advice about the
prescription drug being dispensed is a treatment activity. Pharmacists'
provisions of information and counseling about pharmaceuticals to their
customers constitute treatment, and we exclude certain communications
made in the treatment context from the definition of marketing. (See
discussion above.)
*Comment:* Some commenters noted the issues and recommendations raised
in the Institutes of Medicine report 'To Err Is Human' and the critical
need to share information about adverse drug and other medical events,
evaluation of the information, and its use to prevent future medical
errors. They noted that privacy rules should not be so stringent as to
prohibit the sharing of patient data needed to reduce errors and
optimize health care outcomes. To bolster the notion that other programs
associated with the practice of pharmacy must be considered as integral
to the definition of health care and treatment, they reference OBRA '90
(42 U.S.C. 1396r-8) and the minimum required activities for dispensing
drugs; they also note that virtually every state Board of Pharmacy
adopted regulations imposing OBRA'90 requirements on pharmacies for all
patients and not just Medicaid recipients.
*Response:* We agree that reducing medical errors is critical, and do
not believe that this regulation impairs efforts to reduce medical
errors. We define treatment broadly and include quality assessment and
improvement activities in the definition of health care operations.
Covered pharmacies may conduct such activities, as well as treatment
activities appropriate to improve quality and reduce errors. We believe
that respect for the privacy rights of individuals and appropriate
protection of the confidentiality of their health information are
compatible with the goal of reducing medical errors.
*Comment:* Some commenters urged us to clarify that health plans do not
perform "treatment" activities; some of these were concerned that a
different approach in this regulation could cause conflict with state
corporate practice of medicine restrictions. Some commenters believed
that the proposed definition of treatment crossed into the area of cost
containment, which would seem to pertain more directly to payment. They
supported a narrower definition that would eliminate any references to
third party payors. One commenter argued that the permissible disclosure
of protected health information to carry out treatment is too broad for
health plans and that health plans that have no responsibility for
treatment or care coordination should have no authority to release
health information without authorization for treatment purposes.
*Response:* We do not consider the activities of third party payors,
including health plans, to be "treatment." Only health care providers,
not health plans, conduct "treatment" for purposes of this rule. A
health plan may, however, disclose protected health information without
consent or authorization for treatment purposes if that disclosure is
made to a provider. Health plans may have information the provider
needs, for example information from other providers or information about
the patient's treatment history, to develop an appropriate plan of care.
*Comment:* We received many comments relating to "disease management"
programs and whether activities described as disease management should
be included in the definition of treatment. One group of commenters
supported the proposed definition of treatment that includes disease
management. One commenter offered the position that disease management
services are more closely aligned with treatment because they involve
the coordination of treatment whereas health care operations are more
akin to financial and ministerial functions of plans.
Some recommended that the definition of treatment be limited to direct
treatment of individual patients and not allow for sharing of
information for administrative or other programmatic reasons. They
believed that allowing disclosures for disease management opens a
loophole for certain uses and disclosures, such as marketing, that
should only be permitted with authorization. Others recommended that the
definition of disease management be restricted to prevent unauthorized
use of individual health records to target individuals in a health plan
or occupational health program. Many asked that the definition of
disease management be clarified to identify those functions that,
although some might consider them to be subsumed by the term, are not
permitted under this regulation without authorization, such as marketing
and disclosures of protected health information to employers. They
suggested that disease management may describe desirable activities, but
is subject to abuse and therefore should be restricted and controlled.
One commenter recommends that we adopt a portion of the definition
adopted by the Disease Management Association of America in October
1999.
On the other hand, many comments urged that disease management be part
of the "treatment" definition or the "health care operations" definition
and asked that specific activities be included in a description of the
term. They viewed disease management as important element of
comprehensive health care services and cost management efforts. They
recommended that the definition of disease management include services
directed at an entire population and not just individual care, in order
to identify individuals who would benefit from services based on
accepted clinical guidelines. They recommended that disease management
be included under health care operations and include population level
services. A commenter asserted that limiting disease management programs
to the definition of treatment ignores that these programs extend beyond
providers, especially since NCQA accreditation standards strongly
encourage plans and insurers to provide these services.
*Response:* Disease management appeared to represent different
activities to different commenters. Our review of the literature,
industry materials, state and federal statutes,[^6]and discussions with
physician groups, health plan groups and disease management associations
confirm that a consensus definition from the field has not yet evolved,
although efforts are underway. Therefore, rather than rely on this
label, we delete "disease management" from the treatment definition and
instead include the functions often discussed as disease management
activities in this definition or in the definition of health care
operations and modify both definitions to address the commenters'
concerns.
We add population-based activities to improve health care or reduce
health care costs to the definition of health care operations. Outreach
programs as described by the commenter may be considered either health
care operations or treatment, depending on whether population-wide or
patient-specific activities occur, and if patient-specific, whether the
individualized communication with a patient occurs on behalf of health
care provider or a health plan. For example, a call placed by a nurse in
a doctor's office to a patient to discuss follow-up care is a treatment
activity. The same activity performed by a nurse working for a health
plan would be a health care operation. In both cases, the database
analysis that created a list of patients that would benefit from the
intervention would be a health care operation. Use or disclosure of
protected health information to provide education materials to patients
may similarly be either treatment or operations, depending on the
circumstances and on who is sending the materials. We cannot say in the
abstract whether any such activities constitute marketing under this
rule. See §§ 164.501 and 164.514 for details on what communications are
marketing and when the authorization of the individual may be required.
*Comment:* Many commenters were concerned that the definition of
treatment would not permit Third Party Administrators (TPAs) to be
involved with disease management programs without obtaining
authorization. They asserted that while the proposed definition of
treatment included disease management conducted by health care providers
it did not recognize the role of employers and TPAs in the current
disease management process.
*Response:*. Covered entities disclose protected health information to
other persons, including TPAs, that they hire to perform services for
them or on their behalf. If a covered entity hires a TPA to perform the
disease management activities included in the rule's definitions of
treatment and health care operations that disclosure will not require
authorization. The relationship between the covered entity and the TPA
may be subject to the business associate requirements of §§ 164.502 and
164.504. Disclosures by covered entities to plan sponsors, including
employers, for the purpose of plan administration are addressed in §
164.504.
*Comment:* Commenters suggested that as disease management is defined
only as an element of treatment, it could only be carried out by health
care providers, and not health plans. They opposed this approach because
health plans also conduct such programs, and are indeed required to do
it by accreditation standards and HCFA Managed Care Organization
standards.
*Response:* We agree that the placement of disease management in the
proposed definition of treatment suggested that health plans could not
conduct such programs. We revise the final rule to clarify that health
plans may conduct population based care management programs as a health
care operation activity.
*Comment:* Some commenters stated that the rule should require that
disease management only be done with the approval of the treating
physician or at least with the knowledge of the physician.
*Response:* We disagree with this comment because we do not believe that
this privacy rule is an appropriate venue for setting policies regarding
the management of health care costs or treatment.
*Comment:* Some industry groups stated that if an activity involves
selling products, it is not disease management. They asked for a
definition that differentiates use of information for the best interests
of patient from uses undertaken for \"ulterior purposes\" such as
advertising, marketing, or promoting separate products.
*Response:* We eliminate the definition of 'disease management' from the
rule. Often however, treatment decisions involve discussing the relevant
advantages and disadvantages if products and services. Health plans, as
part of payment and operations, sometimes communicate with individuals
about particular products and services. We address these distinctions in
the definitions of marketing and "health care operations" in § 164.501,
and in the requirements for use and disclosure of protected health
information for marketing in § 164.514.
*Comment:* Some health care providers noted that there is a danger that
employers will \"force\" individual employees with targeted conditions
into self-care or compliance programs in ways that violate both the
employee\'s privacy interest and his or her right to control own medical
care.
*Response:* Employers are not covered entities under HIPAA, so we cannot
prohibit them under this rule from undertaking these or other activities
with respect to health information. In § 164.504 we limit disclosure of
health information from group health plans to the employers sponsoring
the plans. However, other federal and/or state laws, such as disability
nondiscrimination laws, may govern the rights of employees under such
circumstances.
*Comment:* Many commenters urged that disease management only be allowed
with the written consent of the individual. Others also desired consent
but suggested that an opt-out would be sufficient. Other commenters
complained that the absence of a definition for disease management
created uncertainty in view of the proposed rule's requirement to get
authorization for marketing. They were concerned that the effect would
be to require patient consent for many activities that are desirable,
not practicably done if authorization is required, and otherwise
classifiable as treatment, payment, or health care operations. Examples
provided include reminders for appointments, reminders to get preventive
services like mammograms, and information about home management of
chronic illnesses.
*Response:* We agree with the commenters who stated that the requirement
for specific authorization for certain activities considered part of
disease management could impede the ability of health plans and covered
providers to implement effective health care management and cost
containment programs. In addition, this approach would require us to
distinguish activities undertaken as part of a formal disease management
program from the same activities undertaken outside the context of
disease management program. For example, we see no clear benefit to
privacy in requiring written authorization before a physician may call a
patient to discuss treatment options in all cases, nor do we see a sound
basis for requiring it only when the physician was following a formal
protocol as part of a population based intervention. We also are not
persuaded that the risk to privacy for these activities warrants a
higher degree of protection than do other payment, health care
operations or treatment activities for which specific authorization was
not suggested by commenters.
*Comment:* A few commenters asked that we clarify that disclosure of
protected health information about a prospective patient to a health
care provider (e.g., a possible admission to an assisted living facility
from a nursing facility) is a treatment activity that does not require
authorization.
*Response:* We agree that the described activity is "treatment," because
it constitutes referral and coordination of health care.
*Comment:* Comments called for the removal of "other services" from the
definition.
*Response:* We disagree with the concept that only health care services
are appropriately included in the treatment definition. We have modified
this definition to instead include "the provision, coordination, or
management of health care and related services." This definition allows
health care providers to offer or coordinate social, rehabilitative, or
other services that are associated with the provision of health care.
Our use of the term "related" prevents "treatment" from applying to the
provision of services unrelated to health care.
*Comment:* Several commenters stated that the definition of treatment
should include organ and tissue recovery activities. They asserted that
the information exchanged and collected to request consent, evaluate
medical information about a potential donor and perform organ recoveries
relates to treatment and are not administrative activities. When
hospitals place a patient on the UNOS list it is transferring
individually identifiable health information. Also, when an organ
procurement organization registers a donor with UNOS it could be
disclosing protected health information. Commenters questioned whether
these activities would be administrative or constitute treatment.
*Response:* In the proposed rule we included in the definition of
"health care" activities related to the procurement or organs, blood,
eyes and other tissues. This final rule deletes those activities from
the definition of "health care." We do so because, while organ and
tissue procurement organizations are integral components of the health
care system, we do not believe that the testing, procurement, and other
procedures they undertake describe "health care" offered to the donors
of the tissues or organs themselves. See the discussion under the
definition of "health care" in § 160.103.
*Comment:* Some commenters recommended including health promotion
activities in the definition of health care.
*Response:* We consider health promotion activities to be preventive
care, and thus within the definition of health care. In addition, such
activities that are population based are included in the definition of
health care operations.
*Comment:* We received a range of comments regarding the proper
placement of case and disease management in the definitions and the
perceived overlap between health care operations and treatment. Some
consider that these activities are a function of improving quality and
controlling costs. Thus, they recommend that the Secretary move risk
assessment, case and disease management to the definition of health care
operations.
*Response:* In response to these comments, we remove these terms from
the definition of treatment and add case management to the definition of
health care operations. We explain our treatment of disease management
in responses to comments above. Whether an activity described as disease
or case management falls under treatment or health care operations would
depend in part on whether the activity is focused on a particular
individual or a population. A single program described as a "case
management" effort may include both health care operations activities
(e.g., records analysis, protocol development, general risk assessment)
and treatment activities (e.g., particular services provided to or
coordinated for an individual, even if applying a standardized treatment
protocol).
*Comment:* We received comments that argued for the inclusion of
"disability management" in the treatment definition. They explained that
through disability management, health care providers refer and
coordinate medical management and they require contemporaneous exchange
of an employee's specific medical data for the provider to properly
manage.
*Response:* To the extent that a covered provider is coordinating health
care services, the provider is providing treatment. We do not include
the term "disability management" because the scope of the activities
covered by that term is not clear. In addition, the commenters did not
provide enough information for us to make a fact-based determination of
how this rule applies to the uses and disclosures of protected health
information that are made in a particular "disability management"
program.
***Use*.**
*Comment*: One commenter asserted that the scope of the proposal had
gone beyond the intent of Congress in addressing uses of information
within the covered entity, as opposed to transactions and disclosures
outside the covered entity. This commenter argued that, although HIPAA
mentions use, it is unclear that the word "use" in the proposed rule is
what Congress intended. The commenter pointed to the legislative history
to argue that "use" is related to an information exchange outside of the
entity.
*Response*: We disagree with the commenter regarding the Congress'
intent. Section 264 of HIPAA requires that the Secretary develop and
send to Congress recommendations on standards with respect to the
privacy of individually identifiable health information (which she did
on September 11, 1997) and prescribes that the recommendations address
among other items "the uses and disclosures of such information that
should be authorized or required." Section 264 explicitly requires the
Secretary to promulgate standards that address at least the subjects
described in these recommendations. It is therefore our interpretation
that Congress intended to cover "uses" as well as disclosures of
individually identifiable health information. We find nothing in the
legislative history to indicate that Congress intended to deviate from
the common meaning of the term "use."
*Comment*: One commenter observed that the definition could encompass
the processing of data by computers to execute queries. It was argued
that this would be highly problematic because computers are routinely
used to identify subsets of data sets. It was explained that in
performing this function, computers examine each record in the data set
and return only those records in the data set that meet specific
criteria. Consequently, a human being will see only the subset of data
that the computer returns. Thus, the commenter stated that it is only
this subset that could be used or disclosed.
*Response*: We interpret "use" to mean only the uses of the product of
the computer processing, not the internal computer processing that
generates the product.
*Comments:* Some commenters asked that the Department clarify that
individualized medical information obtained through a fitness for duty
examination is not subject to the privacy protections under the
regulation.
*Response:* As discussed above, we have clarified that the definition of
"treatment" to include assessments of an individual. If the assessment
is performed by a covered health care provider, the health information
resulting from the assessment is protected health information. We note
that a covered entity is permitted to condition the provision of health
care when the sole purpose is to create protected health information for
the benefit of a third person. See § 164.508(b). For example, a covered
health care provider may condition the provision of a fitness for duty
examination to an individual on obtaining an authorization from the
individual for disclosure to the employer who has requested the
examination.
**SECTION 164.502 - USES AND DISCLOSURES OF PROTECTED HEALTH
INFORMATION: GENERAL RULES**
**Section 164.502(a) -- General Standard**
*Comment:* A few commenters requested an exemption from the rule for the
Social Security and Supplemental Security Income Disability Programs so
that disability claimants can be served in a fair and timely manner. The
commenters were concerned that the proposal would be narrowly
interpreted, thereby impeding the release of medical records for the
purposes of Social Security disability programs.
Another commenter similarly asked that a special provision be added to
the proposal's general rule for uses and disclosures without
authorization for treatment, payment, and health care operations
purposes to authorize disclosure of all medical information from all
sources to the Social Security Administration, including their
contracted state agencies handling disability determinations.
*Response:* A complete exemption for disclosures for these programs is
not necessary. Under current practice, the Social Security
Administration obtains authorization from applicants for providers to
release an individual's records to SSA for disability and other
determinations. Thus, there is no reason to believe that an exemption
from the authorization required by this rule is needed to allow these
programs to function effectively. Further, such an exemption would
reduce privacy protections from current levels. When this rule goes into
effect, those authorizations will need to meet the requirements for
authorization under § 164.508 of this rule.
We do, however, modify other provisions of the proposed rule to
accommodate the special requirements of these programs. In particular,
Social Security Disability and other federal programs, and public
benefits programs run by the states, are authorized by law to share
information for eligibility purposes. Where another public body has
determined that the appropriate balance between need for efficient
administration of public programs and public funds and individuals'
privacy interests is to allow information sharing for these limited
purposes, we do not upset that determination. Where the sharing of
enrollment and eligibility information is required or expressly
authorized by law, this rule permits such sharing of information for
eligibility and enrollment purposes (see § 164.512(k)(6)(i)), and also
excepts these arrangements from the requirements for business associate
agreements (see § 164.502(e)(1)).
*Comment:* A few commenters asked that the rule be revised to authorize
disclosures to clergy, for directory purposes, to organ and tissue
procurement organizations, and to the American Red Cross without patient
authorization.
*Response:* We agree and revise the final rule accordingly. The new
policies and the rationale for these policies are found in §§ 164.510
and 164.512, and the corresponding preamble.
*Comment*: One commenter recommended that the rule apply only to the
"disclosure" of protected health information by covered entities, rather
than to both "use" and "disclosure." The commenter stated that the
application of the regulation to a covered entity's use of individually
identifiable health information offers little benefit in terms of
protecting protected health information, yet imposes costs and may
hamper many legitimate activities, that fall outside the definition of
treatment, payment or health care operations.
Another commenter similarly urged that the final regulation draw
substantive distinctions between restrictions on the "use" of
individually identifiable health information and on the "disclosure" of
such information, with broader latitude for "uses" of such information.
The commenter believed that internal "uses" of such information
generally do not raise the same issues and concerns that a disclosure of
that information might raise. It was argued that any concerns about the
potential breadth of use of this information could be addressed through
application of the "minimum necessary" standard. The commenter also
argued that Congressional intent was that a "disclosure" of individually
identifiable health information is potentially much more significant
than a "use" of that information.
*Response*: We do not accept the commenter's broad recommendation to
apply the regulation only to the "disclosure" of protected health
information and not to "use" of such information. Section 264 charges
the Secretary with promulgating standards that address, among other
things, "the uses and disclosures" of individually identifiable health
information. We also do not agree that applying the regulation to "use"
offers little benefit to protecting protected health information. The
potential exists for misuse of protected health information within
entities. This potential is even greater when the covered entity also
provides services or products outside its role as a health care
provider, health plan, or health care clearinghouse for which "use" of
protected health information offers economic benefit to the entity. For
example, if this rule did not limit "uses" generally to treatment,
payment and health care operations, a covered entity that also offered
financial services could be able to use protected health information
without authorization to market or make coverage or rate decisions for
its financial services products. Without the minimum necessary standard
for uses, a hospital would not be constrained from allowing their
appointment scheduling clerks free access to medical records.
We agree, however, that it is appropriate to apply somewhat different
requirements to uses and disclosures of protected health information
permitted by this rule. We therefore modify the application of the
minimum necessary standard to accomplish this. See the preamble to §
164.514 for a discussion of these changes.
*Comment:* A commenter argued that the development, implementation, and
use of integrated computer-based patient medical record systems, which
requires efficient information sharing, will likely be impeded by
regulatory restrictions on the "use" of protected health information and
by the minimum necessary standard.
*Response:* We have modified the proposed approach to regulating "uses"
of protected health information within an entity, and believe our policy
is compatible with the development and implementation of computer-based
medical record systems. In fact, we drew part of the revised policy on
"minimum necessary" use of protected health information from the
role-based access approach used in several computer-based records
systems today. These policies are described further in § 164.514.
*Comment:* One commenter asked that the general rules for uses and
disclosures be amended to permit covered entities to disclose protected
health information for purposes relating to property and casualty
benefits. The commenter argued that the proposal could affect its
ability to obtain protected health information from covered entities,
thereby constricting the flow of medical information needed to
administer property and casualty benefits, particularly in the workers'
compensation context. It was stated that this could seriously impede
property and casualty benefit providers' ability to conduct business in
accordance with state law.
*Response:* We disagree that the rule should be expanded to permit all
uses and disclosures that relate to property and casualty benefits. Such
a broad provision is not in keeping with protecting the privacy of
individuals. Although we generally lack the authority under HIPAA to
regulate the practices of this industry, the final rule addresses when
covered entities may disclose protected health information to property
and casualty insures. We believe that the final rule permits property
and casualty insurers to obtain the protected health information that
they need to maintain their promises to their policyholders. For
example, the rule permits a covered entity to use or disclose protected
health information relating to an individual when authorized by the
individual. Property and casualty insurers are free to obtain
authorizations from individuals for release by covered entities of the
health information that the insurers need to administer claims, and this
rule does not affect their ability to condition payment on obtaining
such an authorization from insured individuals. Property and casualty
insurers providing payment on a third-party basis have an opportunity to
obtain authorization from the individual and to condition payment on
obtaining such authorization. The final rule also permits covered
entities to make disclosures to obtain payment, whether from a health
plan or from another person such as a property and casualty insurer. For
example, where an automobile insurer is paying for medical benefits on a
first-party basis, a health care provider may disclose protected health
information to the insurer as part of a request for payment. We also
include in the final rule a new provision that permits covered entities
to use or disclose protected health information as authorized by
workers' compensation or similar programs established by law addressing
work-related injuries or illness. See § 164.512(l). These statutory
programs establish channels of information sharing that are necessary to
permit compensation of injured workers.
*Comment*: A few commenters suggested that the Department specify
"prohibited" uses and disclosures rather than "permitted" uses and
disclosures.
*Response:* We reject these commenters' because we believe that the best
privacy protection in most instances is to require the individual's
authorization for use or disclosure of information, and that the role of
this rule is to specify those uses and disclosures for which the balance
between the individuals' privacy interest and the public's interests
dictates a different approach. The opposite approach would require us to
anticipate the much larger set of all possible uses of information that
do not implicate the public's interest, rather than to specify the
public interests that merit regulatory protection.
*Comment:* A commenter recommended that the rule be revised to more
strongly discourage the use of individually identifiable health
information where de-identified information could be used.
*Response:* We agree that the use of de-identified information wherever
possible is good privacy practice. We believe that by requiring covered
entities to implement these privacy restrictions only with respect to
individually identifiable health information, the final rule strongly
encourages covered entities to use de-identified information as much as
practicable.
*Comment:* One commenter recommended that when information from health
records is provided to authorized external users, this information
should be accompanied by a statement prohibiting use of the information
for other than the stated purpose; prohibiting disclosure by the
recipient to any other party without written authorization from the
patient, or the patient\'s legal representative, unless such information
is urgently needed for the patient\'s continuing care or otherwise
required by law; and requiring destruction of the information after the
stated need has been fulfilled.
*Response:* We agree that restricting other uses or re-disclosure of
protected health information by a third party that may receive the
information for treatment, payment, and health care operations purposes
or other purposes permitted by rule would be ideal with regard to
privacy protection. However, as described elsewhere in this preamble,
once protected health information leaves a covered entity the Department
no longer has jurisdiction under the statute to apply protections to the
information. Since we would have no enforcement authority, the costs and
burdens of requiring covered entities to produce and distribute such a
statement to all recipients of protected heath information, including
those with whom the covered entity has no on-going relationship, would
outweigh any benefits to be gained from such a policy. Similarly, where
protected health information is disclosed for routine treatment, payment
and operations purposes, the sheer volume of these disclosures makes the
burden of providing such a statement unacceptable. Appropriate
protection for these disclosures requires law or regulation directly
applicable to the recipient of the information, not further burden on
the disclosing entity. Where, however, the recipient of protected health
information is providing a service to or on behalf of the covered entity
this balance changes. It is consistent with long-standing legal
principles to hold the covered entity to a higher degree of
responsibility for the actions of its agents and contractors. See §
164.504 for a discussion of the responsibilities of covered entities for
the actions of their business associates with respect to protected
health information.
**Section 164.502(b) -- Minimum Necessary**
Comments on the minimum necessary standard are addressed in the preamble
to § 164.514(d).
**Section 164.502(c) -- Uses or Disclosures of Protected Health
Information Subject to an Agreed Upon Restriction**
Comments on the agreed upon restriction standard are addressed in the
preamble to § 164.522(a).
**Section 164.502(d) -- Uses and Disclosures of De-Identified Protected
Health Information**
Comments on the requirements for de-identifying information are
addressed in the preamble to § 164.514(a)-(c).
**Section 164.502(e) -- Business Associates**
Comments on business associates are addressed in the preamble to §
164.504(e).
**Section 164.502(f) -- Deceased Individuals**
*Comment:* Most commenters on this topic generally did not approve of
the Secretary's proposal with regard to protected health information
about deceased individuals. The majority of these commenters argued that
our proposal was not sufficiently protective of such information.
Commenters agreed with the statements made in the preamble to the
proposed rule that the privacy concerns addressed by this policy are not
limited to the confidential protection of the deceased individual but
instead also affects the decedent's family, as genetic information and
information pertinent to hereditary diseases and risk factors for
surviving relatives and direct family members may be disclosed through
the disclosure of the deceased individual's confidential data. It was
argued that the proposal would be inadequate to protect the survivors
who could be negatively affected and in most cases will outlive the
two-year period of protection. A number of medical associations asserted
that individuals may avoid genetic testing, diagnoses, and treatment and
suppress information important to their health care if they fear family
members will suffer discrimination from the release of their medical
information after their death. One commenter pointed out that ethically
little distinction can be made between protecting an individual's health
information during life and protecting it post-mortem. Further, it was
argued that the privacy of the deceased individual and his or her family
is far more important than allowing genetic information to be abstracted
by an institutional or commercial collector of information. A few
commenters asked that we provide indefinite protection on the protected
health information about a deceased person contained in psychotherapy
notes. One commenter asked that we extend protections on records of
children who have died of cancer for the lifetime of a deceased child's
siblings and parents.
The majority of commenters who supported increased protections on the
protected health information about the deceased asked that we extend
protections on such information indefinitely or for as long as the
covered entity maintains the information. It was also argued that the
administrative burden of perpetual protection would be no more
burdensome than it is now as current practice is that the
confidentiality of identifiable patient information continues after
death. A number of others pointed out that there was no reason to set a
different privacy standard for deceased individuals than we had for
living individuals and that it has been standard practice to release the
information of deceased individuals with a valid consent of the
executor, next of kin, or specific court order. In addition, commenters
referenced Hawaii's health care information privacy law (see Haw. Rev.
Stat. section 323C-43) as at least one example of a state law where the
privacy and access provisions of the law continue to apply to the
protected health information of a deceased individual following the
death of that individual.
*Response:* We find the arguments raised by these commenters persuasive.
We have reconsidered our position and believe these arguments for
maintaining privacy on protected health information without temporal
limitations outweigh any administrative burdens associated with
maintaining such protections. As such, in the final rule we revise our
policy to extend protections on the protected health information about a
deceased individual to remain in effect for as long as the covered
entity maintains the information.
For purposes of this regulation, this means that, except for uses and
disclosures for research purposes (see § 164.512(i)), covered entities
must under this rule protect the protected health information about a
deceased individual in the same manner and to the same extent as
required for the protected health information of living individuals.
This policy alleviates the burden on the covered entity from having to
determine whether or not the person has died and if so, how long ago,
when determining whether or not the information can be released.
*Comment:* One commenter asked us to delete our standard for deceased
individuals, asserting that the deceased have no constitutional right to
privacy and state laws are sufficient to maintain protections for
protected health information about deceased individuals.
*Response:* We understand that traditional privacy law has historically
stripped privacy protection on information at the time the subject of
the information dies. However, as we pointed out in the preamble to the
proposed rule, the dramatic proliferation of electronic-based
interchanges and maintenance of information has enabled easier and more
ready access to information that once may have been *de facto* protected
for most people because of the difficulty of its collection and
aggregation. It is also our understanding that current state laws vary
widely with regard to the privacy protection of a deceased individual's
individually identifiable health information. Some are less protective
than others and may not take into account the implications of disclosure
of genetic and hereditary information on living individuals. For these
reasons, a regulatory standard is needed here in order to adequately
protect the privacy interests of those who are living.
*Comment:* Another commenter expressed concern over the administrative
problems that the proposed standard would impose, particularly in the
field of retrospective health research.
*Response:* For certain research purposes, we permit a covered entity to
use and disclose the protected health information of a deceased
individual without authorization by a personal representative and absent
review by an IRB or privacy board. The verification standard (§
164.514(h)) requires that covered entities obtain an oral or written
representation that the protected health information sought will be used
or disclosed solely for research, and § 164.512(i)(1)(iii) requires the
covered entity to obtain from the researcher documentation of the death
of the individual. We believe the burden on the covered entity will be
small, because it can reasonably rely on the representation of purpose
and documentation of death presented by the researcher.
*Comment:* A few commenters argued that the standard in the proposed
rule would cause significant administrative burdens on their record
retention and storage policies. Commenters explained that they have
internal policy record-retention guidelines which do not envision the
retention of records beyond a few years. Some commenters complained
about the burden of having to track dates of death, as the commenters
are not routinely notified when an individual has died.
*Response:* The final rule does not dictate any record retention
requirements for the records of deceased individuals. Since we have
modified the NPRM to cover protected health information about deceased
individuals for as long as the covered entity maintains the information,
there will be no need for the covered entity to track dates of death.
*Comment:* A few commenters voiced support for the approach proposed in
the proposal to maintain protections for a period of two years.
*Response:* After consideration of public comments, we chose not to
retain this approach because the two-year period would be both
inadequate and arbitrary. As discussed above, we agree with commenter
arguments in support of providing indefinite protection.
*Comment:* A few commenters expressed concern that the regulations may
be interpreted as providing a right of access to a deceased's records
only for a two-year period after death. They asked the Department to
clarify that the right of access of an individual, including the
representatives of a deceased individual, exists for the entire period
the information is held by a covered entity.
*Response:* We agree with these comments, given the change in policy
discussed above.
*Comment:* A few commenters suggested that privacy protections on
protected health information about deceased individuals remain in effect
for a specified time period longer than 2 years, arguing that two years
was not long enough to protect the privacy rights of living individuals.
These commenters, however, were not in agreement as to what other period
of protection should be imposed, suggesting various durations from 5 to
20 years.
*Response:* We chose not to extend protections in this way because
specifying another time period would raise many of the same concerns
voiced by the commenters regarding our proposed two year period and
would not reduce the administrative burden of having to track or learn
dates of death. We believe that the policy in this final rule extending
protections for as long as the covered entity maintains the information
addresses commenter concerns regarding the need for increased
protections on the protected health information about the deceased.
*Comment:* Some commenters asserted that information on the decedent
from the death certificate is important for assessment and research
purposes and requested that the Department clarify accordingly that
death certificate data be allowed for use in traditional public health
assessment activities.
*Response:* Nothing in the final rule impedes reporting of death by
covered entities as required or authorized by other laws, or access to
death certificate data to the extent that such data is available
publicly from non-covered entities. Death certificate data maintained by
a covered entity is protected health information and must only be used
or disclosed by a covered entity in accordance with the requirements of
this regulation. However, the final rule permits a covered entity to
disclose protected health information about a deceased individual for
research purposes without authorization and absent IRB or privacy board
approval.
*Comment:* A few commenters asked that we include in the regulation a
mechanism to provide for notification of date of death. These commenters
questioned how a covered entity or business partner would be notified of
a death and subsequently be able to determine whether the two-year
period of protection had expired and if they were permitted to use or
disclose the protected health information about the deceased. One
commenter further stated that absent such a mechanism, a covered entity
would continue to protect the information as if the individual were
still living. This commenter recommended that the burden for providing
notification and confirmation of death be placed on any authorized
entity requesting information from the covered entity beyond the
two-year period.
*Response:* In general, such notification is no longer necessary as,
except for uses and disclosures for research purposes, the final rule
protects the protected health information about a deceased individual
for as long as the covered entity holds the record. With regard to uses
and disclosures for research, the researcher must provide covered
entities with appropriate documentation of proof of death, the burden is
not on the covered entity.
*Comment:* A few commenters pointed to the sensitivity of genetic and
hereditary information and its potential impact on the privacy of living
relatives as a reason for extending protections on the information about
deceased individuals for as long as the covered entity maintains the
information. However, a few commenters recommended additional
protections for genetic and hereditary information. For example, one
commenter suggested that researchers should be able to use sensitive
information of the deceased but then be required to publish findings in
de-identified form. Another commenter recommended that protected health
information about a deceased individual be protected as long as it
implicates health problems that could be developed by living relatives.
*Response:* We agree with many of the commenters regarding the
sensitivity of genetic or hereditary information and, in part for this
reason, extended protections on the protected health information of
deceased individuals. Our reasons for retaining the exception for
research are explained above.
We agree with and support the practice of publishing research findings
in de-identified form. However, we cannot regulate researchers who are
not otherwise covered entities in this regulation.
*Comment:* One commenter asked that the final rule allow for disclosure
of protected health information to funeral directors as necessary for
facilitating funeral and disposition arrangements. The commenter
believed that our proposal could seriously disrupt a family's ability to
make funeral arrangements as hospitals, hospices, and other health care
providers would not be allowed to disclose the time of death and other
similar information critical to funeral directors for funeral
preparation. The commenter also noted that funeral directors are already
precluded by state licensing regulations and ethical standards from
inappropriately disclosing confidential information about the deceased.
Further, the commenter stated that funeral directors have legitimate
needs for protected health information of the deceased or of an
individual when death is anticipated. For example, often funeral
directors are contacted when death is foreseen in order to begin the
process of planning funeral arrangements and prevent unnecessary delays.
In addition, the embalming of the body is affected by the medical
condition of the body.
In addition, it was noted that funeral directors need to be aware of the
presence of a contagious or infectious disease in order to properly
advise family members of funeral and disposition options and how they
may be affected by state law. For example, certain states may prohibit
cremation of remains for a certain period unless the death was caused by
a contagious or infectious disease, or prohibit family members from
assisting in preparing the body for disposition if there is a risk of
transmitting a communicable disease from the corpse.
*Response:* We agree that disclosures to funeral directors for the above
purposes should be allowed. Accordingly, the final rule at §
164.512(g)(2) permits covered entities to disclose protected health
information to funeral directors, consistent with applicable law, as
necessary to carry out their duties with respect to the decedent. Such
disclosures are also permitted prior to, and in reasonable anticipation
of, the individual's death.
*Comment:* Several commenters urged that the proposed standard for
deceased individuals be clarified to allow access by a family member who
has demonstrated a legitimate health-related reason for seeking the
information when there is no executor, administrator, or other person
authorized under applicable law to exercise the right of access of the
individual.
Another commenter asked that the rule differentiate between blood
relatives and family members and address their different access
concerns, such as with genetic information versus information about
transmittable diseases. They also recommended that the regulation allow
access to protected health information by blood-related relatives prior
to the end of the two-year period and provide them with the authority to
extend the proposed two-year period of protection if they see fit.
Lastly, the commenter suggested that the regulation address the concept
of when the next-of-kin may not be appropriate to control a deceased
person's health information.
*Response:* We agree that family members may need access to the
protected health information of a deceased individual, and this
regulation permits such disclosure in two ways. First, a family member
may qualify as a "personal representative" of the individual (see §
164.502(g)). Personal representatives include anyone who has authority
to act on behalf of a deceased individual or such individual's estate,
not just legally-appointed executors. We also allow disclosure of
protected health information to health care providers for purposes of
treatment, including treatment of persons other than the individual.
Thus, where protected health information about a deceased person is
relevant to the treatment of a family member, the family member's
physician may obtain that information. Because we limit these
disclosures to disclosures for treatment purposes, there is no need to
distinguish between disclosure of information about communicable
diseases and disclosure of genetic information.
With regard to fitness to control information, we defer to existing
state and other laws that address this matter.
**Section 164.502(g) -- Personal Representative**
*Comment:* It was observed that under the proposed regulation, legal
representatives with "power of attorney" for matters unrelated to health
care would have unauthorized access to confidential medical records.
Commenters recommended that access to a person's protected health
information be limited to those representatives with a "power of
attorney" for health care matters only. Related comments asked that the
rule limit the definition of "power of attorney" to include only those
instruments granting specific power to deal with health care functions
and health care records.
*Response:* We have deleted the reference to "power of attorney." Under
the final rule, a person is a personal representative of a living
individual if, under applicable law, such person has authority to act on
behalf of an individual in making decisions related to health care.
"Decisions relating to health care" is broader than consenting to
treatment on behalf of an individual; for example, it would include
decisions relating to payment for health care. We clarify that the
rights and authorities of a personal representative under this rule are
limited to protected health information relevant to the rights of the
person to make decisions about an individual under other law. For
example, if a husband has the authority only to make health care
decisions about his wife in an emergency, he would have the right to
access protected health information related to that emergency, but he
may not have the right to access information about treatment that she
had received ten years ago.
We note that the rule for deceased individuals differs from that of
living individuals. A person may be a personal representative of a
deceased individual if they have the authority to act on behalf of such
individual or such individual's estate for any decision, not only
decisions related to health care. We create a broader scope for a person
who is a personal representative of a deceased individual because the
deceased individual can not request that information be disclosed
pursuant to an authorization, whereas a living individual can do so.
*Comment:* Some commenters asked that the NPRM provision allowing
informal decision-makers access to the protected health information of
an incapacitated individual should be maintained in the final rule.
*Response:* We agree with the commenters, and retain permission for
covered entities to share protected health information with informal
decision makers, under conditions specified in § 164.510(b). A person
need not be a personal representative for such disclosure of protected
health information to be made to an informal decision-maker.
*Comment:* Commenters urged that individuals with mental retardation,
who can provide verbal agreement or authorization, should have control
over dissemination of their protected health information, in order to
increase the privacy rights of such individuals.
*Response*: Individuals with mental retardation have control over
dissemination of their protected health information under this rule to
the extent that state law provides such individuals with the capacity to
act on their own behalf. We note that a covered entity need not disclose
information pursuant to a consent or authorization. Therefore, even if
state law determines that an individual with mental retardation is not
competent to act and a personal representative provides authorization
for a disclosure, a covered entity may choose not to disclose such
information if the individual who lacks capacity to act expresses his or
her desire that such information not be disclosed.
*Comment:* A commenter suggested that the final rule should provide
health plans with a set of criteria for formally identifying an
incapacitated individual's decision-maker. Such criteria would give
guidance to health plans that would help in not releasing information to
the wrong person.
*Response*: The determination about who is a personal representative
under this rule is based on state or other applicable law. We require
that a covered entity verify the authority of a personal representative,
in accordance with § 164.514(h) in order to disclose information to such
person.
*Comment:* Commenters were troubled by the inclusion of minors in the
definition of "individual" and believed that the presumption should be
that parents have the right to care for their children.
*Response:* We agree that a parent should have access to the protected
health information about their unemancipated minor children, except in
limited circumstances based on state law. The approach in the final rule
helps clarify this policy. The definition of "individual" is simplified
in the final rule to "the person who is the subject of protected health
information." (§ 164.501). We created a new section (§ 164.502(g)) to
address "personal representatives," which includes parents and guardians
of unemancipated minors. Generally, we provide that if under applicable
law a parent has authority to act on behalf of an unemancipated minor in
making decisions relating to health care about the minor, a covered
entity must treat the parent as the personal representative with respect
to protected health information relevant to such personal
representation. The regulation provides only three limited exceptions to
this rule based upon current state law and physician practice.
*Comment:* Many commenters agreed with our approach in the NPRM to give
minors who may lawfully access health care the rights to control the
protected health information related to such health care.
Several commenters disagreed with this approach and recommended that
where states allow minors too much independence from parents, the rule
should not defer to state law. One commenter suggested that we give an
individual the right to control protected health information only when
the individual reaches the age of majority.
*Response:* In the final rule, the parent, as the personal
representative of a minor child, controls the protected health
information about the minor, except that the parent does not act as a
personal representative of the minor under the rule in three limited
circumstances based on state consent law and physician practice. The
final rule defers to consent laws of each state and does not attempt to
evaluate the amount of control a state gives to a parent or minor. If a
state provides an alternative means for a minor to obtain health care,
other than with the consent of a parent, this rule preserves the system
put in place by the state.
The first two exceptions, whereby a parent is not the personal
representative for the minor and the minor can act for himself or
herself under the rule, occur if the minor consents to a health care
service, and no other consent to such health care service is required by
law, or when the minor may lawfully obtain a health care service without
the consent of a parent, and the minor, a court, or another person
authorized by law consents to such service. The third exception is based
on guidelines of the American Pediatric Association, current practice,
and agreement by parents. If a parent assents to an agreement of
confidentiality between a covered provider and a minor with respect to a
health care service, the parent is not the personal representative of
the minor with respect to the protected health information created or
received subject to that confidentiality agreement. In such
circumstances, the minor would have the authority to act as an
individual, with respect to such protected health information.
*Comment:* Some commenters requested that we permit minors to exercise
the rights of an individual when applicable law requires parental
notification as opposed to parental consent.
*Response:* We adopt this policy in the final rule. If the minor
consents to a health care service, and no other consent to such health
care service is required by law, regardless of whether the consent of
another person has also been obtained or notification to another person
has been given, only the minor may be treated as the individual with
respect to the protected health information relating to such health care
service. The rule does not affect state law that authorizes or requires
notification to a parent of a minor's decision to obtain a health care
service to the extent authorized or required by such law. In addition,
state parental notification laws do not affect the rights of minors
under this regulation.
*Comment:* Some commenters requested clarification that when a minor may
obtain a health care service without parental consent and voluntarily
chooses to involve a parent, the minor retains the rights, authorities
and confidentiality protections established in this rule.
*Response:* We agree that minors should be encouraged to voluntarily
involve a parent or other responsible adult in their health care
decisions. The rule is not intended to require that minors choose
between involving a parent and maintaining confidentiality protections.
We have added language in § 164.502(g)(3)(i) to clarify that when a
minor consents to a health care service and no other consent is required
by law, if the minor voluntarily chooses to involve a parent or other
adult, the minor nonetheless maintains the exclusive ability to exercise
their rights under the rule. This is true even if a parent or other
person also has consented to the health care service for which the minor
lawfully consented. Under the rule, a minor may involve a parent and
still preserve the confidentiality of their protected health
information. In addition, a minor may choose to have a parent act as his
or her personal representative even if the minor could act on his or her
own behalf under the rule. If the minor requests that a covered entity
treat a parent as his or her personal representative, the covered entity
must treat such person as the minor's personal representative even if
the minor consents to a health care service and no other consent to such
health care service is required by law.
*Comment:* Some commenters requested that the rule provide for the
preservation of patient confidences if a health care provider and a
minor patient enter into an agreement of confidentiality and a parent
assents to this arrangement.
*Response:* We have addressed this concern in the final rule by adding a
provision that ensures that a minor maintains the confidentiality
protections provided by the rule for information that is created or
received pursuant to a confidential communication between a provider and
a minor when the minor's parent assents to an agreement of
confidentiality between the provider and the minor. (§
164.502(g)(3)(ii))*.* The American Academy of Pediatrics *Guidelines for
Health Supervision III*, which are meant to serve as "a framework to
help clinicians focus on important issues at developmentally appropriate
time intervals," recommends that physicians interview children alone
beginning at the age of twelve (or as early as the age of ten if it is
comfortable for the child). This recommendation is based on the fact
that adolescents tend to underutilize existing health care resources, in
part, because of a concern for confidentiality.[^7] The recommended
interview technique in the *Guidelines* states that the provider discuss
the rules of confidentiality with the adolescent and the parent and that
the adolescent's confidentiality should be respected. We do not intend
to interfere with these established protocols or current practices.
Covered entities will need to establish procedures to separate protected
health information over which the minor maintains control from protected
health information with respect to which the minor's parent has rights
as a personal representative of the minor.
A covered provider may disclose protected health information to a
parent, regardless of a confidentiality agreement, if there is an
imminent threat to the minor or another person, in accordance with §
164.512(j)(1)(i).
*Comment:* Several commenters suggested that we add a provision in the
final rule to provide minors and parents with concurrent rights under
certain circumstances, particularly when the minor reaches 16 years of
age or when a parent authorizes his or her minor child to exercise these
rights concurrently.
*Response:* We do not add such provision in the final rule. We believe
that establishing concurrent rights through this rule could result in
problems that effect the quality of health care if the minor and the
parent were to disagree on the exercise of their rights. The rule would
not prevent a parent from allowing a minor child to make decisions about
his or her protected health information and acting consistently with the
minor's decision. In all cases, either the parent has the right to act
for the individual with respect to protected health information, or the
minor has the right to act for himself or herself. The rule does not
establish concurrent rights for parents and minors.
*Comment:* Commenters requested clarification about the rights of an
adult or emancipated minor with respect to protected health information
concerning health care services rendered while the person was an
unemancipated minor.
*Response:* Once a minor becomes emancipated or attains the age of
majority, as determined by applicable state law, the parent is no longer
the personal representative under § 164.502(g)(3) of such individual,
unless the parent has the authority to act on behalf of the individual
for some reason other than their authority as a parent. An adult or
emancipated minor has rights under the rule with respect to all
protected health information about them, including information obtained
while the individual was an unemancipated minor.
*Comment:* One commenter pointed out that language in the definition of
individual in the NPRM that grants a minor the rights of an individual
when he or she "lawfully receives care without the consent of, or
notification to, a parent . . ." would have the effect of granting
rights to an infant minor who receives emergency care when the parent is
not available.
*Response:* This result was not our intent. We have changed the language
in § 164.502(g)(3)(i) of the final rule to provide a minor the right to
act as an individual when the minor can obtain care without the consent
of a parent and the minor consents to such care. Because an infant
treated in an emergency situation would not be able to consent to care,
the infant's parent would be treated as the personal representative of
the infant. Section 164.502(g)(3)(ii) provides that the parent is not
the personal representative of the minor under the rule if the minor may
obtain health care without the consent of a parent and the minor, a
court, or another person authorized by law consents to such service. If
an infant obtains emergency care without the consent of a parent, a
health care provider may provide such care without consent to treatment.
This situation would fall outside the second exception, and the parent
would remain the personal representative of the minor.
*Comment:* Commenters were concerned about the interaction of this rule
with FERPA with respect to parents' right to access the medical records
of their children.
*Response:* We direct the commenters to a discussion of the interaction
between our rule and FERPA in the \"Relationship to Other Federal Laws\"
section of the preamble.
**Section 164.502(h) -- Confidential Communications**
Comments on confidential communications are addressed in the preamble to
§ 164.522(b).
**Section 164.502(i) -- Uses and Disclosures Consistent with Notice**
Comments on the notice requirements are addressed in the preamble to §
164.520.
**Section 164.502(j) -- Uses and Disclosures by Whistleblowers and
Workforce Crime Victims**
*Comments:* Some commenters wanted to see more limitations put on the
ability to whistleblow in the final rule. These commenters were
concerned about how disclosed protected health information would be used
during and subsequent to the whistleblowing event and felt that adding
additional limitations to the ability to whistleblow would help to
alleviate these concerns. Some of these commenters were concerned that
there was no protection against information later being leaked to the
public or re-released after the initial whistleblowing event, and that
this could put covered entities in violation of the law. Many commenters
wanted to see the whistleblower provision deleted entirely. According to
a number of health care associations who commented on this topic,
current practices already include adequate mechanisms for informing law
enforcement, oversight and legal counsel of possible violations without
the need for patient identifiable information; thus, the provision
allowing whistleblowers to share protected health information is
unnecessary. Additionally, some commenters felt that the covered entity
needs to be allowed to prohibit disclosures outside of legitimate
processes. Some commenters were concerned about not having any recourse
if the whistleblower's suspicions were unfounded.
*Response:* In this rule, we do not regulate the activities of
whistleblowers. Rather, we regulate the activities of covered entities,
and determine when they may be held responsible under this rule for
whistleblowing activities of their workforce or business associates when
that whistleblowing involves the disclosure of protected health
information. Similarly, we regulate when covered entities must and need
not sanction their workforce who disclose protected health information
in violation of the covered entity's policies and procedures, when that
disclosure is for whistleblowing purposes. See § 164.530(e). This rule
does not address a covered entity's recourse against a whistleblower
under other applicable law.
We do not hold covered entities responsible under this rule for
whistleblowing disclosures of protected health information under the
circumstances described in § 164.502(j). Our purpose in including this
provision is to make clear that we are not erecting a new barrier to
whistleblowing, and that covered entities may not use this rule as a
mechanism for sanctioning workforce members or business associates for
whistleblowing activity. We do not find convincing commenters' arguments
for narrowing or eliminating the scope of the whistleblowing which
triggers this protection.
Congress, as well as several states, have recognized the importance of
whistleblower activity to help identify fraud and mismanagement and
protect the public's health and safety. Whistleblowers, by their unique
insider position, have access to critical information not otherwise
easily attainable by oversight and enforcement organizations.
While we recognize that in many instances, de-identified or anonymous
information can be used to accomplish whistleblower objectives, there
are instances, especially involving patient care and billing, where this
may not be feasible. Oversight investigative agencies such as the
Department of Justice rely on identifiable information in order to issue
subpoenas that are enforceable. Relevant court standards require the
government agency issuing the subpoena to explain why the specific
records requested are relevant to the subject of the investigation, and
without such an explanation the subpoena will be quashed. Issuing a
subpoena for large quantities of individual records to find a few
records involving fraud is cost prohibitive as well as likely being
unenforceable.
We note that any subsequent inappropriate disclosure by a recipient of
whistleblower information would not put the covered entity in violation
of this rule, since the subsequent disclosure is not covered by this
regulation.
*Comments:* A few commenters felt that the whistleblower should be held
to a "reasonableness standard" rather than a "belief" that a violation
has taken place before engaging in whistleblower activities. The
commenters felt that a belief standard is too subjective. By holding the
whistleblower to this higher standard, this would serve to protect
protected health information from being arbitrarily released. Some
commenters saw the whistleblower provision as a loophole that gives too
much power to disgruntled employees to inappropriately release
information in order cause problems for the employer.
On the other hand, some commenters felt that all suspicious activities
should be reported. This would ease potential whistleblowers concerns
over whether or not they had a legitimate concern by leaving this
decision up to someone else. A number of commenters felt that employees
should be encouraged to report violations of professional or clinical
standards, or when a patient, employee, or the public would be put at
risk. A small number of commenters felt that the whistleblower should
raise the issue within the covered entity before going to the attorney,
oversight agency, or law enforcement entity.
*Response:* We do not attempt to regulate the conduct of whistleblowers
in this rule. We address uses and disclosures of protected health
information by covered entities, and when a covered entity will violate
this rule due to the actions of a workforce member or business
associate. In the final rule, we provide that a covered entity is not in
violation of the rule when a workforce member or business associate has
a good faith belief that the conduct being reported is unlawful or
otherwise violates professional or clinical standards, or potentially
endangers patients, employees or the public. We concur that the NPRM
language requiring only a "belief" was insufficient. Consequently, we
have strengthened the standard to require a good faith belief that an
inappropriate behavior has occurred.
*Comment:* A number of commenters believe that employees should be
encouraged to report violations of professional or clinical standards,
or report situations where patients, employees, or the public would be
put at risk. Their contention is that employees, especially health care
employees, may not know whether the problem they have encountered meets
a legal threshold of wrongdoing, putting them at jeopardy of sanction if
they are incorrect, even if the behavior did reflect violation of
professional and clinical standards or put patients, employees, or the
public at risk.
*Response:* We agree that covered entities should be protected when
their employees and others engage in the conduct described by these
commenters. We therefore modify the proposal to protect covered entities
when the whistleblowing relates to violations of professional or
clinical standards, or situations where the public may be at risk, and
eliminate the reference to "evidence."
*Comments:* A significant number of those commenting on the
whistleblower provision felt that this provision was contrary to the
rest of the rule. Whistleblowers could very easily release protected
health information under this provision despite the fact that the rest
of this rule works very hard to ensure privacy of protected health
information in all other contexts. To this end, some commenters felt
that whistleblowers should not be exempt from the minimum necessary
requirement.
*Response:* As stated above, we do not regulate the conduct of
whistleblowers. We discuss above the importance of whistleblowing, and
our intention not to erect a new barrier to such activity. The minimum
necessary standard applies to covered entities, not to whistleblowers.
*Comments:* Some commenters felt that disclosures of suspected
violations should only be made to a law enforcement official or
oversight agency. Other commenters said that whistleblowers should be
able to disclose their concerns to long-term care ombudsmen or health
care accreditation organizations, particularly because certain protected
health information may contain evidence of abuse. Some commenters felt
that whistleblowers should not be allowed to freely disclose information
to attorneys. They felt that this may cause more lawsuits within the
health care industry and be costly to providers. Furthermore, allowing
whistleblowers to go to attorneys increases the number of people who
have protected health information without any jurisdiction for the
Secretary to do anything to protect this information.
*Response:* We agree with the commenters who suggested that we recognize
other appropriate entities to which workforce members and business
associates might reasonably make a whistleblowing disclosure. In the
final rule we expand the provision to protect covered entities for
disclosures of protected health information made to accreditation
organizations by whistleblowers. We agree with the commenters that
whistleblowers may see these organizations as appropriate recipients of
health information, and do not believe that covered entities should be
penalized for such conduct.
We also agree that covered entities should be protected when
whistleblowers disclose protected health information to any health
oversight agency authorized by law to investigate or oversee the
conditions of the covered entity, including state Long-Term Care
Ombudsmen appointed in accordance with the Older Americans Act. Among
their mandated responsibilities is their duty to identify, investigate
and resolve complaints that are made by, or on behalf of, residents
related to their health, safety, welfare, or rights. Nursing home staff
often bring complaints regarding substandard care or abuse to ombudsmen.
Ombudsmen provide a potentially more attractive outlet for
whistleblowers since resolution of problems may be handled short of
legal action or formal investigation by an oversight agency.
We disagree with commenters that the provision permitting disclosures to
attorneys is too broad. Workforce members or business associates may not
understand their legal options or their legal exposure when they come
into possession of information about unlawful or other inappropriate or
dangerous conduct. Permitting potential whistleblowers to consult an
attorney provides them with a better understanding of their legal
options. We rephrase the provision to improve its clarity.
*Comment:* One commenter suggested that a notice of information
practices that omits disclosure for voluntary reporting of fraud will
chill internal whistleblowers who will be led to believe -- falsely --
that they would violate federal privacy law, and be lawfully subject to
sanction by their employer, if they reported fraud to health oversight
agencies.
*Response:* The notice of information practices describes a covered
entity's information practices. A covered entity does not make
whistleblower disclosures of protected health information, nor can it be
expected to anticipate any such disclosures by its workforce.
*Comment:* One commenter suggested that the whistleblower provisions
could allow covered entities to make illegal disclosures to police
through the back door by having an employee who believes there is a
violation of law do the disclosing. Any law could have been violated and
the violator could be anyone (a patient, a member of the patient's
family, etc.)
*Response:* We have eliminated whistleblower disclosures for law
enforcement purposes from the list of circumstances in which the covered
entity will be protected under this rule. This provision is intended to
protect the covered entity when a member of its workforce or a business
associate discloses protect health information to whistleblow on the
covered entity (or its business associates); it is not intended for
disclosures of conduct by the individual who is the subject of the
information or third parties.
**SECTION 164.504 - USES AND DISCLOSURES - ORGANIZATIONAL REQUIREMENTS -
COMPONENT ENTITIES, AFFILIATED ENTITIES, BUSINESS ASSOCIATES AND GROUP
HEALTH PLANS**
**Section 164.504(a)-(c)---Health Care Component (Component Entities)
and Section 164.504(d)---Affiliated Entities**
*Comment:* A few commenters asked that the concept of "use" be modified
to allow uses within an integrated healthcare delivery system.
Commenters argued that the rule needs to ensure that the full spectrum
of treatment is protected from the need for authorizations at the points
where treatment overlaps entities. It was explained that, for example,
treatment for a patient often includes services provided by various
entities, such as by a clinic and hospital, or that treatment may also
necessitate referrals from one provider entity to another unrelated
entity. Further, the commenter argued that the rule needs to ensure that
the necessary payment and health care operations can be carried out
across entities without authorizations.
*Response*: The Department understands that in today's health care
industry, the organization of and relationships among health care
entities are highly complex and varied. We modify the proposed rule
significantly to allow affiliated entities to designate themselves as a
single covered entity. A complex organization, depending on how it
self-designates, may have one or several "health care component(s)" that
are each a covered entity. Aggregation into a single covered entity will
allow the entities to use a single notice of information practices and
will allow providers that must obtain consent for uses and disclosures
for treatment, payment, and operations to obtain a single consent.
We do not allow this type of aggregation for unrelated entities, as
suggested by some commenters, because unrelated entities' information
practices will be too disparate to be accurately reflected on a single
consent or notice form. Our policies on when consent and authorization
are required for sharing information among unrelated entities, and the
rationale for these policies, is described in §§ 164.506 and 164.508 and
corresponding preamble.
As discussed above, in the final rule we have added a definition of
*organized health care arrangement* and permit covered entities
participating in such arrangements to disclose protected health
information to support the health care operations of the arrangement.
See the preamble discussion of the definitions of *organized health care
arrangement* and *health care operations,* § 164.501.
*Comment:* Some commenters expressed concern that the requirement to
obtain authorization for the disclosure of information to a non-health
related division of the covered entity would impede covered entities\'
ability to engage in otherwise-permissible activities such as health
care operations. Some of these commenters requested clarification that
covered entities are only required to obtain authorization for
disclosures to non-health related divisions if the disclosure is for
marketing purposes.
*Response:* In the final rule, we remove the example of use and
disclosure to non-health related divisions of the covered entity from
the list of examples of uses and disclosures requiring authorization in
§ 164.508. We determined that the example could lead covered entities to
the mistaken conclusion that some uses or disclosures that would
otherwise be permitted under the rule without authorization would
require authorization when made to a non-health related division of the
covered entity. In the final rule, we clarify that disclosure to a
non-health related division does not require authorization if the use or
disclosure is otherwise permitted or required under the rule. For
example, in § 164.501 we define health care operations to include
conducting or arranging for legal and auditing services. A covered
entity that is the health care component of a larger entity is permitted
under the final rule to include the legal department of the larger
entity as part of the health care component. The covered entity may not,
however, generally permit the disclosure of protected health information
from the health care component to non-health related divisions unless
they support the functions of the health care component and there are
policies and procedures in place to restrict the further use to the
support of the health related functions.
*Comment*: Many commenters, especially those who employed providers,
supported our position in the proposed rule to consider only the health
care component of an entity to be the covered entity. They stated that
this was a balanced approach that would allow them to continue
conducting business. Some commenters felt that there was ambiguity in
the regulation text of the proposed rule and requested that the final
rule explicitly clarify that only the health care component is
considered the covered entity, not the entity itself. Similarly, another
commenter requested that we clarify that having a health care component
alone did not make the larger entity a covered entity under the rule.
*Response*: We appreciate the support of the commenters on the health
care component approach and we agree that there was some ambiguity in
the proposed rule. The final rule creates a new § 164.504(b) for health
care components. Under § 164.504(b), for a covered entity that is a
single legal entity which predominantly performs functions other than
the functions performed by a health plan, provider, or clearinghouse,
the privacy rules apply only to the entity's health care component. A
policy, plan, or program that is an "excepted benefit" under section
2791(c)(1) of HIPAA cannot be part of a health care component because it
is expressly excluded from the definition of "health plan" for the
reasons discussed above. The health care component is prohibited from
sharing protected health information outside of the component, except as
otherwise permitted or required by the regulation.
At a minimum, the health care component includes the organizational
units of the covered entity that operate as or perform the functions of
the health plan, health care provider, or clearinghouse and does not
include any unit or function of the excepted benefits plan, policy, or
program. While the covered entity remains responsible for compliance
with this rule because it is responsible for the actions of its
workforce, we otherwise limit the responsibility to comply to the health
care component of the covered entity. The requirements of this rule
apply only to the uses and disclosures of the protected health
information by the component entity. See § 164.504(b).
*Comment*: Some commenters stated that the requirement to erect
firewalls between different components would unnecessarily delay
treatment, payment, and health care operations and thereby increase
costs. Other commenters stressed that it is necessary to create
firewalls between the health care component and the larger entity to
prevent unauthorized disclosures of protected health information.
*Response*: We believe that the requirement to implement firewalls or
safeguards is necessary to provide meaningful privacy protections,
particularly because the health care component is part of a larger legal
organization that performs functions other than those covered under this
rule. Without the safeguard requirement we cannot ensure that the
component will not share protected health information with the larger
entity. While we do not specifically identify the safeguards that are
required, the covered entity must implement policies and procedures to
ensure that: the health care component's use and disclose of protected
health information complies with the regulation; members of the health
care component who perform duties for the larger entity do not use and
disclose protected health information obtained through the health care
component while performing non-component functions unless otherwise
permitted or required by the regulation; and when a covered entity
conducts multiple functions regulated under this rule, the health care
component adheres to the appropriate requirements (e.g. when acting as a
health plan, adheres to the health plan requirements) and uses or
discloses protected health information of individuals who receive
limited functions from the component only for the appropriate functions.
See §§ 164.504(c)(2) and 164.504(g). For example, a covered entity that
includes both a hospital and a health plan may not use protected health
information obtained from an individual's hospitalization for the health
plan, unless the individual is also enrolled in the health plan. We note
that covered entities are permitted to make a disclosure to a health
care provider for treatment of an individual without restrictions.
*Comment*: One commenter stated that multiple health care components of
a single organization should be able to be treated as a single component
entity for the purposes of this rule. Under this approach, they argued,
one set of policies and procedures would govern the entire component and
protected health information could be shared among components without
authorization. Similarly, other commenters stated that corporate
subsidiaries and affiliated entities should not be treated as separate
covered entities.
*Response*: We agree that some efficiencies may result from designating
multiple component entities as a single covered entity. In the final
rule we allow legally distinct covered entities that share common
ownership or control to designate themselves or their health care
components as a single covered entity. See § 164.504(d). Common
ownership is defined as an ownership or equity interest of five percent
or more. Common control exists if an entity has the power - directly or
indirectly - to significantly influence or direct the actions or
policies of another entity. If the affiliated entity contains health
care components, it must implement safeguards to prevent the larger
entity from using protected health information maintained by the
component entity. As stated above, organizations that perform multiple
functions may designate a single component entity as long as it does not
include the functions of an excepted benefit plan that is not covered
under the rule. In addition, it must adhere to the appropriate
requirements when performing its functions (e.g. when acting as a health
plan, adhere to the health plan requirements) and uses or discloses
protected health information of individuals who receive limited
functions from the component only for the appropriate functions. At the
same time, a component that is outside of the health care component may
perform activities that otherwise are not permitted by a covered entity,
as long as it does not use or disclose protected health information
created or received by or on behalf of the health care component in ways
that violate this rule.
*Comment*: Some commenters asked whether or not workers' compensation
carriers could be a part of the health care component as described in
the proposed rule. They argued that this would allow for sharing of
information between the group health plan and workers' compensation
insurers.
*Response*: Under HIPAA, workers' compensation is an excepted benefit
program and is excluded from the definition of "health plan." As such, a
component of a covered entity that provides such excepted benefits may
not be part of a health care component that performs the functions of a
health plan. If workforce members of the larger entity perform functions
for both the health care component and the non-covered component, they
may not use protected health information created or received by or on
behalf of the health care component for the purposes of the non-covered
component, unless otherwise permitted by the rule. For example,
information may be shared between the components for coordination of
benefits purposes.
*Comment*: Several commenters requested specific guidance on identifying
the health care component entity. They argued that we underestimated the
difficulty in determining the component and that many organizations have
multiple functions with the same people performing duties for both the
component and the larger entity.
*Response*: With the diversity of organizational structures, it is
impossible to provide a single specific guidance for identifying health
care components that will meet the needs of all organizations. Covered
entities must designate their health care components consistent with the
definition at § 164.504(a). We have tried to frame this definition to
delineate what comes within a health care component and what falls
outside the component.
*Comment*: A commenter representing a government agency recommended that
only the component of the agency that runs the program be considered a
covered entity, not the agency itself. In addition, this commenter
stated that often subsets of other government agencies work in
partnership with the agency that runs the program to provide certain
services. For example, one state agency may provide maternity support
services to the Medicaid program which is run by a separate agency. The
commenter read the rule to mean that the agency providing the maternity
support services would be a business associate of the Medicaid agency,
but was unclear as to whether it would also constitute a health care
component within its own agency.
*Response*: We generally agree. We expect that in most cases, government
agencies that run health plans or provide health care services would
typically meet the definition of a "hybrid entity" under § 164.504(a),
so that such an agency would be required to designate the health care
component or components that run the program or programs in question
under § 164.504(c)(3), and the rules would not apply to the remainder of
the agency's operations, under § 164.504(b). In addition, we have
created an exception to the business associate contract requirement for
government agencies who perform functions on behalf of other government
agencies. Government agencies can enter into a memorandum of
understanding with another government entity or adopt a regulation that
applies to the other government entity in lieu of a business associate
contract, as long as the memorandum or regulation contains certain
terms. See § 164.504(e).
*Comment*: One commenter representing an insurance company stated that
different product lines should be treated separately under the rule. For
example, the commenter argued, because an insurance company offers both
life insurance and health insurance, it does not mean that the insurance
company itself is a covered entity, rather only the health insurance
component is a covered entity. Another commenter requested clarification
of the use of the term "product line" in the proposed rule. This
commenter stated that product line should differentiate between
different lines of coverage such as life vs. health insurance, not
different variations of the same coverage, such as HMO vs. PPO. Finally,
one commenter stated that any distinction among product lines is
unworkable because insurance companies need to share information across
product lines for coordinating benefits. This sharing of information,
the commenter urged, should be able to take place whether or not all
product lines are covered under the rule.
*Response*: We agree that many forms of insurance do not and should not
come within the definition of "health plan," and we have excepted them
from the definition of this term in § 160.103 applies. This point is
more fully discussed in connection with that definition. Although we do
not agree that the covered entity is only the specific product line, as
this comment suggests, the hybrid entity rules in § 164.504 address the
substance of this concern. Under § 164.504(c)(3), an entity may create a
health plan component which would include all its health insurance lines
of business or separate health care components for each health plan
product line. Finally, the sharing of protected health information
across lines of business is allowed if it meets the permissive or
required disclosures under the rule. The commenter's example of
coordination of benefits would be allowed under the rule as payment.
*Comment*: Several commenters representing occupational health care
providers supported our use of the component approach to prohibit
unauthorized disclosures of protected health information. They requested
that the regulation specifically authorize them to deny requests for
disclosures outside of the component entity when the disclosure was not
otherwise permitted or required by the regulation.
*Response*: We appreciate the commenters' support of the health care
component approach. As members of a health care component, occupational
health providers are prohibited from sharing protected health
information with the larger entity (i.e., the employer), unless
otherwise permitted or required by the regulation.
*Comment*: One commenter asked how the regulation affects employers who
carry out research. The commenter questioned whether the employees
carrying out the research would be component entities under the rule.
*Response*: If the employer is gathering its own information rather than
obtaining it from an entity regulated by this rule, the information does
not constitute protected health information since the employer is not a
covered entity. If the employer is obtaining protected health
information from a covered entity, the disclosure by the covered entity
must meet the requirements of § 164.512(i) regarding disclosures for
research.
*Comment*: One commenter stated that the proposed rule did not clearly
articulate whether employees who are health care providers are
considered covered entities when they collect and use individually
identifiable health information acting on behalf of an employer.
Examples provided include, administering mandatory drug testing, making
fitness-for-duty and return-to-work determinations, testing for exposure
to environmental hazards, and making short and long term disability
determinations. This commenter argued that if disclosing information
gained through these activities requires authorization, many of the
activities are meaningless. For example, an employee who fails a drug
test is unlikely to give authorization to the provider to share the
information with the employer.
*Response*: Health care providers are covered entities under this rule
if they conduct standard transactions. A health care provider who is an
employee and is administering drug testing on behalf of the employer,
but does not conduct standard transactions, is not a covered entity. If
the health care provider is a covered entity, then we require
authorization for the provider to disclose protected health information
to an employer. Nothing in this rule, however, prohibits the employer
from conditioning an individual's employment on agreeing to the drug
testing and requiring the individual to sign an authorization allowing
his or her drug test results to be disclosed to the employer.
*Comment*: One commenter stated its belief that only a health center at
an academic institution would be a covered entity under the component
approach. This commenter believed it was less clear whether or not other
components that may create protected health information "incidentally"
through conducting research would also become covered entities.
*Response*: While a covered entity must designate as a health care
component the functions that make it a health care provider, the covered
entity remains responsible for the actions of its workforce. Components
that create protected health information through research would be
covered entities to the extent they performed one of the required
transactions described in § 164.500; however, it is possible that the
research program would not be part of the health care component,
depending on whether the research program performed or supported covered
functions.
*Comment:* Several commenters stated that employers need access to
protected health information in order to provide employee assistance
programs, wellness programs, and on-site medical testing to their
employees.
*Response:* This rule does not affect disclosure of health information
by employees to the employer if the information is not obtained from a
covered entity. The employer's access to information from an EAP,
wellness program, or on-site medical clinic will depend on whether the
program or clinic is a covered entity.
*Comment:* One commenter stated that access to workplace medical records
by the occupational medical physicians is fundamental to workplace and
community health and safety. Access is necessary whether it is a single
location or multiple sites of the same company, such as production
facilities of a national company located throughout the country.
*Response:* Health information collected by the employer directly from
providers who are not covered entities is outside the scope of this
regulation. We note that the disclosures which this comment concerns
should be covered by § 164.512(b).
**Section 164.504(e) -- Business Associates**
*Comment:* Many commenters generally opposed the business partner
standard and questioned the Secretary's legal authority under section
1172(a) of HIPAA to require business partner contracts. Others stated
that the proposed rule imposed too great a burden on covered entities
with regard to monitoring their business partners' actions. Commenters
stated that they did not have the expertise to adequately supervise
their business partners' activities -- including billing, accounting,
and legal activities -- to ensure that protected health information is
not inappropriately disclosed. Commenters argued that business partners
are not "under the control" of health care providers, and that the rule
would significantly increase the cost of medical care. Many commenters
stated that the business partner provisions would be very time consuming
and expensive to implement, noting that it is not unusual for a health
plan or hospital to have hundreds of business partners, especially if
independent physicians and local pharmacies are considered business
partners. Many physician groups pointed out that their business partners
are large providers, hospitals, national drug supplier and medical
equipment companies, and asserted that it would be impossible, or very
expensive, for a small physician group to attempt to monitor the
activity of large national companies. Commenters stated that complex
contract terms and new obligations would necessitate the investment of
significant time and resources by medical and legal personnel, resulting
in substantial expenses. Many commenters proposed that the duty to
monitor be reduced to a duty to terminate the contractual arrangement
upon discovery of a failure to comply with the privacy requirements.
In addition, many commenters argued that covered entities should have
less responsibility for business partners' actions regarding the use and
disclosure of protected health information. The proposed rule would have
held covered entities responsible for the actions of their business
partners when they "knew or reasonably should have known" of improper
use of protected health information and failed to take reasonable steps
to cure a breach of the business partner contract or terminate the
contract. Many commenters urged that the term "knew or should have
known" be clearly defined, with examples. Some commenters stated that
covered entities should be liable only when they have actual knowledge
of the material breach of the privacy rules by the business partner.
Others recommended creation of a process by which a business partner
could seek advice to determine if a particular disclosure would be
appropriate. Some commenters stated that, in order to create an
environment that would encourage covered entities to report misuses of
protected health information, a covered entity should not be punished if
it discovered an inappropriate disclosure.
*Response:* With regard to our authority to require business associate
contracts, we clarify that Congress gave the Department explicit
authority to regulate what uses and disclosures of protected health
information by covered entities are "authorized." If covered entities
were able to circumvent the requirements of these rules by the simple
expedient of contracting out the performance of various functions, these
rules would afford no protection to individually identifiable health
information and be rendered meaningless. It is thus reasonable to place
restrictions on disclosures to business associates that are designed to
ensure that the personal medical information disclosed to them continues
to be protected and used and further disclosed only for appropriate
(i.e., permitted or required) purposes.
We do not agree that business associate contracts would necessarily have
complex terms or result in significant time and resource burdens. The
implementation specifications for business associate contracts set forth
in § 164.504 are straightforward and clear. Nothing prohibits covered
entities from having standard contract forms which could require little
or no modification for many business associates.
In response to comments that the "knew or should have known" standard in
the proposed rule was too vague or difficult to apply, and concerns that
we were asking too much of small entities in monitoring the activities
of much larger business associates, we have changed the rule. Under the
final rule, we put responsibility on the covered entity to take action
when it "knew of a pattern of activity or practice of the business
associate that constituted, respectively, a material breach or violation
of the business associate's obligation under the contract\..." This will
preclude confusion about what a covered entity 'should have known.' We
interpret the term "knew" to include the situation where the covered
entity has credible evidence of a violation. Covered entities cannot
avoid responsibility by intentionally ignoring problems with their
contractors. In addition, we have eliminated the requirement that a
covered entity actively monitor and ensure protection by its business
associates. However, a covered entity must investigate credible evidence
of a violation by a business associate and act upon any such knowledge.
In response to the concern that the covered entity should not be
punished if it discovers an inappropriate disclosure by its business
associate, § 164.504(e) provides that the covered entity is not in
compliance with the rule if it fails to take reasonable steps to cure
the breach or end the violation, while § 164.530(f) requires the covered
entity to mitigate, to the extent practicable, any resultant harm. The
breach itself does not cause a violation of this rule.
*Comment:* Some commenters voiced support for the concept of business
partners. Moreover, some commenters urged that the rule apply directly
to those entities that act as business partners, by restricting
disclosures of protected health information after a covered entity has
disclosed it to a business partner.
*Response:* We are pleased that commenters supported the business
associate standard and we agree that there are advantages to legislation
that directly regulates most entities that use or disclose protected
health information. However, we reiterate that our jurisdiction under
the statute limits us to regulate only those covered entities listed in
§ 160.102.
*Comment:* Many commenters strongly opposed the provision in the
proposed rule requiring business partner contracts to state that
individuals whose protected health information is disclosed under the
contract are intended third party beneficiaries of the contract. Many
noted that HIPAA did not create a private right of action for
individuals to enforce a right to privacy of medical information, and
questioned the Secretary's authority to create such a right through
regulation. Others questioned whether the creation of such a right was
appropriate in light of the inability of Congress to reach consensus on
the question, and perceived the provision as a "back door" attempt to
create a right that Congress did not provide. Some commenters noted that
third party beneficiary law varies from state to state, and that a third
party beneficiary provision may be unenforceable in some states. These
commenters suggested that the complexity and variation of state third
party beneficiary law would increase cost and confusion with limited
privacy benefits.
Commenters predicted that the provision would result in a dramatic
increase in frivolous litigation, increased costs throughout the health
care system, and a chilling effect on the willingness of entities to
make authorized disclosures of protected information. Many commenters
predicted that fear of lawsuits by individuals would impede the flow of
communications necessary for the smooth operation of the health care
system, ultimately affecting quality of care. For example, some
predicted that the provision would inhibit providers from making
authorized disclosures that would improve care and reduce medical
errors. Others predicted that it would limit vendors' willingness to
support information systems requirements. One large employer stated that
the provision would create a substantial disincentive for employers to
sponsor group health plans. Another commenter noted that the provision
creates an anomaly in that individuals may have greater recourse against
business partners and covered entities that contract with them than
against covered entities acting alone.
However, some commenters strongly supported the concept of providing
individuals with a mechanism to enforce the provisions of the rule, and
considered the provision among the most important privacy protections in
the proposed rule.
*Response:* We eliminate the requirement that business associate
contracts contain a provision stating that individuals whose protected
health information is disclosed under the contract are intended
third-party beneficiaries of the contract.
We do not intend this change to affect existing laws regarding when
individuals may be third party beneficiaries of contracts. If existing
law allows individuals to claim third party beneficiary rights, or
prohibits them from doing so, we do not intend to affect those rules.
Rather, we intend to leave this matter to such other law.
*Comment:* Some commenters objected to the proposed rule's requirement
that the business partner must return or destroy all protected health
information received from the covered entity at the termination of the
business partner contract. Commenters argued that business partners will
need to maintain business records for legal and/or financial auditing
purposes, which would preclude the return or destruction of the
information. Moreover, they argued that computer back-up files may
contain protected health information, but business partners cannot be
expected to destroy entire electronic back-up files just because part of
the information that they contain is from a client for whom they have
completed work.
*Response:* We modify the proposed requirement that the business
associate must return or destroy all protected health information
received from the covered entity when the business associate contract is
terminated. Under the final rule, a business associate must return or
destroy all protected health information when the contract is terminated
if feasible and lawful. The business partner contract must state that
privacy protections continue after the contract ends, if there is a need
for the business associate to retain any of the protected health
information and for as long as the information is retained. In addition,
the permissible uses of information after termination of the contract
must be limited to those activities that make return or destruction of
the information not feasible.
*Comment:* Many commenters recommended that providers and plans be
excluded from the definition of "business partner" if they are already
governed by the rule as covered entities. Providers expressed particular
concern about the inclusion of physicians with hospital privileges as
business partners of the hospital, as each hospital would be required to
have written contracts with and monitor the privacy practices of each
physician with privileges, and each physician would be required to do
the same for the hospital. Another commenter argued that consultations
between covered entities for treatment or referral purposes should not
be subject to the business partner contracting requirement.
*Response:* The final rule retains the general requirement that, subject
to the exceptions below, a covered entity must enter into a business
associate contract with another covered entity when one is providing
services to or acting on behalf of the other. We retain this requirement
because we believe that a covered entity that is a business associate
should be restricted from using or disclosing the protected health
information it creates or receives through its business associate
function for any purposes other than those that are explicitly detailed
in its contract.
However, the final rule expands the proposed exception for disclosures
of protected health information by a covered health care provider to
another health care provider. The final rule allows such disclosures
without a business associate contract for any activities that fall under
the definition of "treatment." We agree with the commenter that the
administrative burdens of requiring contracts in staff privileges
arrangements would not be outweighed by any potential privacy
enhancements from such a requirement. Although the exception for
disclosure of protected health information for treatment could be
sufficient to relieve physicians and hospitals of the contract
requirement, we also believe that this arrangement does not meet the
true meaning of "business associate," because both the hospital and
physician are providing services to the patient, not to each other. We
therefore also add an exception to § 164.502(e)(1) that explicitly
states that a contract is not required when the association involves a
health care facility and another health care provider with privileges at
that facility, if the purpose is providing health care to the
individual. We have also added other exceptions in § 164.502(e)(1)(ii)
to the requirement to obtain "satisfactory assurances" under §
164.502(e)(1)(i). We do not require a business associate arrangement
between group health plans and their plan sponsors because other, albeit
analogous, requirements apply under § 164.504(f) that are more tailored
to the specifics of that legal relationship. We do not require business
associate arrangements between government health plans providing public
benefits and other agencies conducting certain functions for the health
plan, because these arrangements are typically very constrained by other
law.
*Comment:* Many commenters expressed concern that required contracts for
federal agencies would adversely affect oversight activities, including
investigations and audits. Some health plan commenters were concerned
that if HMOs are business partners of an employer then the employer
would have a right to all personal health information collected by the
HMO. A commenter wanted to be sure that authorization would not be
required for accreditation agencies to access information. A large
manufacturing company wanted to make sure that business associate
contracts were not required between affiliates and a parent corporation
that provides administrative services for a sponsored health plan.
Attorney commenters asserted that a business partner contract would
undermine the attorney/client relationship, interfere with
attorney/client privilege, and was not necessary to protect client
confidences. A software vendor wanted to be excluded because the
requirements for contracts were burdensome and government oversight
intrusive. Some argued that because the primary purpose of medical
device manufacturers is supplying devices, not patient care, they should
be excluded.
*Response:* We clarify in the above discussion of the definition of
"business associate" that a health insurance issuer or an HMO providing
health insurance or health coverage to a group health plan does not
become a business associate simply by providing health insurance or
health coverage. The health insurance issuer or HMO may perform
additional functions or activities or provide additional services,
however, that would give rise to a business associate relationship.
However, even when an health insurance issuer or HMO acts as a business
associate of a group health plan, the group health plan has no right of
access to the other protected health information maintained by the
health insurance issuer or HMO. The business associate contract must
constrain the uses and disclosures of protected health information
obtained by the business associate through the relationship, but does
not give the covered entity any right to request the business associate
to disclose protected health information that it maintains outside of
the business associate relationship to the group health plan. Under
HIPAA, employers are not covered entities, so a health insurance issuer
or HMO cannot act as a business associate of an employer. See §
164.504(f) with respect to disclosures to plan sponsors from a group
health plan or health insurance issuer or HMO with respect to a group
health plan.
With respect to attorneys generally, the reasons the commenters put
forward to exempt attorneys from this requirement were not persuasive.
The business associate requirements will not prevent attorneys from
disclosing protected health information as necessary to find and prepare
witness, nor from doing their work generally, because the business
associate contract can allow disclosures for these purposes. We do not
require business associate contracts to identify each disclosure to be
made by the business associate; these disclosures can be identified by
type or purpose. We believe covered entities and their attorneys can
craft agreements that will allow for uses and disclosures of protected
health information as necessary for these activities. The requirement
for a business associate contract does not interfere with the
attorney-client relationship, nor does it override professional
judgement of business associates regarding the protected health
information they need to discharge their responsibilities. We do not
require covered entities to second guess their professional business
associates' reasonable requests to use or disclose protected health
information in the course of the relationship.
The attorney-client privilege covers only a small portion of information
provided to attorneys and so is not a substitute for this requirement.
More important, attorney-client privilege belongs to the client, in this
case the covered entity, and not to the individual who is the subject of
the information. The business associate requirements are intended to
protect the subject of the information.
With regard to government attorneys and other government agencies, we
recognize that federal and other law often does not allow standard legal
contracts among governmental entities, but instead requires agreements
to be made through the Economy Act or other mechanisms; these are
generally reflected in a memorandum of understanding (MOU). We therefore
modify the proposed requirements to allow government agencies to meet
the required "satisfactory assurance" through such MOUs that contain the
same provisions required of business associate contracts. As discussed
elsewhere, we believe that direct regulation of entities receiving
protected health information can be as or more effective in protecting
health information as contracts. We therefore also allow government
agencies to meet the required "satisfactory assurances" if law or
regulations impose requirements on business associates consistent with
the requirements specified for business associate contracts.
We do not believe that the requirement to have a business associate
contract with agencies that are performing the specified services for
the covered entity or undertaking functions or activities on its behalf
undermines the government functions being performed. A business
associate arrangement requires the business associate to maintain the
confidentiality of the protected health information and generally to use
and disclose the information only for the purposes for which it was
provided. This does not undermine government functions. We have exempted
from the business associate requirement certain situations in which the
law has created joint uses or custody over health information, such as
when law requires another government agency to determine the eligibility
for enrollment in a covered health plan. In such cases, information is
generally shared across a number of government programs to determine
eligibility, and often is jointly maintained. We also clarify that
health oversight activities do not give rise to a business associate
relationship, and that protected health information may be disclosed by
a covered entity to a health oversight agency pursuant to § 164.512(d).
We clarify for purposes of the final rule that accreditation agencies
are business associates of a covered entity and are explicitly included
within the definition. During accreditation, covered entities disclose
substantial amounts of protected health information to other private
persons. A business associate contract basically requires the business
associate to maintain the confidentiality of the protected health
information that it receives and generally to use and disclose such
information for the purposes for which it was provided. As with
attorneys, we believe that requiring a business associate contract in
this instance provides substantial additional privacy protection without
interfering with the functions that are being provided by the business
associate.
With regard to affiliates, § 164.504(d) permits affiliates to designate
themselves as a single covered entity for purposes of this rule. (See §
164.504(d) for specific organizational requirements.) Affiliates that
choose to designate themselves as a single covered entity for purposes
of this rule will not need business associate contracts to share
protected health information. Absent such designation, affiliates are
business associates of the covered entity if they perform a function or
service for the covered entity that necessitates the use or disclosure
of protected health information.
Software vendors are business associates if they perform functions or
activities on behalf of, or provide specified services to, a covered
entity. The mere provision of software to a covered entity would not
appear to give rise to a business associate relationship, although if
the vendor needs access to the protected health information of the
covered entity to assist with data management or to perform functions or
activities on the covered entity's behalf, the vendor would be a
business associate. We note that when an employee of a contractor, like
a software or IT vendor, has his or her primary duty station on-site at
a covered entity, the covered entity may choose to treat the employee of
the vendor as a member of the covered entity's workforce, rather than as
a business associate. See the preamble discussion to the definition of
*workforce*, § 160.103.
With regard to medical device manufacturers, we clarify that a device
manufacturer that provides "health care" consistent with the rule's
definition, including being a "supplier" under the Medicare program, is
a health care provider under the final rule. We do not require a
business associate contract when protected health information is shared
among health care providers for treatment purposes. However, a device
manufacturer that does not provide "health care" must be a business
associate of a covered entity if that manufacturer receives or creates
protected health information in the performance of functions or
activities on behalf of, or the provision of specified services to, a
covered entity.
As to financial institutions, they are business associates under this
rule when they conduct activities that cause them to meet the definition
of business associate. See the preamble discussion of the definition of
"payment" in § 164.501, for an explanation of activities of a financial
institution that do not require it to have a business associated
contract.
Disease managers may be health care providers or health plans, if they
otherwise meet the respective definitions and perform disease management
activities on their own behalf. However, such persons may also be
business associates if they perform disease management functions or
services for a covered entity.
*Comment:* Other commenters recommended that certain entities be
included within the definition of "business partner," such as
transcription services; employee representatives; in vitro diagnostic
manufacturers; private state and comparative health data organizations;
state hospital associations; warehouses; "whistleblowers," credit card
companies that deal with health billing; and patients.
*Response*: We do not list all the types of entities that are business
associates, because whether an entity is a business associate depends on
what the entity does, not what the entity is. That is, this is a
definition based on function; any entity performing the function
described in the definition is a business associate. Using one of the
commenters' examples, a state hospital association may be a business
associate if it performs a service for a covered entity for which
protected health information is required. It is not a business associate
by virtue of the fact that it is a hospital association, but by virtue
of the service it is performing.
*Comment:* A few commenters urged that certain entities, i.e.,
collection agencies and case managers, be business partners rather than
covered entities for purposes of this rule.
*Response:* Collection agencies and case managers are business
associates to the extent that they provide specified services to or
perform functions or activities on behalf of a covered entity. A
collection agency is not a covered entity for purposes of this rule.
However, a case manager may be a covered entity because, depending on
the case manager's activities, the person may meet the definition of
either a health care provider or a health plan. See definitions of
"health care provider" and "health plan" in § 164.501.
*Comment:* Several commenters complained that the proposed HIPAA
security regulation and privacy regulation were inconsistent with regard
to business partners.
*Response:* We will conform these policies in the final Security Rule.
*Comment:* One commenter expressed concern that the proposal appeared to
give covered entities the power to limit by contract the ability of
their business partners to disclose protected health information
obtained from the covered entity regardless of whether the disclosure
was permitted under proposed § 164.510, "Uses and disclosures for which
individual authorization is not required" (§ 164.512 in the final rule).
Therefore, the commenter argued that the covered entity could prevent
the business partner from disclosing protected health information to
oversight agencies or law enforcement by omitting them from the
authorized disclosures in the contract.
In addition, the commenter expressed concern that the proposal did not
authorize business partners and their employees to engage in
whistleblowing. The commenter concluded that this omission was
unintended since the proposal's provision at proposed § 164.518(c)(4)
relieved the covered entity, covered entity's employees, business
partner, and the business partner's employees from liability for
disclosing protected health information to law enforcement and to health
oversight agencies when reporting improper activities, but failed to
specifically authorize business partners and their employees to engage
in whistleblowing in proposed § 164.510(f), "Disclosures for law
enforcement."
*Response:* Under our statutory authority, we cannot directly regulate
entities that are not covered entities; thus, we cannot regulate most
business associates, or 'authorize' them to use or disclose protected
health information. We agree with the result sought by the commenter,
and accomplish it by ensuring that such whistle blowing disclosures by
business associates and others do not constitute a violation of this
rule on the part of the covered entity.
*Comment:* Some commenters suggested that the need to terminate
contracts that had been breached would be particularly problematic when
the contracts were with single-source business partners used by health
care providers. For example, one commenter explained that when the
Department awards single-source contracts, such as to a Medicare carrier
acting as a fiscal intermediary that then becomes a business partner of
a health care provider, the physician is left with no viable alternative
if required to terminate the contract.
*Response:* In most cases, we expect that there will be other entities
that could be retained by the covered entity as a business associate to
carry out those functions on its behalf or provide the necessary
services. We agree that under certain circumstances, however, it may not
be possible for a covered entity to terminate a contract with a business
associate. Accordingly, although the rule still generally requires a
covered entity to terminate a contract if steps to cure such a material
breach fail, it also allows an exception to this to accommodate those
infrequent circumstances where there simply are no viable alternatives
to continuing a contract with that particular business associate. It
does not mean, however, that the covered entity can choose to continue
the contract with a non-compliant business associate merely because it
is more convenient or less costly than doing business with other
potential business associates. We also require that if a covered entity
determines that it is not feasible to terminate a non-compliant business
associate, the covered entity must notify the Secretary.
*Comment:* Another commenter argued that having to renegotiate every
existing contract within the 2-year implementation window so a covered
entity can attest to "satisfactory assurance" that its business partner
will appropriately safeguard protected health information is not
practical.
*Response:* The 2-year implementation period is statutorily required
under section 1175(b) of the Act. Further, we believe that two years
provides adequate time to come into compliance with the regulation.
*Comment:* A commenter recommended that the business partner contract
specifically address the issue of data mining because of its increasing
prevalence within and outside the health care industry.
*Response:* We agree that protected health information should only be
used by business associates for the purposes identified in the business
associate contract. We address the issue of data mining by requiring
that the business associate contract explicitly identify the uses or
disclosures that the business associate is permitted to make with the
protected health information. Aside from disclosures for data
aggregation and business associate management, the business associate
contract cannot authorize any uses or disclosures that the covered
entity itself cannot make. Therefore, data mining by the business
associate for any purpose not specified in the contract is a violation
of the contract and grounds for termination of the contract by the
covered entity.
*Comment:* One commenter stated that the rule needs to provide the
ability to contract with persons and organizations to complete clinical
studies, provide clinical expertise, and increase access to experts and
quality of care.
*Response:* We agree, and do not prohibit covered entities from sharing
protected health information under a business associate contract for
these purposes.
*Comment:* A commenter requested clarification as to whether sister
agencies are considered business partners when working together.
*Response:* It is unclear from the comment whether the "sister agencies"
are components of a larger entity, are affiliated entities, or are
otherwise linked. Requirements regarding sharing protected health
information among affiliates and components are found in § 164.504.
*Comment:* One commenter stated that some union contracts specify that
the employer and employees jointly conduct patient quality of care
reviews. The commenter requested clarification as to whether this
arrangement made the employee a business partner.
*Response:* An employee organization that agrees to perform quality
assurance for a group health plan meets the definition of a business
associate. We note that the employee representatives acting on behalf of
the employee organization would be performing the functions of the
organization, and the employee organization would be responsible under
the business associate contract to ensure that the representatives
abided by the restrictions and conditions of the contract. If the
employee organization is a plan sponsor of the group health plan, the
similar provisions of § 164.504(f) would apply instead of the business
associate requirements. See § 164.502(e)(1).
*Comment*: Some commenters supported regulating employers as business
partners of the health plan. These commenters believed that this
approach provided flexibility by giving employers access to information
when necessary while still holding employers accountable for improper
use of the information. Many commenters, however, stressed that this
approach would turn the relationship between employers, employees and
other agents "on its head" by making the employer subordinate to its
agents. In addition, several commenters objected to the business partner
approach because they alleged it would place employers at risk for
greater liability.
*Response*: We do not require a business associate contract for
disclosure of protected health information from group health plans to
employers. We do, however, put other conditions on the disclosure of
protected health information from group health plans to employers who
sponsor the plan. See further discussion in § 164.504 on disclosure of
protected health information to employers.
*Comment:* One commenter expressed concern that the regulation would
discourage organizations from participating with Planned Parenthood
since pro bono and volunteer services may have no contract signed.
*Response:* We design the rule's requirements with respect to volunteers
and pro bono services to allow flexibility to the covered entity so as
not to disturb these arrangements. Specifically, when such volunteers
work on the premises of the covered entity, the covered entity may
choose to treat them as members of the covered entity's workforce or as
business associates. See the definitions of business associate and
workforce in § 160.103. If the volunteer performs its work off-site and
needs protected health information, a business associate arrangement
will be required. In this instance, where protected health information
leaves the premises of the covered entity, privacy concerns are
heightened and it is reasonable to require an agreement to protect the
information. We believe that pro bono contractors will easily develop
standard contracts to allow those activities to continue smoothly while
protecting the health information that is shared.
**Section 164.504(f) -- Group Health Plans**
*Comment*: Several commenters interpreted the preamble in the proposed
rule to mean that only self-insured group health plans were covered
entities. Another commenter suggested there was an error in the
definition of group health plans because it only included plans with
more than 50 participants [or]{.underline} plans administered by an
entity other than the employer (emphasis added by commenter). This
commenter believed the "or" should be an "and" because almost all plans
under 50 are administered by another entity and therefore this
definition does not exclude most small plans.
*Response*: We did not intend to imply that only self-insured group
health plans are covered health plans. We clarify that all group health
plans, both self-insured and fully-funded, with 50 or more participants
are covered entities, and that group health plans with fewer than 50
participants are covered health plans if they are administered by
another entity. While we agree with the commenter that few group health
plans with fewer than 50 participants are self-administered, the "or" is
dictated by the statute. Therefore, the statute only exempts group
health plans with fewer than 50 participants that are not administered
by an entity other than the employer.
*Comment*: Several commenters stated that the proposed rule
mis-characterized the relationship between the employer and the group
health plan. The commenters stated that under ERISA and the Internal
Revenue Code group health plans are separate legal entities from their
employer sponsors. The group health plan itself, however, generally does
not have any employees. Most operations of the group health plan are
contracted out to other entities or are carried out by employees of the
employer who sponsors the plan. The commenters stressed that while group
health plans are clearly covered entities, the Department does not have
the statutory authority to cover employers or other entities that
sponsor group health plans. In contrast, many commenters stated that
without covering employers, meaningful privacy protection is
unattainable.
*Response*: We agree that group health plans are separate legal entities
from their plan sponsors and that the group health plan itself may be
operated by employees of the plan sponsor. We make significant
modification to the proposed rule to better reflect this reality. We
design the requirements in the final regulation to use the existing
regulatory tools provided by ERISA, such as the plan documents required
by that law and the constellation of plan administration functions
defined by that law that established and maintain the group health plan.
We recognize plan sponsors' legitimate need for health information in
certain situations while, at the same time, protecting health
information from being used for employment-related functions or for
other functions related to other employee benefit plans or other
benefits provided by the plan sponsor. We do not attempt to directly
regulate plan sponsors, but pursuant to our authority to regulate health
plans, we place restrictions on the flow of information from covered
entities to non-covered entities. The final rule permits group health
plans to disclose protected health information to plan sponsors, and
allows them to authorize health insurance issuers or HMOs to disclose
protected health information to plan sponsors, if the plan sponsors
agree to use and disclose the information only as permitted or required
by the regulation. The information may be used only for plan
administration functions performed on behalf of the group health plan
and specified in the plan documents. Hereafter, any reference to
employer in a response to a comment uses the term "plan sponsor," since
employers can only receive protected health information in their role as
plan sponsors, except as otherwise permitted under this rule, such as
with an authorization.
Specifically, in order for a plan sponsor to obtain without
authorization protected health information from a group health plan,
health insurance issuer, or HMO, the documents under which the group
health plan was established and is maintained must be amended to: (1)
describe the permitted uses and disclosures of protected health
information by the plan sponsor (see above for further explanation); (2)
specify that disclosure is permitted only upon receipt of a written
certification that the plan documents have been amended; and (3) provide
adequate firewalls. The firewalls must identify the employees or classes
of employees or other persons under the plan sponsor's control who will
have access to protected health information; restrict access to only the
employees identified and only for the administrative functions performed
on behalf of the group health plan; and provide a mechanism for
resolving issues of noncompliance by the employees identified. Any
employee of the plan sponsor who receives protected health information
in connection with the group health plan must be included in the
amendment to the plan documents. As required by ERISA, the named
fiduciary is responsible for ensuring the accuracy of amendments to the
plan documents.
Group health plans, and health insurance issuers or HMOs with respect to
the group health plan, that disclose protected health information to
plan sponsors are bound by the minimum necessary standard as described
in § 164.514.
Group health plans, to the extent they provide health benefits only
through an insurance contract with a health insurance issuer or HMO and
do not create, receive, or maintain protected health information (except
for summary information or enrollment and disenrollment information),
are not required to comply with the requirements of §§ 164.520 or
164.530, except for the documentation requirements of § 164.530(j). In
addition, because the group health plan does not have access to
protected health information, the requirements of §§ 164.524, 164.526,
and 164.528 are not applicable. Individuals enrolled in a group health
plan that provides benefits only through an insurance contract with a
health insurance issuer or HMO would have access to all rights provided
by this regulation through the health insurance issuer or HMO, because
they are covered entities in their own right.
*Comment*: We received several comments from self-insured plans who
stated that the proposed rule did not fully appreciate the dual nature
of an employer as a plan sponsor and as a insurer. These commenters
stated that the regulation should have an exception for employers who
are also insurers.
*Response*: We believe the approach we have taken in the final rule
recognizes the special relationship between plan sponsors and group
health plans, including group health plans that provide benefits through
a self-insured arrangement. The final rule allows plan sponsors and
employees of plan sponsors access to protected health information for
purposes of plan administration. The group health plan is bound by the
permitted uses and disclosures of the regulation, but may disclose
protected health information to plan sponsors under certain
circumstances. To the extent that group health plans do not provide
health benefits through an insurance contract, they are required to
establish a privacy officer and provide training to employees who have
access to protected health information, as well as meet the other
applicable requirements of the regulation.
*Comment*: Some commenters supported our position not to require
individual consent for employers to have access to protected health
information for purposes of treatment, payment, and health care
operations. For employer sponsored insurance to continue to exist as it
does today, the commenters stressed, this policy is essential. Other
commenters encouraged the Department to amend the regulation to require
authorization for disclosure of information to employers. These
commenters stressed that because the employer was not a covered entity,
individual consent is the only way to prohibit potential abuses of
information.
*Response*: In the final regulation, we maintain the position in the
proposed rule that a health plan, including a group health plan, need
not obtain individual consent for use and disclosure of protected health
information for treatment, payment and or health care operations
purposes. However, we impose conditions (described above) for making
such disclosures to the plan sponsor. Because employees of the plan
sponsor often perform health care operations and payment (e.g. plan
administration) functions, such as claims payment, quality review, and
auditing, they may have legitimate need for such information. Requiring
authorization from every participant in the plan could make such
fundamental plan administration activities impossible. We therefore
impose regulatory restrictions, rather than a consent requirement, to
prevent abuses. For example, the plan sponsor must certify that any
protected health information obtained by its employees through such plan
administration activities will not be used for employment-related
decisions.
*Comment*: Several commenters stressed that the regulation must require
the establishment of firewalls between group health plans and employers.
These commenters stated that firewalls were necessary to prevent the
employer from accessing information improperly and using it in making
job placements, promotions, and firing decisions. In addition, one
commenter stated that employees with access to protected health
information must be empowered through this regulation to deny
unauthorized access to protected health information to corporate
managers and executives.
*Response*: We agree with the commenters that firewalls are necessary to
prevent unauthorized use and disclosure of protected health information.
Among the conditions for group health plans to disclose information to
plan sponsors, the plan sponsor must establish firewalls to prevent
unauthorized uses and disclosures of information. The firewalls include:
describing the employees or classes of employees with access to
protected health information; restricting access to and use of the
protected health information to the plan administration functions
performed on behalf of the group health plan and described in plan
documents; and providing an effective mechanism for resolving issues of
noncompliance.
*Comment:* Several commenters supported our proposal to cover the health
care component of an employer in its capacity as an administrator of the
group health plan. These commenters felt the component approach was
necessary to prevent the disclosure of protected health information to
other parts of the employer where it might be used or disclosed
improperly. Other commenters believed the component approach was
unworkable and that distinguishing who was in the covered entity would
not be as easy as assumed in the proposed rule. One commenter stated it
was unreasonable for an employer to go through its workforce division by
division and employee by employee designating who is included in the
component and who is not. In addition, some commenters argued that we
did not have the statutory authority to regulate employers at all,
including their health care components.
One commenter requested more guidance with respect to identifying the
health care component as proposed under the proposed rule. In
particular, the commenter requested that the regulation clearly define
how to identify such persons and what activities and functional areas
may be included. The commenter alleged that identification of persons
needing access to protected health information will be administratively
burdensome. Another commenter requested clarification on distinguishing
the component entity from non-component entities within an organization
and how to administer such relationships. The commenter stated that
individuals included in the covered entity could change on a daily basis
and advocated for a simpler set of rules governing intra-organizational
relationships as opposed to inter-organizational relationships.
*Response*: While we have not adopted the component approach for plan
sponsors in the final rule, plan sponsors who want protected health
information must still identify who in the organization will have access
to the information. Several of the changes we make to the NPRM will make
this designation easier. First, we move from "component" to a more
familiar functional approach. We limit the employees of the plan sponsor
who may receive protected health information to those employees
performing plan administration functions, as that term is understood
with respect to ERISA compliance, and as limited by this rule's
definitions of payment and health care operation. We also allow
designation of a class of employees (e.g., all employees assigned to a
particular department) or individual employees.
Although some commenters have asked for guidance, we have intentionally
left the process flexible to accommodate different organizational
structures. Plan sponsors may identify who will have access to protected
health information in whatever way best reflects their business needs as
long as participants can reasonably identify who will have access. For
example, persons may be identified by naming individuals, job titles
(e.g. Director of Human Resources), functions (e.g. employees with
oversight responsibility for the outside third party claims
administrator), divisions of the company (e.g. Employee Benefits) or
other entities related to the plan sponsor. We believe this flexibility
will also ease any administrative burden that may result from the
identification process. Identification in terms such as "individuals who
from time to time may need access to protected health information" or in
other broad or generic ways, however, would not be sufficient.
*Comment*: In addition to the comments on the component approach itself,
several commenters pointed out that many employees wear two hats in the
organization, one for the group health plan and one for the employer.
The commenters stressed that these employees should not be regulated
when they are performing group health plan functions. This arrangement
is necessary, particularly in small employers where the plan fiduciary
may also be in charge of other human resources functions. The commenter
recommended that employees be allowed access to information when
necessary to perform health plan functions while prohibiting them from
using the information for non-health plan functions.
*Response*: We agree with the commenters that many employees perform
multiple functions in an organization and we design these provisions
specifically to accommodate this way of conducting business. Under the
approach taken in the final regulation, employees who perform multiple
functions (i.e. group health plan and employment-related functions) may
receive protected health information from group health plans, but among
other things, the plan documents must certify that these employees will
not use the information for activities not otherwise permitted by this
rule including for employment-related activities.
*Comment*: Several commenters pointed out that the amount of access
needed to protected health information varies greatly from employer to
employer. Some employers may perform many plan administration functions
themselves which are not possible without access to protected health
information. Other employers may simply offer health insurance by paying
a premium to a health insurance issuer rather than provide or administer
health benefits themselves. Some commenters argued that fully insured
plans should not be covered under the rule. Similarly, some commenters
argued that the regulation was overly burdensome on small employers,
most of whom fully insure their group health plans. Other commenters
pointed out that health insurance issuers - even in fully insured
arrangements - are often asked for identifiable health information,
sometimes for legitimate purposes such as auditing or quality assurance,
but sometimes not. One commenter, representing an insurer, gave several
examples of employer requests, including claims reports for employees,
individual and aggregate amounts paid for employees, identity of
employees using certain drugs, and the identity, diagnosis and
anticipated future costs for "high cost" employees. This same commenter
requested guidance in what types of information can be released to
employers to help them determine the organization's responsibilities and
liabilities.
*Response*: In the final regulation we recognize the diversity in plan
sponsors' need for protected health information. Many plan sponsors need
access to protected health information to perform plan administration
functions, including eligibility and enrollment functions, quality
assurance, claims processing, auditing, monitoring, trend analysis, and
management of carve-out plans (such as vision and dental plans). In the
final regulation we allow group health plans to disclose protected
health information to plan sponsors if the plan sponsor voluntarily
agrees to use the information only in accordance with the purposes
stated in the plan documents and as permitted by the regulation. We
clarify, however, that plan administration does not include any
employment-related decisions, including fitness for duty determinations,
or duties related to other employee benefits or plans. Plan documents
may only permit health insurance issuers to disclose protected health
information to a plan sponsor as is otherwise permitted under this rule
and consistent with the minimum necessary standard.
Some plan sponsors, including those with a fully insured group health
plan, do not perform plan administration functions on behalf of group
health plans, but still may require health information for other
purposes, such as modifying, amending or terminating the plan or
soliciting bids from prospective issuers or HMOs. In the ERISA context
actions undertaken to modify, amend or terminate a group health plan may
be known as "settlor" functions (see [Lockheed Corp. v.
Spink]{.underline}, 517 U.S. 882 (1996)). For example, a plan sponsor
may require access to information to evaluate whether to adopt a
three-tiered drug formulary. Additionally, a prospective health
insurance issuer may need claims information from a plan sponsor in
order to provide rating information. The final rule permits plan
sponsors to receive summary health information with identifiers removed
in order to carry out such functions. Summary health information is
information that summarizes the claims history, expenses, or types of
claims by individuals enrolled in the group health plan. In addition,
the identifiers listed in § 164.514(b)(2)(i) must be removed prior to
disclosing the information to a plan sponsor for purposes of modifying,
amending, or terminating the plan. See § 164.504(a). This information
does not constitute de-identified information because there may be a
reasonable basis to believe the information is identifiable to the plan
sponsor, especially if the number of participants in the group health
plan is small. A group health plan, however, may not permit an issuer or
HMO to disclose protected health information to a plan sponsor unless
the requirement in § 164.520 states that this disclosure may occur.
*Comment*: Several commenters stated that health insurance issuers
cannot be held responsible for employers' use of protected health
information. They stated that the issuer is the agent of the employer
and it should not be required to monitor the employer's use and
disclosure of information.
*Response*: Under this regulation, health insurance issuers are covered
entities and responsible for their own uses and disclosures of protected
health information. A group health plan must require a health insurance
issuer or HMO providing coverage to the group health plan to disclose
information to the plan sponsor only as provided in the plan documents.
*Comment*: Several commenters urged us to require de-identified
information to be used to the greatest extent possible when information
is being shared with employers.
*Response*: De-identified information is not sufficient for many
functions plan sponsors perform on behalf of their group health plans.
We have created a process to allow plan sponsors and their employees
access to protected health information when necessary to administer the
plan. We note that all uses and disclosures of protected health
information by the group health plan are bound by the minimum necessary
standard.
*Comment*: One commenter representing church plans argued that the
regulation should treat such plans differently from other group health
plans. The commenter was concerned about the level of access to
information the Secretary would have in performing compliance reviews
and suggested that a higher degree of sensitivity is need for
information related to church plans than information related to other
group health plans. This sensitivity is needed, the commenter alleged,
to reduce unnecessary intrusion into church operations. The commenter
also advocated that church plans found to be out of compliance should be
able to self-correct within a stated time frame (270 days) and avoid
paying penalty taxes as allowed in the Internal Revenue Code.
*Response*: We do not believe there is sufficient reason to treat church
plans differently than other covered entities. The intent of the
compliance reviews is to determine whether or not the plan is abiding by
the regulation, not to gather information on the general operations of
the church. As required by § 160.310(c), the covered entity must provide
access only to information that is pertinent to ascertaining compliance
with part 160 or subpart E of 164.
*Comment*: Several commenters stated that employers often advocate on
behalf of their employees in benefit disputes and appeals, answer
questions with regard to the health plan, and generally help them
navigate their health benefits. These commenters questioned whether this
type of assistance would be allowed under the regulation, whether
individual consent was required, and whether this intervention would
make them a covered entity.
*Response*: The final rule does nothing to hinder or prohibit plan
sponsors from advocating on behalf of group health plan participants or
providing assistance in understanding their health plan. Under the
privacy rule, however, the plan sponsor could not obtain any information
from the group health plan or a covered provider unless authorization
was given. We do not believe obtaining authorization when advocating or
providing assistance will be impractical or burdensome since the
individual is requesting assistance and therefore should be willing to
provide authorization. Advocating on behalf of participants or providing
other assistance does not make the plan sponsor a covered entity.
**SECTION 164.506 - CONSENT FOR TREATMENT, PAYMENT, AND HEALTH CARE
OPERATIONS**
*Comment:* Many commenters supported regulatory authorization for
treatment, payment, and health care operations. In particular, health
plans, employers, and institutional providers supported the use of
regulatory authorization for treatment, payment, and health care
operations.
In contrast, a large number of commenters, particularly health care
professionals, patients, and patient advocates, suggested that consent
for treatment, payment, and health care operations should be required.
Many commenters supported the use of consent for treatment, payment, and
health care operations, considering this a requirement for maintaining
the integrity of the health care system. Some commenters made a
distinction between requiring and permitting providers to obtain
consent.
Commenters nearly uniformly agreed that covered health care providers,
health plans, and clearinghouses should not be prohibited from seeking
authorization for treatment, payment, and health care operations. Some
commenters stated that the prohibition against obtaining an
authorization goes against professional ethics, undermines the
patient-provider relationship, and is contrary to current industry
practice.
Some commenters specifically noted the primacy of the doctor-patient
relationship regarding consent. In general, commenters recommended that
individually identifiable health information not be released by doctors
without patient consent. A few commenters stated that prohibiting health
care providers from obtaining consent could cause the patient to become
suspicious and distrustful of the health care provider. Other commenters
believed that clinicians have the responsibility for making sure that
patients are fully informed about the consequences of releasing
information. A few commented that the process of obtaining consent
provided an opportunity for the patient and provider to negotiate the
use and disclosure of patient information.
Commenters discussed how, when, and by whom consent should be sought.
For example, some commenters viewed a visit between a health care
provider and patient as the appropriate place for consent to be
discussed and obtained. While others did not necessarily dispute the
appropriateness of health care providers obtaining consent for uses and
disclosures of protected health information from individuals, some said
that it was appropriate for health plans to be permitted to obtain
consent.
*Response:* In the NPRM we stated our concern that the blanket consents
that individuals sign today provide these individuals with neither
notice nor control over how their information is to be used. While we
retain those concerns, we also understand that for many who participate
in the health care system, the acts of providing and obtaining consent
represent important values that these parties wish to retain. Many
individuals argued that providing consent enhances their control; many
advocates argued that the act of consent focuses patient attention on
the transaction; and many health care providers argued that obtaining
consent is part of ethical behavior.
The final rule amends our proposed approach and requires most covered
health care providers to obtain a consent from their patients to use or
disclose protected health information for treatment, payment, and health
care operations. Providers who have an indirect treatment relationship
with the patient, as defined in § 164.501, cannot be expected to have an
opportunity to obtain consent and may continue to rely on regulatory
authorization for their uses and disclosures for these purposes.
As described in the comments, it is the relationship between the health
care provider and the patient that is the basis for many decisions about
uses and disclosures of protected health information. Much of the
individually identifiable health information that is the subject of this
rule is created when a patient interacts with a health care provider. By
requiring covered providers to obtain consent for treatment, payment,
and health care operations, the individual will have appropriate
opportunity to consider the appropriate uses and disclosures of his or
her protected health information. We also require that the consent
contain a reference to the provider's notice, which contains a more
detailed description of the provider's practices relating to uses and
disclosures of protected health information. This combination provides
the basis for an individual to have an informed conversation with his or
her provider and to request restrictions.
It is our understanding that it is common practice for providers to
obtain consent for this type of information-sharing today. Many
providers and provider organizations stated that they are ethically
obligated to obtain the patient's consent and that it is their practice
to do so. A 1998 study by Merz, et al, published in the Journal of Law,
Medicine and Ethics examined hospital consent forms regarding disclosure
of medical information.[^8] They found that 97% of all hospitals seek
consent for the release of information for payment purposes; 45% seek
consent for disclosure for utilization review, peer review, quality
assurance, and/or prospective review; and 50% seek consent for
disclosure to providers, other health care facilities, or others for
continuity of care purposes. All of these activities fall within our
definitions of treatment, payment, or health care operations.
In the final rule we have not required that health plans or health care
clearinghouses obtain consent for their uses and disclosures of
protected health information for treatment, payment, or health care
operations. The rationale underlying the consent requirements for uses
and disclosures by health care providers do not pertain to health plans
and health care clearinghouses. First, current practice is varied, and
there is little history of health plans obtaining consent relating to
their own information practices unless required to do so by some other
law. This is reflected in the public comments, in which most health
plans supported the regulatory authorization approach proposed in the
NPRM. Further, unlike many health care providers, health plans did not
maintain that they were ethically obligated to seek the consent of their
patients for their use and disclosure activities. Finally, it is the
unique relationship between an individual and his or her health care
provider that provides the foundation for a meaningful consent process.
Requiring that consent process between an individual and a health plan
or clearinghouse, when no such unique relationship exists, we believe is
not necessary.
Unlike their relationship with health care providers, individuals in
most instances do not have a direct opportunity to engage in a
discussion with a health plan or clearinghouse at the time that they
enter into a relationship with those entities. Most individuals choose a
health plan through their employer and often sign up through their
employer without any direct contact with the health plan. We concluded
that providing for a signed consent in such a circumstance would add
little to the proposed approach, which would have required health plans
to provide a detailed notice to their enrollees. In the final rule, we
also clarify that an individual can request a restriction from a health
plan or health care clearinghouse. Since individuals rarely if ever have
any direct contact with clearinghouses, we concluded that requiring a
signed consent would have virtually no effect beyond the provision of
the notice and the opportunity to request restrictions.
We agree with the comments we received objecting to the provision
prohibiting covered entities from obtaining consent from individuals. As
discussed above, in the final rule we require covered health care
providers with direct treatment relationships to obtain consent to use
or disclose protected health information for treatment, payment, and
health care operations. In addition, we have eliminated the provision
prohibiting other covered entities from obtaining such consents. We note
that the consents that covered entities are permitted to obtain relate
to their own uses and disclosures of protected health information for
treatment, payment, and health care operations and not to the practices
of others. If a covered entity wants to obtain the individual's
permission to receive protected health information from another covered
entity, it must do so using an authorization under § 164.508.
***"Consent" versus "Authorization"***
*Comment:* In general, commenters did not distinguish between "consent"
and "authorization". Commenters used both terms to refer to the
individual's giving permission for the use and disclosure of protected
health information by any entity.
*Response:* In the final rule we have made an important distinction
between consent and authorization. Under the final rule, we refer to the
process by which a covered entity seeks agreement from an individual
regarding how it will use and disclose the individual's protected health
information for treatment, payment, and health care operations as
"consent." The provisions in the final rule relating to consent are
largely contained in § 164.506. The process by which a covered entity
seeks agreement from an individual to use or disclose protected health
information for other purposes, or to authorize another covered entity
to disclose protected health information to the requesting covered
entity, are termed "authorizations" and the provisions relating to them
are found in § 164.508.
***Consent Requirements***
*Comment:* Many commenters believed that consent might be problematic in
that it could allow covered entities to refuse enrollment or services if
the individual does not grant the consent. Some commenters proposed that
covered entities be allowed to condition treatment, payment, or health
care operations on whether or not an individual granted consent. Other
commenters said that consent should be voluntary and not coerced.
*Response:* In the final rule (§ 164.506(b)(1)), we permit covered
health care providers to condition treatment on the individual's consent
to the covered provider's use or disclosure of protected health
information to carry out treatment, payment, and health care operations.
We recognize that it would be difficult, if not impossible, for health
care providers to treat their patients and run their businesses without
being able to use or disclose protected health information for these
purposes. For example, a health care provider could not be reimbursed by
a health plan unless the provider could share protected health
information about the individual with the health plan. Under the final
rule, if the individual refuses to grant consent for this disclosure,
the health care provider may refuse to treat the individual. We
encourage health care providers to exhaust other options, such as making
alternative payment arrangements with the individual, before refusing to
treat the individual on these grounds.
We also permit health plans to condition enrollment in the health plan
on the individual's consent for the health plan to use and disclose
protected health information to carry out treatment, payment, and health
care operations (see § 164.506(b)(2)). The health plan must seek the
consent in conjunction with the individual's enrollment in the plan for
this provision to apply. For example, a health plan's application for
enrollment may include a consent for the health plan to use or disclose
protected health information to carry out treatment, payment, and/or
health care operations. If the individual does not sign this consent,
the health plan, under § 164.502(a)(1)(iii), is prohibited from using or
disclosing protected health information about the individual for the
purposes stated in the consent form. Because the health plan may not be
able adequately to provide services to the individual without these uses
and disclosures, we permit the health plan to refuse to enroll the
individual if the consent is not signed.
*Comment:* Some commenters were concerned that the NPRM conflicted with
state law regarding when covered entities would be required to obtain
consent for uses and disclosures of protected health information.
*Response:* We have modified the provisions in the final rule to require
certain health care providers to obtain consent for uses and disclosures
for treatment, payment, and health care operations and to permit other
covered entities to do so. A consent under this rule may be combined
with other types of written legal permission from the individual, such
as state-required consents for uses and disclosures of certain types of
health information (e.g., information relating to HIV/AIDS or mental
health). We also permit covered entities to seek authorization from the
individual for another covered entity's use or disclosure of protected
health information for these purposes, including if the covered entity
is required to do so by other law. Though we do not believe any states
currently require such authorizations, we wanted to avoid future
conflicts. These changes should resolve the concerns raised by
commenters regarding conflicts with state laws that require consent,
authorization, or other types of written legal permission for uses and
disclosures of protected health information.
*Comment:* Some commenters noted that there would be circumstances when
consent is impossible or impractical. A few commenters suggested that in
such situations patient information be de-identified or reviewed by an
objective third party to determine if consent is necessary.
*Response:* Covered health care providers with direct treatment
relationships are required to obtain consent to use or disclose
protected health information to carry out treatment, payment, and health
care operations. In certain treatment situations where the provider is
permitted or required to treat an individual without the individual's
written consent to receive health care, the provider may use and
disclose protected health information created or obtained in the course
of that treatment without the individual's consent under this rule (see
§ 164.506(a)(3)). In these situations, the provider must attempt to
obtain the individual's consent and, if the provider is unable to obtain
consent, the provider must document the attempt and the reason consent
could not be obtained. Together with the uses and disclosures permitted
under §§ 164.510 and 164.512, the concerns raised regarding situations
in which it is impossible or impractical for covered entities to obtain
the individual's permission to use or disclose protected health
information about the individual have been addressed.
*Comment:* An agency that provides care to individuals with mental
retardation and developmental disabilities expressed concern that many
of their consumers lack capacity to consent to the release of their
records and may not have a surrogate readily available to provide
consent on their behalf.
*Response:* Under § 164.506(a)(3), we provide exceptions to the consent
requirement for certain treatment situations in which consent is
difficult to obtain. In these situations, the covered provider must
attempt to obtain consent and must document the reason why consent was
not obtained. If these conditions are met, the provider may use and
disclose the protected health information created or obtained during the
treatment for treatment, payment, or health care operations purposes,
without consent.
*Comment:* Many commenters were concerned that covered entities working
together in an integrated health care system would each separately be
required to obtain consent for use and disclosure of protected health
information for treatment, payment, and health care operations. These
commenters recommend that the rule permit covered entities that are part
of the same integrated health care system to obtain a single consent
allowing each of the covered entities to use and disclose protected
health information in accordance with that consent form. Some commenters
said that it would be confusing to patients and administratively
burdensome to require separate consents for health care systems that
include multiple covered entities.
*Response:* We agree with commenters' concerns. In § 164.506(f) of the
final rule we permit covered entities that participate in an organized
health care arrangement to obtain a single consent on behalf of the
arrangement. See § 164.501 and the corresponding preamble discussion
regarding organized health care arrangements. To obtain a joint consent,
the covered entities must have a joint notice and must refer to the
joint notice in the joint consent. See § 164.520(d) and the
corresponding preamble discussion regarding joint notice. The joint
consent must also identify the covered entities to which it applies so
that individuals will know who is permitted to use and disclose
information about them.
*Comment:* Many commenters stated that individuals own their medical
records and, therefore, should have absolute control over them,
including knowing by whom and for what purpose protected health
information is used, disclosed, and maintained. Some commenters asserted
that, according to existing law, a patient owns the medical records of
which he is the subject.
*Response:* We disagree. In order to assert an ownership interest in a
medical record, a patient must demonstrate some legitimate claim of
entitlement to it under a state law that establishes property rights or
under state contract law. Historically, medical records have been the
property of the health care provider or medical facility that created
them, and some state statutes directly provide that medical records are
the property of a health care provider or a health care facility. The
final rule is consistent with current state law that provides patients
access to protected health information but not ownership of medical
records. Furthermore, state laws that are more stringent than the rule,
that is, state laws that provide a patient with greater access to
protected health information, remain in effect. See discussion of
"Preemption" above.
***Electronically Stored Data***
*Comment*: Some commenters stated that privacy concerns would be
significantly reduced if patient information is not stored
electronically. One commenter suggested that consent should be given for
patient information to be stored electronically. One commenter believed
that information stored in data systems should not be individually
identifiable.
*Response:* We agree that storing and transmitting health information
electronically creates concerns about the privacy of health information.
We do not agree, however, that covered entities should be expected to
maintain health information outside of an electronic system,
particularly as health care providers and health plans extend their
reliance on electronic transactions. We do not believe that it would be
feasible to permit individuals to opt out of electronic transactions by
withholding their consent. We note that individuals can ask providers
and health plans whether or not they store information electronically,
and can choose only providers who do not do so or who agree not to do
so. We also do not believe that it is practical or efficient to require
that electronic data bases contain only de-identified information.
Electronic transactions have achieved tremendous savings in the health
care system and electronic records have enabled significant improvements
in the quality and coordination of health care. These improvements would
not be possible with de-identified information.
**SECTION 164.508 - USES AND DISCLOSURES FOR WHICH AUTHORIZATION IS
REQUIRED**
***Uses and Disclosures Requiring Authorization***
*Comment:* We received many comments in general support of requiring
authorization for the use or disclosure of protected health information.
Some comments suggested, however, that we should define those uses and
disclosures for which authorization is required and permit covered
entities to make all other uses and disclosures without authorization.
*Response:* We retain the requirement for covered entities to obtain
authorization for all uses and disclosures of protected health
information that are not otherwise permitted or required under the rule
without authorization. We define exceptions to the general rule
requiring authorization for the use or disclosure of protected health
information, rather than defining narrow circumstances in which
authorization is required.
We believe this approach is consistent with well-established privacy
principles, with other law, and with industry standards and ethical
guidelines. The July 1977 Report of the Privacy Protection Study
Commission recommended that "each medical-care provider be considered to
owe a duty of confidentiality to any individual who is the subject of a
medical record it maintains, and that, therefore, no medical care
provider should disclose, or be required to disclose, in individually
identifiable form, any information about any such individual without the
individual's explicit authorization, unless the disclosures would be"
for specifically enumerated purposes such as treatment, audit or
evaluation, research, public health, and law enforcement.[^9] The
Commission made similar recommendations with respect to insurance
institutions.[^10] The Privacy Act (5 U.S.C. 552a) prohibits government
agencies from disclosing records except pursuant to the written request
of or pursuant to a written consent of the individual to whom the record
pertains, unless the disclosure is for certain specified purposes. The
National Association of Insurance Commissioners' Health Information
Privacy Model Act states, "A carrier shall not collect, use or disclose
protected health information without a valid authorization from the
subject of the protected health information, except as permitted by\...
this Act or as permitted or required by law or court order.
Authorization for the disclosure of protected health information may be
obtained for any purpose, provided that the authorization meets the
requirements of this section." In its report "Best Principles for Health
Privacy," the Health Privacy Working Group stated, "Personally
identifiable health information should not be disclosed without patient
authorization, except in limited circumstances" such as when required by
law, for oversight, and for research.[^11] The American Medical
Association's Council on Ethical and Judicial Affairs has issued an
opinion stating, "The physician should not reveal confidential
communications or information without the express consent of the
patient, unless required to do so by law \[and\] subject to certain
exceptions which are ethically and legally justified because of
overriding social considerations."[^12] We build on these standards in
this final rule.
*Comment:* Some comments suggested that, under the proposed rule, a
covered entity could not use protected health information to solicit
authorizations from individuals. For example, a covered entity could not
use protected health information to generate a mailing list for sending
an authorization for marketing purposes.
*Response:* We agree with this concern and clarify that covered entities
are permitted to use protected health information in this manner without
authorization as part of the management activities relating to
implementation of and compliance with the requirements of this rule. See
§ 164.501 and the corresponding preamble regarding the definition of
health care operations.
*Comment:* We received several comments suggesting that we not require
written authorizations for disclosures to the individual or for
disclosures initiated by the individual or the individual's legal
representative.
*Response:* We agree with this concern and in the final rule we clarify
that disclosures of protected health information to the individual who
is the subject of the information do not require the individual's
authorization. See § 164.502(a)(1). We do not intend to impose barriers
between individuals and disclosures of protected health information to
them.
When an individual requests that the covered entity disclose protected
health information to a third party, however, the covered entity must
obtain the individual's authorization, unless the third party is a
personal representative of the individual with respect to such protected
health information. See § 164.502(g). If under applicable law a person
has authority to act on behalf of an individual in making decisions
related to health care, except under limited circumstances, that person
must be treated as the personal representative under this rule with
respect to protected health information related to such representation.
A legal representative is a personal representative under this rule if,
under applicable law, such person is able to act on behalf of an
individual in making decisions related to health care, with respect to
the protected health information related to such decisions. For example,
an attorney of an individual may or may not be a personal representative
under the rule depending on the attorney's authority to act on behalf of
the individual in decisions related to health care. If the attorney is
the personal representative under the rule, he may obtain a copy of the
protected health information relevant to such personal representation
under the individual's right to access. If the attorney is not the
personal representative under the rule, or if the attorney wants a copy
of more protected health information than that which is relevant to his
personal representation, the individual would have to authorize such
disclosure.
*Comment:* Commenters expressed concern about whether a covered entity
can rely on authorizations made by parents on behalf of their minor
children once the child has reached the age of majority and recommended
that covered entities be able to rely on the most recent, valid
authorization, whether it was authorized by the parent or the minor.
*Response:* We agree. If an authorization is signed by a parent, who is
the personal representative of the minor child at the time the
authorization is signed, the covered entity may rely on the
authorization for as long as it is a valid authorization, in accordance
with § 164.508(b). A valid authorization remains valid until it expires
or is revoked. This protects a covered entity's reasonable reliance on
such authorization. The expiration date of the authorization may be the
date the minor will reach the age of majority. In that case, the covered
entity would be required to have the individual sign a new authorization
form in order to use or disclose information covered in the expired
authorization form.
*Comment:* Some commenters were concerned that covered entities working
together in an integrated system would each be required to obtain
authorization separately. These commenters suggested the rule should
allow covered entities that are part of the same system to obtain a
single authorization allowing each of the covered entities to use and
disclose protected health information in accordance with that
authorization.
*Response:* If the rule does not permit or require a covered entity to
use or disclose protected health information without the individual's
authorization, the covered entity must obtain the individual's
authorization to make the use or disclosure. Multiple covered entities
working together as an integrated delivery system or otherwise may
satisfy this requirement in at least three ways. First, each covered
entity may separately obtain an authorization directly from the
individual who is the subject of the protected health information to be
used or disclosed. Second, one covered entity may obtain a compound
authorization in accordance with § 164.508(b)(3) that authorizes
multiple covered entities to use and disclose protected health
information. In accordance with § 164.508(c)(1)(ii), each covered
entity, or class of covered entities, that is authorized to make the use
or disclosure must be clearly identified. Third, if the requirements in
§ 164.504(d) are met, the integrated delivery system may elect to
designate itself as a single affiliated covered entity. A valid
authorization obtained by that single affiliated covered entity would
satisfy the authorization requirements for each covered entity within
the affiliated covered entity. Whichever option is used, because these
authorizations are being requested by a covered entity for its own use
or disclosure, the authorization must contain both the core elements in
§ 164.508(c) and the additional elements in § 164.508(d).
***Sale, Rental, or Barter***
*Comment:* Proposed § 164.508 listed examples of activities that would
have required authorization, which included disclosure by sale, rental,
or barter. Some commenters requested clarification that this provision
is not intended to affect mergers, sale, or similar transactions dealing
with entire companies or their individual divisions. A few commenters
stated that covered entities should be allowed to sell protected health
information, including claims data, as an asset of the covered entity.
*Response:* We clarify in the definition of health care operations that
a covered entity may sell or transfer its assets, including protected
health information, to a successor in interest that is or will become a
covered entity. See § 164.501 and the corresponding preamble discussion
regarding this change. We believe this change meets commenters' business
needs without compromising individuals' privacy interests.
*Comment:* Some commenters supported the requirement for covered
entities to obtain authorization for the sale, rental, or barter of
protected health information. Some commenters argued that protected
health information should never be bought or sold by anyone, even with
the individual's authorization.
*Response:* We removed the reference to sale, rental, or barter in the
final rule because we determined that the term was overly broad. For
example, if a researcher reimbursed a provider for the cost of
configuring health data to be disclosed under the research provisions at
§ 164.512(i), there may have been ambiguity that this was a sale and,
therefore, required authorizations from the individuals who were the
subjects of the information. We clarify in the final rule that if the
use or disclosure is otherwise permitted or required under the rule
without authorization, such authorization is not required simply because
the disclosure is made by sale, rental, or barter.
*Comment:* Many commenters expressed concerns that their health
information will be sold to pharmaceutical companies.
*Response:* Although we have removed the reference to sale, rental or
barter, the final rule generally would not permit the sale of protected
health information to a pharmaceutical company without the authorization
of individuals who are the subjects of the information. In some cases, a
covered entity could disclose protected health information to a
pharmaceutical company for research purposes if the disclosure met the
requirements of § 164.512(i).
*Psychotherapy Notes*
*Comment:* Public response to the concept of providing additional
protections for psychotherapy notes was divided. Many individuals and
most providers, particularly mental health practitioners, advocated
requiring consent for use or disclosure of all or most protected health
information, but particularly sensitive information such as mental
health information, not necessarily limited to psychotherapy notes.
Others thought there should be special protections for psychotherapy
information based on the federal psychotherapist-patient privilege
created by the U.S. Supreme Court in *Jaffee v. Redmond* and the need
for an atmosphere of trust between therapist and patient that is
required for effective psychotherapy. Several consumer groups
recommended prohibiting disclosure of psychotherapy notes for payment
purposes.
Some commenters, however, saw no need for special protections for
psychotherapy communications and thought that the rules should apply the
same protections for all individually identifiable information. Other
commenters who advocated for no special protections based their
opposition on the difficulty in drawing a distinction between physical
and mental health and that special protections should be left to the
states. Many health plans and employers did not support additional
protections for psychotherapy notes because they stated they need access
to this information to assess the adequacy of treatment, the severity of
a patient's condition, the extent of a disability, or the ability to
monitor the effectiveness of an individual's mental health care and
eligibility for benefits. Other commenters, many from insurance
companies, cited the need to have psychotherapy notes to detect fraud.
A few commenters said that it was not necessary to provide additional
protections to psychotherapy notes because the "minimum necessary"
provisions of the NPRM provide sufficient protections.
*Response*: In the final rule, a covered entity generally must obtain an
authorization for disclosure of psychotherapy notes, or for use by a
person other than the person who created the psychotherapy notes. This
authorization is specific to psychotherapy notes and is in addition to
the consent an individual may have given for the use or disclosure of
other protected health information to carry out treatment, payment, and
health care operations. This additional level of individual control
provides greater protection than a general application of the \"minimum
necessary\" rule. Nothing in this regulation weakens existing rules
applicable to mental health information that provide more stringent
protections. We do not intend to alter the holding in *Jaffee v.
Redmond*.
Generally, we have not treated sensitive information differently from
other protected health information; however, we have provided additional
protections for psychotherapy notes because of *Jaffee v. Redmond* and
the unique role of this type of information. There are few reasons why
other health care entities should need access to psychotherapy notes,
and in those cases, the individual is in the best position to determine
if the notes should be disclosed. As we have defined them, psychotherapy
notes are primarily of use to the mental health professional who wrote
them, maintained separately from the medical record, and not involved in
the documentation necessary to carry out treatment, payment, or health
care operations. Since psychotherapy notes have been defined to exclude
information that health plans would typically need to process a claim
for benefits, special authorization for payment purposes should be rare.
Unlike information shared with other health care providers for the
purposes of treatment, psychotherapy notes are more detailed and
subjective and are today subject to unique privacy and record retention
practices. In fact, it is this separate existence and isolated use that
allows us to grant the extra protection without causing an undue burden
on the health care system.
*Comment:* Many commenters suggested we prohibit disclosure of
psychotherapy notes without authorization for uses and disclosures under
proposed § 164.510 of the NPRM, or that protections should be extended
to particular uses and disclosures, such as disclosures for public
health, law enforcement, health oversight, and judicial and
administrative proceedings. One of these commenters stated that the only
purpose for which psychotherapy notes should be disclosed without
authorization is for preventing or lessening a serious or imminent
threat to health or safety (proposed §154.510(k)). Another commenter
stated that the rule should allow disclosure of psychotherapy notes
without authorization for this purpose, or as required by law in cases
of abuse or neglect.
Other commenters did not want these protections to be extended to
certain national priority activities. They claimed that information
relative to psychotherapy is essential to states\' activities to protect
the public from dangerous mentally ill offenders and abusers, to deliver
services to individuals who are unable to authorize release of health
care information, and for public health assessments. One commenter
requested clarification of when psychotherapy notes could be released in
emergency circumstances. Several commenters stated that psychotherapy
notes should not be disclosed for public health purposes.
*Response:* We agree with the commenters who suggested extending
protections of psychotherapy notes and have limited the purposes for
which psychotherapy notes may be disclosed without authorization for
purposes other than treatment, payment, or health care operations. The
final rule requires covered entities to obtain authorization to use or
disclose psychotherapy notes for purposes listed in § 164.512, with the
following exceptions: An authorization is not required for use or
disclosure of psychotherapy notes when the use or disclosure is required
for enforcement of this rule, in accordance with § 164.502(a)(2)(ii);
when required by law, in accordance with § 164.512(a); when needed for
oversight of the covered health care provider who created the
psychotherapy notes, in accordance with § 164.512(d); when needed by a
coroner or medical examiner, in accordance with § 164.512(g)(1); or when
needed to avert a serious and imminent threat to health or safety, in
accordance with § 164.512(j)(1)(i).
*Comment:* A commenter suggested that we follow the federal regulations
governing confidentiality of alcohol and substance abuse records as a
model for limited disclosure of psychotherapy notes for audits or
evaluations. Under these regulations, a third party payor or a party
providing financial assistance may access confidential records for
auditing purposes if the party agrees in writing to keep the records
secure and destroy any identifying information upon completion of the
audit. (42 CFR Part 2)
*Response:* We agree that the federal regulations concerning alcohol and
drug abuse provide a good model for protection of information. However,
according to our fact-finding discussions, audit or evaluation should
not require access to psychotherapy notes. Protected health information
kept in the medical record about an individual should be sufficient for
these purposes. The final rule does not require authorization for use or
disclosure of psychotherapy notes when needed for oversight of the
covered health care provider who created the psychotherapy notes.
*Comment:* A provider organization urged that the disclosure of
psychotherapy notes be strictly prohibited except to the extent needed
in litigation brought by the client against the mental health
professional on the grounds of professional malpractice or disclosure in
violation of this section.
*Response:* We agree that psychotherapy notes should be available for
the defense of the provider who created the notes when the individual
who is the subject of the notes puts the contents of the notes at issue
in a legal case. In the final rule, we allow the provider to disclose
the notes to his or her lawyer for the purpose of preparing a defense.
Any other disclosure related to judicial and administrative proceedings
is governed by § 164.512(e).
*Comment:* One commenter requested that we prohibit mental health
information that has been disclosed from being re-disclosed without
patient authorization.
*Response:* Psychotherapy notes may only be disclosed pursuant to an
authorization, except under limited circumstances. Covered entities must
adhere to the terms of authorization and not disclose psychotherapy
notes to persons other than those identified as intended recipients or
for other purposes. A covered entity that receives psychotherapy notes
must adhere to the terms of this rule - including obtaining an
authorization for any further use or disclosure. We do not have the
authority, however, to prohibit non-covered entities from re-disclosing
psychotherapy notes or any other protected health information.
*Comment:* A provider organization argued for inclusion of language in
the final rule that specifies that real or perceived "ownership" of the
mental health record does not negate the requirement that patients must
specifically authorize the disclosure of their psychotherapy notes. They
cited a July 1999 National Mental Health Association survey, which found
that for purposes of utilization review, every managed care plan policy
reviewed "maintains the right to access the full medical record
(including detailed psychotherapy notes) of any consumer covered under
its benefit plan at its whim." At least one of the major managed health
plans surveyed considered the patient record to be the property of the
health plan and governed by the health plan's policies.
*Response:* Although a covered entity may own a mental health record,
the ability to use or disclose an individual\'s information is limited
by state law and this rule. Under this rule, a mental health plan would
not have access to psychotherapy notes created by a covered provider
unless the individual who is the subject of the notes authorized
disclosure to the health plan.
*Comment:* Some commenters expressed concern regarding the burden
created by having to obtain multiple authorizations and requested
clarification as to whether separate authorization for use and
disclosure of psychotherapy notes is required.
*Response:* For the reasons explained above, we retain in the final rule
a requirement that a separate authorization must be obtained for most
uses or disclosures of psychotherapy notes, including those for
treatment, payment, and health care operations. The burden of such a
requirement is extremely low, however, because under our definition of
psychotherapy notes, the need for such authorization will be very rare.
*Comment:* One commenter stated that Medicare should not be able to
require the disclosure of psychotherapy notes because it would destroy a
practitioner's ability to treat patients effectively.
*Response:* We agree. As in the proposed rule, covered entities may not
disclose psychotherapy notes for payment purposes without an
authorization. If a specific provision of law requires the disclosure of
these notes, a covered entity may make the disclosure under §
164.512(a). The final rule, however, does not require the disclosure of
these notes to Medicare.
*Comment:* One commenter expressed concern that by filing a complaint an
individual would be required to reveal sensitive information to the
public. Another commenter suggested that complaints regarding
noncompliance in regard to psychotherapy notes should be made to a panel
of mental health professionals designated by the Secretary. This
commenter also proposed that all patient information would be maintained
as privileged, would not be revealed to the public, and would be kept
under seal after the case is reviewed and closed.
*Response:* We appreciate this concern and the Secretary will ensure
that individually identifiable health information and other personal
information contained in complaints will not be available to the public.
This Department seeks to protect the privacy of individuals to the
fullest extent possible, while permitting the exchange of records
required to fulfill its administrative and program responsibilities. The
Freedom of Information Act, 5 U.S.C. 552, and the HHS implementing
regulation, 45 CFR Part 5, protect records about individuals if the
disclosure would constitute an unwarranted invasion of their personal
privacy, as does the Privacy Act, 5 U.S.C. 552a. See the discussion of
FOIA and the Privacy Act in the "Relationship to Other Federal Laws"
section of the preamble. Information that the Secretary routinely
withholds from the public in its current enforcement activities include
individual names, addresses, and medical information. Additionally, the
Secretary attempts to guard against the release of information that
might involve a violation of personal privacy by someone being able to
"read between the lines" and piece together items that would constitute
information that normally would be protected from release to the public.
In implementing the privacy rule, the Secretary will continue this
practice of protecting personal information.
It is not clear whether the commenter with regard to the use of mental
health professionals believes that such professionals should be involved
because they would be best able to keep psychotherapy notes confidential
or because such professionals can best understand the meaning or
relevance of such notes. We anticipate that we would not have to obtain
a copy or review psychotherapy notes in investigating most complaints
regarding noncompliance in regard to such notes. There may be some cases
in which a quick review of the notes may be needed, such as when we need
to identify that the information a covered entity disclosed was in fact
psychotherapy notes. If we need to obtain a copy of psychotherapy notes,
we will keep these notes confidential and secure. Investigative staff
will be trained in privacy to ensure that they fully respect the
confidentiality of personal information. In addition, while the content
of these notes is generally not relevant to violations under this rule,
we will secure the expertise of mental health professionals if needed in
reviewing psychotherapy notes.
*Comment:* A mental health organization recommended prohibiting health
plans and covered health care providers from disclosing psychotherapy
notes to coroners or medical examiners.
*Response:* In general, we have severely limited disclosures of
psychotherapy notes without the individual\'s authorization. One case
where the information may prove invaluable, but authorization by the
individual is impossible and authorization by a surrogate is potentially
contraindicated, is in the investigation of the death of the individual.
The final rule allows for disclosures to coroners or medical examiners
in this limited case.
*Comment:* One commenter recommended prohibiting disclosure without
authorization of psychotherapy notes to government health data systems.
*Response:* The decision to eliminate the general provision permitting
disclosures to government health data systems addresses this comment.
*Comment:* Several commenters were concerned that in practice, a
treatment team in a mental health facility shares information about a
patient in order to care for the patient and that the provision
requiring authorization for use and disclosure of psychotherapy notes
would expose almost all privileged information to disclosure. They
requested that we add a provision that any authorization or disclosure
under that statute shall not constitute a waiver of the
psychotherapist-patient privilege.
*Response:* Because of the restricted definition we have adopted for
psychotherapy notes, we do not expect that members of a team will share
such information. Information shared in order to care for the patient
is, by definition, not protected as psychotherapy notes. With respect to
waiving privilege, however, we believe that the consents and
authorizations described in §§ 164.506 and 164.508 should not be
construed as waivers of a patient\'s evidentiary privilege. See the
discussions under § 164.506 and "Relationship to Other Laws," above.
***Research Information Unrelated to Treatment***
*Definition of Research Information Unrelated to Treatment*
*Comment:* The majority of commenters, including many researchers and
health care providers, objected to the proposed definition of research
information unrelated to treatment, asserting that the privacy rule
should not distinguish research information unrelated to treatment from
other forms of protected health information. Even those who supported
the proposed distinction between research information related and
unrelated to treatment suggested alternative definitions for research
information unrelated to treatment.
A large number of commenters were concerned that the definition of
research information unrelated to treatment was vague and unclear and,
therefore, would be difficult or impossible to apply. These commenters
asserted that in many instances it would not be feasible to ascertain
whether research information bore some relation to treatment. In
addition, several commenters asserted that the need for distinguishing
research information unrelated to treatment from other forms of
protected health information was not necessary because the proposed
rule's general restrictions for the use and disclosure of protected
health information and the existing protections for research information
were sufficiently strong.
Of the commenters who supported the proposed distinction between
research information related and unrelated to treatment, very few
supported the proposed definition of research unrelated to treatment. A
few commenters recommended that the definition incorporate a good faith
provision and apply only to health care providers, because they thought
it was unlikely that a health plan or health care clearinghouse would be
conducting research. One commenter recommended defining research
information unrelated to treatment as information which does not
directly affect the treatment of the individual patient. As a means of
clarifying and standardizing the application of this definition, one
commenter also asserted that the definition should be based on whether
the research information was for publication. In addition, one commenter
specifically objected to the provision of the proposed definition that
would have required that research information unrelated to treatment be
information "with respect to which the covered entity has not requested
payment from a third party payor." This commenter asserted that patient
protection should not be dependent on whether a health plan will pay for
certain care.
*Response:* We agree with the commenters who found the proposed
definition of research information unrelated to treatment to be
impractical and infeasible to apply and have eliminated this definition
and its related provisions in the final rule. Although we share concerns
raised by some commenters that research information generated from
research studies that involve the delivery of treatment to individual
subjects may need additional privacy protection, we agree with the
commenters who asserted that there is not always a clear distinction
between research information that is related to treatment and research
information that is not. We found that the alternative definitions
proposed by commenters did not alleviate the serious concerns raised by
the majority of comments received on this definition.
Instead, in the final rule, we require covered entities that create
protected health information for the purpose, in whole or in part, of
research that includes treatment of individuals to include additional
elements in authorizations they request for the use or disclosure of
that protected health information. As discussed in § 164.508(f), these
research-related authorizations must include a description of the extent
to which some or all of the protected health information created for the
research will also be used or disclosed for purposes of treatment,
payment, and health care operations. For example, if the covered entity
intends to seek reimbursement from the individual's health plan for the
routine costs of care associated with the research protocol, it must
explain in the authorization the types of information that it will
provide to the health plan for this purpose. This information, and the
circumstances under which disclosures will be made for treatment,
payment, and health care operations, may be more limited than the
information and circumstances described in the covered entity's general
notice of information practices and are binding on the covered entity.
Under this approach, the covered entity that creates protected health
information for research has discretion to determine whether there is a
subset of research information that will have fewer allowable
disclosures without authorization, and prospective research subjects
will be informed about how research information about them would be used
and disclosed should they agree to participate in the research study. We
believe this provision in the final rule provides covered entities that
participate in research necessary flexibility to enhance privacy
protections for research information and provides prospective research
subjects with needed information to determine whether their privacy
interests would be adequately protected before agreeing to participate
in a research study that involves the delivery of health care.
The intent of this provision is to permit covered entities that
participate in research to bind themselves to a more limited scope of
uses and disclosures for all or identified subsets of
research information generated from research that involves the delivery
of treatment than it may apply to other protected health information. In
designing their authorizations, we expect covered entities to be mindful
of the often highly sensitive nature of research information and the
impact of individuals' privacy concerns on their willingness to
participate in research. For example, a covered entity conducting a
study which involves the evaluation of a new drug, as well as an
assessment of a new un-validated genetic marker of a particular disease,
could choose to stipulate in the research authorization that the genetic
information generated from this study will not be disclosed without
authorization for some of the public policy purposes that would
otherwise be permitted by the rule under §§ 164.510 and 164.512 and by
the covered entity's notice. A covered entity may not, however, include
a limitation affecting its right to make a use or disclosure that is
either required by law or is necessary to avert a serious and imminent
threat to health or safety.
The final rule also permits the covered entity to combine the research
authorization under § 164.508(f) with the consent to participate in
research, such as the informed consent document as stipulated under the
Common Rule or the Food and Drug Administration's human subjects
regulations.
*Enhance privacy protections for research information*
*Comment:* A number of commenters argued that research information
unrelated to treatment should have fewer allowable disclosures without
authorization than those that would have been permitted by the proposed
rule. The commenters who made this argument included those commenters
who recommended that the privacy rule not cover the information we
proposed to constitute research information unrelated to treatment, as
well as those who asserted that the rule should cover such information.
These commenters agreed with the concern expressed in the proposed rule
that patients would be reluctant to participate in research if they
feared that research information could be disclosed without their
permission or used against them. They argued that fewer allowable
disclosures should be permitted for research information because the
clinical utility of the research information is most often unknown, and
thus, it is unsuitable for use in clinical decision making. Others also
argued that it is critical to the conduct of clinical research that
researchers be able to provide individual research subjects, and the
public at large, the greatest possible assurance that their privacy and
the confidentiality of any individually identifiable research
information will be protected from disclosure.
Several commenters further recommended that only the following uses and
disclosures be permitted for research information unrelated to treatment
without authorization: (1) for the oversight of the researcher or the
research study; (2) for safety and efficacy reporting required by FDA;
(3) for public health; (4) for emergency circumstances; or (5) for
another research study. Other commenters recommended that the final rule
explicitly prohibit law enforcement officials from gaining access to
research records.
In addition, several commenters asserted that the rule should be revised
to ensure that once protected health information was classified as
research information unrelated to treatment, it could not be
re-classified as something else at a later date. These commenters
believed that if this additional protection were not added, this
information would be vulnerable to disclosure in the future, if the
information were later to gain scientific validity. They argued that
individuals may rely on this higher degree of confidentiality when
consenting to the collection of the information in the first instance,
and that confidentiality should not be betrayed in the future just
because the utility of the information has changed.
*Response:* We agree with commenters who argued that special protections
may be appropriate for research information in order to provide research
subjects with assurances that their decision to participate in research
will not result in harm stemming from the misuse of the research
information. We are aware that some researchers currently retain
separate research records and medical records as a means of providing
more stringent privacy protections for the research record. The final
rule permits covered entities that participate in research to continue
to provide more stringent privacy protections for the research record,
and the Secretary strongly encourages this practice to protect research
participants from being harmed by the misuse of their research
information.
As discussed above, in the final rule, we eliminate the special rules
for this proposed definition of research information unrelated to
treatment and its related provisions, so the comments regarding its
application are moot.
*Comment:* Some commenters recommended that the final rule prohibit a
covered entity from conditioning treatment, enrollment in a health plan,
or payment on a requirement that the individual authorize the use or
disclosure of information we proposed to constitute research information
unrelated to treatment.
*Response:* Our decision to eliminate the definition of research
information unrelated to treatment and its related provisions in the
final rule renders this comment moot.
*Comment:* A few commenters opposed distinguishing between research
information related to treatment and research information unrelated to
treatment, arguing that such a distinction could actually weaken the
protection afforded to clinically-related health information that is
collected in clinical trials. These commenters asserted that
Certificates of Confidentiality shield researchers from being compelled
to disclose individually identifiable health information relating to
biomedical or behavioral research information that an investigator
considers sensitive.
*Response:* Our decision to eliminate the definition of research
information unrelated to treatment and its related provisions in the
final rule renders this comment moot. We would note that nothing in the
final rule overrides Certificates of Confidentiality, which protect
against the compelled disclosure of identifying information about
subjects of biomedical, behavioral, clinical, and other research as
provided by the Public Health Service Act section 301(d), 42 U.S.C.
241(d).
*Privacy protections for research information too stringent*
*Comment:* Many of the commenters who opposed the proposed definition of
research information unrelated to treatment and its related provisions
believed that the proposed rule would have required authorization before
research information unrelated to treatment could have been used or
disclosed for any of the public policy purposes outlined in proposed §
164.510, and that this restriction would have significantly hindered
many important activities. Many of these commenters specifically opposed
this provision, arguing that the distinction would undermine and impede
research by requiring patient authorization before research information
unrelated to treatment could be used or disclosed for research.
Furthermore, some commenters recommended that the disclosure of research
information should be governed by an informed consent agreement already
in place as part of a clinical protocol, or its disclosure should be
considered by an institutional review board or privacy board.
*Response:* Our decision to eliminate the definition of research
information unrelated to treatment and its related provisions in the
final rule renders the first two comments moot.
We disagree with the comment that suggests that existing provisions
under the Common Rule are sufficient to protect the privacy interests of
individuals who are subjects in research that involves the delivery of
treatment. As discussed in the NPRM, not all research is subject to the
Common Rule. In addition, we are not convinced that existing procedures
adequately inform individuals about how their information will be used
as part of the informed consent process. In the final rule, we provide
for additional disclosure to subjects of research that involves the
delivery of treatment as part of the research authorization under §
164.508(f). We also clarify that the research authorization could be
combined with the consent to participate in research, such as the
informed consent document as stipulated under the Common Rule or the
Food and Drug Administration's human subjects regulations. The Common
Rule (§\_\_.116(a)(5)) requires that "informed consent" include "a
statement describing the extent, if any, to which confidentiality of
records identifying the subject will be maintained." We believe that the
research authorization requirements of § 164.508(f) complement the
Common Rule's requirement for informed consent.
*The Secretary's Authority*
*Comment:* Several commenters, many from the research community,
asserted that the coverage of \"research information unrelated to
treatment\" was beyond the Department\'s legal authority since HIPAA did
not give the Secretary authority to regulate researchers. These
commenters argued that the research records held by researchers who are
performing clinical trials and who keep separate research records should
not be subject to the final rule. These commenters strongly disagreed
that a health provider-researcher cannot carry out two distinct
functions while performing research and providing clinical care to
research subjects and, thus, asserted that research information
unrelated to treatment that is kept separate from the medical record,
would not be covered by the privacy rule.
*Response:* We do not agree the Secretary lacks the authority to adopt
standards relating to research information, including research
information unrelated to treatment. HIPAA provides authority for the
Secretary to set standards for the use and disclosure of individually
identifiable health information created or received by covered entities.
For the reasons commenters identified for why it was not practical or
feasible to divide research information into two categories--research
information related to treatment and research information unrelated to
treatment--we also determined that for a single research study that
includes the treatment of research subjects, it is not practical or
feasible to divide a researcher into two categories--a researcher who
provides treatment and a researcher who does not provide treatment to
research subjects. When a researcher is interacting with research
subjects for a research study that involves the delivery of health care
to subjects, it is not always clear to either the researcher or the
research subject whether a particular research activity will generate
research information that will be pertinent to the health care of the
research subject. Therefore, we clarify that a researcher may also be a
health care provider if that researcher provides health care, e.g.,
provides treatment to subjects in a research study, and otherwise meets
the definition of a health care provider, regardless of whether there is
a component of the research study that is unrelated to the health care
of the research subjects. This researcher/health care provider is then a
covered entity with regard to her provider activities if she conducts
standard transactions.
***Valid Authorizations***
*Comment:* In proposed § 164.508(b)(1), we specified that an
authorization containing the applicable required elements "must be
accepted by the covered entity." A few comments requested clarification
of this requirement.
*Response:* We agree with the commenters that the proposed provision was
ambiguous and we remove it from the final rule. We note that nothing in
the rule requires covered entities to act on authorizations that they
receive, even if those authorizations are valid. A covered entity
presented with an authorization is permitted to make the disclosure
authorized, but is not required to do so.
We want to be clear, however, that covered entities will be in
compliance with this rule if they use or disclose protected health
information pursuant to an authorization that meets the requirements of
§ 164.508. We have made changes in § 164.508(b)(1) to clarify this
point. First, we specify that an authorization containing the applicable
required elements is a valid authorization. A covered entity may not
reject as invalid an authorization containing such elements. Second, we
clarify that a valid authorization may contain elements or information
in addition to the required elements, as long as the additional elements
are not inconsistent with the required elements.
*Comment:* A few comments requested that we provide a model
authorization or examples of wording meeting the "plain language"
requirement. One commenter requested changes to the language in the
model authorization to avoid confusion when used in conjunction with an
insurer's authorization form for application for life or disability
income insurance. Many other comments, however, found fault with the
proposed model authorization form.
*Response:* Because of the myriad of types of forms that could meet
these requirements and the desire to encourage covered entities to
develop forms that meet their specific needs, we do not include a model
authorization form in the final rule. We intend to issue additional
guidance about authorization forms prior to the compliance date. We also
encourage standard-setting organizations to develop model forms meeting
the requirements of this rule.
***Defective Authorizations***
*Comment:* Some commenters suggested we insert a "good-faith reliance"
or "substantial compliance" standard into the authorization
requirements. Commenters suggested that covered entities should be
permitted to rely on an authorization as long as the individual has
signed and dated the document. They stated that individuals may not fill
out portions of a form that they feel are irrelevant or for which they
do not have an answer. They argued that requiring covered entities to
follow up with each individual to complete the form will cause
unwarranted delays. In addition, commenters were concerned that large
covered entities might act in good faith on a completed authorization,
only to find out that a component of the entity "knew" some of the
information on the form to be false or that the authorization had been
revoked. These commenters did not feel that covered entities should be
held in violation of the rule in such situations.
*Response:* We retain the provision as proposed and include one
additional element: the authorization is invalid if it is combined with
other documents in violation of the standards for compound
authorizations. We also clarify that an authorization is invalid if
material information on the form is known to be false. The elements we
require to be included in the authorization are intended to ensure that
individuals knowingly and willingly authorize the use or disclosure of
protected health information about them. If these elements are missing
or incomplete, the covered entity cannot know which protected health
information to use or disclose to whom and cannot be confident that the
individual intends for the use or disclosure to occur.
We have attempted to make the standards for defective authorizations as
unambiguous as possible. In most cases, the covered entity will know
whether the authorization is defective by looking at the form itself.
Otherwise, the covered entity must know that the authorization has been
revoked, that material information on the form is false, or that the
expiration date or event has occurred. If the covered entity does not
know these things and the authorization is otherwise satisfactory on its
face, the covered entity is permitted to make the use or disclosure in
compliance with this rule.
We have added two provisions to make it easier for covered entities to
"know" when an authorization has been revoked. First, under §
164.508(b)(5), the revocation must be made in writing. Second, under §
164.508(c)(1)(v), authorizations must include instructions for how the
individual may revoke the authorization. Written revocations submitted
in the manner appropriate for the covered entity should ease covered
entities' compliance burden.
***Compound Authorizations***
*Comment:* Many commenters raised concerns about the specificity of the
authorization requirement. Some comments recommended that we permit
covered entities to include multiple uses and disclosures in a single
authorization and allow individuals to authorize or not authorize
specific uses and disclosures in the authorization. Other commenters
asked whether a single authorization is sufficient for multiple uses or
disclosures for the same purpose, for multiple uses and disclosures for
related purposes, and for uses and disclosures of different types of
information for the same purpose. Some comments from health care
providers noted that specific authorizations would aid their compliance
with requests.
*Response:* As a general rule, we prohibit covered entities from
combining an authorization for the use or disclosure of protected health
information with any other document. For example, an authorization may
not be combined with a consent to receive treatment or a consent to
assign payment of benefits to a provider. We intend the authorizations
required under this rule to be voluntary for individuals, and,
therefore, they need to be separate from other forms of consent that may
be a condition of treatment or payment or that may otherwise be coerced.
We do, however, permit covered entities to combine authorizations for
uses and disclosures for multiple purposes into a single authorization.
The only limitations are that an authorization for the use or disclosure
of psychotherapy notes may not be combined with an authorization for the
use or disclosure of other types of protected health information and
that an authorization that is a condition of treatment, payment,
enrollment, or eligibility may not be combined with any other
authorization.
In § 164.508(b)(3), we also permit covered entities to combine an
authorization for the use or disclosure of protected health information
created for purposes of research including treatment of individuals with
certain other documents.
We note that covered entities may only make uses or disclosures pursuant
to an authorization that are consistent with the terms of the
authorization. Therefore, if an individual agrees to one of the
disclosures described in the compound authorization but not another, the
covered entity must comply with the individual's decision. For example,
if a covered entity asks an individual to sign an authorization to
disclose protected health information for both marketing and fundraising
purposes, but the individual only agrees to the fundraising disclosure,
the covered entity is not permitted to make the marketing disclosure.
***Prohibition on Conditioning Treatment, Payment, Eligibility, or
Enrollment***
*Comment:* Many commenters supported the NPRM's prohibition of covered
entities from conditioning treatment or payment on the individual's
authorization of uses and disclosures. Some commenters requested
clarification that employment can be conditioned on an authorization.
Some commenters recommended that we eliminate the requirement for
covered entities to state on the authorization form that the
authorization is not a condition of treatment or payment. Some
commenters suggested that we prohibit the provision of anything of
value, including employment, from being conditioned on receipt of an
authorization.
In addition, many commenters argued that patients should not be coerced
into signing authorizations for a wide variety of purposes as a
condition of obtaining insurance coverage. Some health plans, however,
requested clarification that health plan enrollment and eligibility can
be conditioned on an authorization.
*Response:* We proposed to prohibit covered entities from conditioning
treatment, payment, or enrollment in a health plan on an authorization
for the use or disclosure of psychotherapy notes (see proposed §
164.508(a)(3)(iii)). We proposed to prohibit covered entities from
conditioning treatment or payment on authorization for the use or
disclosure of any other protected health information (see proposed §
164.508(a)(2)(iii)).
We resolve this inconsistency by clarifying in § 164.508(b)(4) that,
with certain exceptions, a covered entity may not condition the
provision of treatment, payment, enrollment in a health plan, or
eligibility for benefits on an authorization for the use or disclosure
of any protected health information, including psychotherapy notes. We
intend to minimize the potential for covered entities to coerce
individuals into signing authorizations for the use or disclosure of
protected health information when such information is not essential to
carrying out the relationship between the individual and the covered
entity.
Pursuant to that goal, we have created limited exceptions to the
prohibition. First, a covered health care provider may condition
research-related treatment of an individual on obtaining the
individual's authorization to use or disclose protected health
information created for the research. Second, except with respect to
psychotherapy notes, a health plan may condition the individual's
enrollment or eligibility in the health plan on obtaining an
authorization for the use or disclosure of protected health information
for making enrollment or eligibility determinations relating to the
individual or for its underwriting or risk rating determinations. Third,
a health plan may condition payment of a claim for specified benefits on
obtaining an authorization under § 164.508(e) for disclosure to the plan
of protected health information necessary to determine payment of the
claim. Fourth, a covered entity may condition the provision of health
care that is solely for the purpose of creating protected health
information for disclosure to a third party (such as fitness-for-duty
exams and physicals necessary to obtain life insurance coverage) on
obtaining an authorization for the disclosure of the protected health
information. We recognize that covered entities need protected health
information in order to carry out these functions and provide services
to the individual; therefore, we allow authorization for the disclosure
of the protected health information to be a condition of obtaining the
services.
We believe that we have prohibited covered entities from conditioning
the services they provide to individuals on obtaining an authorization
for uses and disclosures that are not essential to those services. Due
to our limited authority, however, we cannot entirely prevent
individuals from being coerced into signing these forms. We do not, for
example, have the authority to prohibit an employer from requiring its
employees to sign an authorization as a condition of employment.
Similarly, a program such as the Job Corps may make such an
authorization a condition of enrollment in the Job Corps program. While
the Job Corps may include a health care component, the non-covered
component of the Job Corps may require as a condition of enrollment that
the individual authorize the health care component to disclose protected
health information to the non-covered component. See § 164.504(b).
However, we note that other nondiscrimination laws may limit the ability
to condition these authorizations as well.
*Comment:* A Medicaid fraud control association stated that many states
require or permit state Medicaid agencies to obtain an authorization for
the use and disclosure of protected health information for payment
purposes as a condition of enrolling an individual as a Medicaid
recipient. The commenter, therefore, urged an exception to the
prohibition on conditioning enrollment on obtaining an authorization.
*Response:* As explained above, under § 164.506(a)(4), health plans and
other covered entities may seek the individual's consent for the covered
entity's use and disclosure of protected health information to carry out
treatment, payment, or health care operations. If the consent is sought
in conjunction with enrollment, the health plan may condition enrollment
in the plan on obtaining the individual's consent.
Under § 164.506(a)(5), we specify that a consent obtained by one covered
entity is not effective to permit another covered entity to use or
disclose protected health information for payment purposes. If state law
requires a Medicaid agency to obtain the individual's authorization for
providers to disclose protected health information to the Medicaid
agency for payment purposes, the agency may do so under § 164.508(e).
This authorization must not be a condition of enrollment or eligibility,
but may be a condition of payment of a claim for specified benefits if
the disclosure is necessary to determine payment of the claim.
***Revocation of Authorizations***
*Comment:* Many commenters supported the right to revoke an
authorization. Some comments, however, suggested that we require
authorizations to remain valid for a minimum period of time, such as one
year or the duration of the individual's enrollment in a health plan.
*Response:* We retain the right for individuals to revoke an
authorization at any time, with certain exceptions. We believe this
right is essential to ensuring that the authorization is voluntary. If
an individual determines that an authorized use or disclosure is no
longer in her best interest, she should be able to withdraw the
authorization and prevent any further uses or disclosures.
*Comment:* Several commenters suggested that we not permit individuals
to revoke an authorization if the revocation would prevent an
investigation of material misrepresentation or fraud. Other commenters
similarly suggested that we not permit individuals to revoke an
authorization prior to a claim for benefits if the insurance was issued
in reliance on the authorization.
*Response:* To address this concern, we include an additional exception
to the right to revoke an authorization. Individuals do not have the
right to revoke an authorization that was obtained as a condition of
insurance coverage during any contestability period under other law. For
example, if a life insurer obtains the individual's authorization for
the use or disclosure of protected health information to determine
eligibility or premiums under the policy, the individual does not have
the right to revoke the authorization during any period of time in which
the life insurer can contest a claim for benefits under the policy in
accordance with state law. If an individual were able to revoke the
authorization after enrollment but prior to making a claim, the insurer
would be forced to pay claims without having the necessary information
to determine whether the benefit is due. We believe the existing
exception for covered entities that have acted in reliance on the
authorization is insufficient to address this concern because it is
another person, not the covered entity, that has acted in reliance on
the authorization. In the life insurance example, it is the life insurer
that has taken action (i.e., issued the policy) in reliance on the
authorization. The life insurer is not a covered entity, therefore the
covered entity exception is inapplicable.
*Comment:* Some comments suggested that a covered entity that had
compiled, but not yet disclosed, protected health information would have
already taken action in reliance on the authorization and could
therefore disclose the information even if the individual revoked the
authorization.
*Response:* We intend for covered entities to refrain from further using
or disclosing protected health information to the maximum extent
possible once an authorization is revoked. The exception exists only to
the extent the covered entity has taken action in reliance on the
authorization. If the covered entity has not yet used or disclosed the
protected health information, it must refrain from doing so, pursuant to
the revocation. If, however, the covered entity has already disclosed
the information, it is not required to retrieve the information.
*Comment:* One comment suggested that the rule allow protected health
information to be only rented, not sold, because there can be no right
to revoke authorization for disclosure of protected health information
that has been sold.
*Response:* We believe this limitation would be an unwarranted
abrogation of covered entities' business practices and outside the scope
of our authority. We believe individuals should have the right to
authorize any uses or disclosures they feel are appropriate. We have
attempted to create authorization requirements that make the
individual's decisions as clear and voluntary as possible.
*Comment:* One commenter expressed concern as to whether the proposed
rule's standard to protect the protected health information about a
deceased individual for two years would interfere with the payment of
death benefit claims. The commenter asked that the regulation permit the
beneficiary or payee under a life insurance policy to authorize
disclosure of protected health information pertaining to the cause of
death of a decedent or policyholder. Specifically, the commenter
explained that when substantiating a claim a beneficiary, such as a
fiancee or friend, may be unable to obtain the authorization required to
release information to the insurer, particularly if, for example, the
decedent's estate does not require probate or if the beneficiary is not
on good terms with the decedent's next of kin. Further, the commenter
stated that particularly in cases where the policyholder dies within two
years of the policy's issuance (within the policy's contestable period)
and the cause of death is uncertain, the insurer's inability to access
relevant protected health information would significantly interfere with
claim payments and increase administrative costs.
*Response:* We do not believe this will be a problem under the final
regulation, because we create an exception to the right to revoke an
authorization if the authorization was obtained as a condition of
obtaining insurance coverage and other applicable law provides the
insurer that obtained the authorization with the right to contest a
claim under the policy. Thus, if a policyholder dies within the two year
contestability period, the authorization the insurer obtained from the
policyholder prior to death could not be revoked during the
contestability period.
***Core Elements and Requirements***
*Comment:* Many commenters raised concerns about the required elements
for a valid authorization. They argued that the requirements were overly
burdensome and that covered entities should have greater flexibility to
craft authorizations that meet their business needs. Other commenters
supported the required elements as proposed because the elements help to
ensure that individuals make meaningful, informed choices about the use
and disclosure of protected health information about them.
*Response:* As in the proposed rule, we define specific elements that
must be included in any authorization. We draw on established laws and
guidelines for these requirements. For example, the July 1977 Report of
the Privacy Protection Study Commission recommended that authorizations
obtained by insurance institutions include plain language, the date of
authorization, and identification of the entities authorized to disclose
information, the nature of the information to be disclosed, the entities
authorized to receive information, the purpose(s) for which the
information may be used by the recipients, and an expiration date.[^13]
The Commission made similar recommendations concerning the content of
authorizations obtained by health care providers.[^14] The National
Association of Insurance Commissioners' Health Information Privacy Model
Act requires authorizations to be in writing and include a description
of the types of protected health information to be used or disclosed,
the name and address of the person to whom the information is to be
disclosed, the purpose of the authorization, the signature of the
individual or the individual's representative, and a statement that the
individual may revoke the authorization at any time, subject to the
rights of any person that acted in reliance on the authorization prior
to revocation and provided the revocation is in writing, dated, and
signed. Standards of the American Society for Testing and Materials
recommend that authorizations identify the subject of the protected
health information to be disclosed; the name of the person or
institution that is to release the information; the name of each
individual or institution that is to receive the information; the
purpose or need for the information; the information to be disclosed;
the specific date, event, or condition upon which the authorization will
expire, unless revoked earlier; and the signature and date signed. They
also recommend the authorization include a statement that the
authorization can be revoked or amended, but not retroactive to a
release made in reliance on the authorization.[^15]
*Comment:* Some commenters requested clarification that authorizations
"initiated by the individual" include authorizations initiated by the
individual's representative.
*Response:* In the final rule, we do not classify authorizations as
those initiated by the individual versus those initiated by a covered
entity. Instead, we establish a core set of elements and requirements
that apply to all authorizations and require certain additional elements
for particular types of authorizations initiated by covered entities.
*Comment:* Some commenters urged us to permit authorizations that
designate a class of entities, rather than specifically named entities,
that are authorized to use or disclose protected health information.
Commenters made similar recommendations with respect to the authorized
recipients. Commenters suggested these changes to prevent covered
entities from having to seek, and individuals from having to sign,
multiple authorizations for the same purpose.
*Response:* We agree. Under § 164.508(c)(1), we require authorizations
to identify both the person(s) authorized to use or disclose the
protected health information and the person(s) authorized to receive
protected health information. In both cases, we permit the authorization
to identify either a specific person a class of persons.
*Comment:* Many commenters requested clarification that covered entities
may rely on electronic authorizations, including electronic signatures.
*Response:* All authorizations must be in writing and signed. We intend
e-mail and electronic documents to qualify as written documents.
Electronic signatures are sufficient, provided they meet standards to be
adopted under HIPAA. In addition, we do not intend to interfere with the
application of the Electronic Signature in Global and National Commerce
Act.
*Comment:* Some commenters requested that we permit covered entities to
use and disclose protected health information pursuant to verbal
authorizations.
*Response:* To ensure compliance and mutual understanding between
covered entities and individuals, we require all authorizations to be in
writing.
*Comment:* Some commenters asked whether covered entities can rely on
copies of authorizations rather than the original. Other comments asked
whether covered entities can rely on the assurances of a third party,
such as a government entity, that a valid authorization has been
obtained to use or disclose protected health information. These
commenters suggested that such procedures would promote the timely
provision of benefits for programs that require the collection of
protected health information from multiple sources, such as
determinations of eligibility for disability benefits.
*Response:* Covered entities must obtain the individual's authorization
to use or disclose protected health information for any purpose not
otherwise permitted or required under this rule. They may obtain this
authorization directly from the individual or from a third party, such
as a government agency, on the individual's behalf. In accordance with
the requirements of § 164.530(j), the covered entity must retain a
written record of authorization forms signed by the individual. Covered
entities must, therefore, obtain the authorization in writing. They may
not rely on assurances from others that a proper authorization exists.
They may, however, rely on copies of authorizations if doing so is
consistent with other law.
*Comment:* We requested comments on reasonable steps that a covered
entity could take to be assured that the individual who requests the
disclosure is whom she or he purports to be. Some commenters stated that
it would be extremely difficult to verify the identity of the person
signing the authorization, particularly when the authorization is not
obtained in person. Other comments recommended requiring authorizations
to be notarized.
*Response:* To reduce burden on covered entities, we are not requiring
verification of the identities of individuals signing authorization
forms or notarization of the forms.
*Comment:* A few commenters asked for clarification regarding the
circumstances in which a covered entity may consider a non-response as
an authorization.
*Response:* Non-responses to requests for authorizations cannot be
considered authorizations. Authorizations must be signed and have the
other elements of a valid authorization described above.
*Comment:* Most commenters generally supported the requirement for an
expiration date on the authorization. Commenters recommended expiration
dates from 6 months to 3 years and/or proposed that the expiration be
tied to an event such as duration of enrollment or when an individual
changes health plans. Others requested no expiration requirement for
some or all authorizations.
*Response:* We have clarified that an authorization may include an
expiration date in the form of a specific date, a specific time period,
or an event directly related to the individual or the purpose of the
authorization. For example, a valid authorization could expire upon the
individual's disenrollment from a health plan or upon termination of a
research project. We prohibit an authorization from having an
indeterminate expiration date.
These changes were intended to address situations in which a specific
date for the termination of the purpose for the authorization is
difficult to determine. An example may be a research study where it may
be difficult to predetermine the length of the project.
*Comment:* A few commenters requested that the named insured be
permitted to sign an authorization on behalf of dependents.
*Response:* We disagree with the commenter that a named insured should
always be able to authorize uses and disclosures for other individuals
in the family. Many dependents under group health plans have their own
rights under this rule, and we do not assume that one member of a family
has the authority to authorize uses or disclosures of the protected
health information of other family members.
A named insured may sign a valid authorization for an individual if the
named insured is a personal representative for the individual in
accordance with § 164.502(g). The determination of whether an individual
is a personal representative under this rule is based on other
applicable law that determines when a person can act on behalf of an
individual in making decisions related to health care. This rule limits
a person's rights and authorities as a personal representative to only
the protected health information relevant to the matter for which he or
she is a personal representative under other law. For example, a parent
may be a personal representative of a child for most health care
treatment and payment decisions under state law. In that case, a parent,
who is a named insured for her minor child, would be able to provide
authorization with respect to most protected health information about
her dependent child. However, a wife who is the named insured for her
husband who is a dependent under a health insurance policy may not be a
personal representative for her husband under other law or may be a
personal representative only for limited purposes, such as for making
decisions regarding payment of disputed claims. In this case, she may
have limited authority to access protected health information related to
the payment of disputed claims, but would not have the authority to
authorize that her husband's information be used for marketing purposes,
absent any other authority to act for her husband. See § 164.502(g) for
more information regarding personal representatives.
*Comment:* One commenter suggested that authorizations should be dated
on the day they are signed.
*Response:* We agree and have retained this requirement in the final
rule.
***Additional Elements and Requirements for Authorizations Requested by
the Covered Entity for Its Own Uses and Disclosures***
*Comment:* Some commenters suggested that we should not require
different elements in authorizations initiated by the covered entity
versus authorizations initiated by the individual. The commenters argued
the standards were unnecessary, confusing, and burdensome.
*Response:* The proposed authorization requirements are intended to
ensure that an individual's authorization is truly voluntary. The
additional elements required for authorizations initiated by the covered
entity for its own uses and disclosures or for receipt of protected
health information from other covered entities to carry out treatment,
payment, or health care operations address concerns that are unique to
these forms of authorization. (See above regarding requirements for
research authorizations under § 164.508(f).)
First, when applicable, these authorizations must state that the covered
entity will not condition treatment, payment, eligibility, or enrollment
on the individual's providing authorization for the requested use or
disclosure. This statement is not appropriate for authorizations
initiated by the individual or another person who does not have the
ability to withhold services if the individual does not authorize the
use or disclosure.
Second, the authorization must state that the individual may refuse to
sign the authorization. This statement is intended to signal to the
individual that the authorization is voluntary and may not be accurate
if the authorization is obtained by a person other than a covered
entity.
Third, these authorizations must describe the purpose of the use or
disclosure. We do not include this element in the core requirements
because we understand there may be times when the individual does not
want the covered entity maintaining the protected health information to
know the purpose for the use or disclosure. For example, an individual
contemplating litigation may not want the covered entity to know that
litigation is the purpose of the disclosure. If the covered entity is
initiating the authorization for its own use or disclosure, however, the
individual and the covered entity maintaining the protected health
information should have a mutual understanding of the purpose of the use
or disclosure. Similarly, when a covered entity is requesting
authorization for a disclosure by another covered entity that may have
already obtained the individual's consent for the disclosure, the
individual and covered entity that maintains the protected health
information should be aware of this potential conflict.
There are two additional requirements for authorizations requested by a
covered entity for its own use or disclosure of protected health
information it maintains. First, we require the covered entity to
describe the individual's right to inspect or copy the protected health
information to be used or disclosed. Individuals may want to review the
information to be used or disclosed before signing the authorization and
should be reminded of their ability to do so. This requirement is not
appropriate for authorizations for a covered entity to receive protected
health information from another covered entity, however, because the
covered entity requesting the authorization is not the covered entity
that maintains the protected health information and cannot, therefore,
grant or describe the individual's right to access the information.
If applicable, we also require a covered entity that requests an
authorization for its own use or disclosure to state that the use or
disclosure of the protected health information will result in direct or
indirect remuneration to the entity. Individuals should be aware of any
conflicts of interest or financial incentives on the part of the covered
entity requesting the use or disclosure. These statements are not
appropriate, however, in relation to uses and disclosures to carry out
treatment, payment, and health care operations. Uses and disclosures for
these purposes will often involve remuneration by the nature of the use
or disclosure, not due to any conflict of interest on the part of either
covered entity.
We note that authorizations requested by a covered entity include
authorizations requested by the covered entity's business associate on
the covered entity's behalf. Authorizations requested by a business
associate on the covered entity's behalf and that authorize the use or
disclosure of protected health information by the covered entity or the
business associate must meet the requirements in § 164.508(d).
Similarly, authorizations requested by a business associate on behalf of
a covered entity to accomplish the disclosure of protected health
information to that business associate or covered entity as described in
§ 164.508(e) must meet the requirements of that provision.
We disagree that these elements are unnecessary, confusing, or
burdensome. We require them to ensure that the individual has a complete
understanding of what he or she is agreeing to permit.
*Comment:* Many commenters suggested we include in the regulation text a
provision stated in the preamble that entities and their business
partners must limit their uses and disclosures to the purpose(s)
specified by the individual in the authorization.
*Response*: We agree. In accordance with § 164.508(a)(1), covered
entities may only use or disclose protected health information
consistent with the authorization. In accordance with § 164.504(e)(2), a
business associate may not make any uses or disclosures that the covered
entity couldn't make.
*Comment:* Some comments suggested that authorizations should identify
the source and amount of financial gain, if any, resulting from the
proposed disclosure. Others suggested that the proposed financial gain
requirements were too burdensome and would decrease trust between
patients and providers. Commenters recommended that the requirement
either should be eliminated or should only require covered entities,
when applicable, to state that direct and foreseeable financial gain to
the covered entity will result. Others requested clarification of how
the requirement for covered entities to disclose financial gain relates
to the criminal penalties that accrue for offenses committed with intent
to sell, transfer, or use individually identifiable health information
for commercial advantage, personal gain, or malicious harm. Some
commenters advocated use of the term "financial compensation" rather
than "financial gain" to avoid confusion with in-kind compensation
rules. Some comments additionally suggested excluding marketing uses and
disclosures from the requirements regarding financial gain.
*Response:* We agree that clarification is warranted. In §
164.508(d)(1)(iv) of the final rule, we require a covered entity that
asks an individual to sign an authorization for the covered entity's use
or disclosure of protected health information and that will receive
direct or indirect remuneration from a third party for the use or
disclosure, to state that fact in the authorization. Remuneration from a
third party includes payments such as a fixed price per disclosure,
compensation for the costs of compiling and sending the information to
be disclosed, and, with respect to marketing communications, a
percentage of any sales generated by the marketing communication. For
example, a device manufacturer may offer to pay a fixed price per name
and address of individuals with a particular diagnosis, so that the
device manufacturer can market its new device to people with the
diagnosis. The device manufacturer may also offer the covered entity a
percentage of the profits from any sales generated by the marketing
materials sent. If a covered entity seeks an authorization to make such
a disclosure, the authorization must state that the remuneration will
occur. We believe individuals should have the opportunity to weigh the
covered entity's potential conflict of interest when deciding to
authorize the covered entity's use or disclosure of protected health
information. We believe that the term "remuneration from a third party"
clarifies our intent to describe a direct, tangible exchange, rather
than the mere fact that parties intend to profit from their enterprises.
*Comment:* One commenter suggested we require covered entities to
request authorizations in a manner that does not in itself disclose
sensitive information.
*Response:* We agree that covered entities should make reasonable
efforts to avoid unintentional disclosures. In § 164.530(c)(2), we
require covered entities to have in place appropriate administrative,
technical, and physical safeguards to protect the privacy of protected
health information.
*Comment:* Some commenters requested clarification that covered entities
are permitted to seek authorization at the time of enrollment or when
individuals otherwise first interact with covered entities. Similarly,
commenters requested clarification that covered entities may disclose
protected health information created after the date the authorization
was signed but prior to the expiration date of the authorization. These
commenters were concerned that otherwise multiple authorizations would
be required to accomplish a single purpose. Other comments suggested
that we prohibit prospective authorizations (i.e., authorizations
requested prior to the creation of the protected health information to
be disclosed under the authorization) because it is not possible for
individuals to make informed decisions about these authorizations.
*Response:* We confirm that covered entities may act on authorizations
signed in advance of the creation of the protected health information to
be released. We note, however, that all of the required elements must be
completed, including a description of the protected health information
to be used or disclosed pursuant to the authorization. This description
must identify the information in a specific and meaningful fashion so
that the individual can make an informed decision as to whether to sign
the authorization.
*Comment:* Some commenters suggested that the final rule prohibit
financial incentives, such as premium discounts, designed to encourage
individuals to sign authorizations.
*Response:* We do not prohibit or require financial incentives for
authorizations. We have attempted to ensure that authorizations are
entered into voluntary. If a covered entity chooses to offer a financial
incentive for the individual to sign the authorization, and the
individual chooses to accept it, they are free to do so.
**SECTION 164.510---USES AND DISCLOSURES REQUIRING AN OPPORTUNITY FOR
THE INDIVIDUAL TO AGREE OR TO OBJECT**
**Section 164.510(a)---Use and Disclosure for Facility Directories**
*Comment:* Many hospital organizations opposed the NPRM's proposed
opt-in approach to disclosure of directory information. These groups
noted the preamble's statement that most patients welcomed the
convenience of having their name, location, and general condition
included in the patient directory. They said that requiring hospitals to
obtain authorization before including patient information in the
directory would cause harm to many patients' needs in an effort to serve
the needs of the small number of patients who may not want their
information to be included. Specifically, they argued that the proposed
approach ultimately could have the effect of making it difficult or
impossible for clergy, family members, and florists to locate patients
for legitimate purposes. In making this argument, commenters pointed to
problems that occurred after enactment of privacy legislation in the
State of Maine in 1999. The legislation, which never was officially
implemented, was interpreted by hospitals to prohibit disclosure of
patient information to directories without written consent. As a result,
when hospitals began complying with the law based on their
interpretation, family members and clergy had difficulty locating
patients in the hospital.
*Response:* We share commenters' concern about the need to ensure that
family members and clergy who have a legitimate need to locate patients
are not prevented from doing so by excessively stringent restrictions on
disclosure of protected health information to health care facilities'
directories. Accordingly, the final rule takes an opt-out approach,
stating that health care institutions may include the name, general
condition, religious affiliation, and location of a patient within the
facility in the facility's directory unless the patient explicitly
objects to the use or disclosure of protected health information for
directory purposes. To ensure that this opt-out can be exercised, the
final rule requires facilities to notify individuals of their right not
to be included in the directory and to give them the opportunity to opt
out. The final rule indicates that the notice and opt-out may be oral.
The final rule that allows health care facilities to disclose to clergy
the four types of protected health information specified above without
requiring the clergy to ask for the individual by name will allow the
clergy to identify the members of his or her faith who are in the
facility, thus ensuring that this rule will not significantly interfere
with the exercise of religion, including the clergy\'s traditional
religious mission to provide services to individuals.
*Comment:* A small number of commenters recommended requiring written
authorization for all disclosures of protected health information for
directory purposes. These commenters believed that the NPRM's proposed
provision allowing oral agreement would not provide sufficient privacy
protection; that it did not sufficiently hold providers accountable for
complying with patient wishes; and that it could create liability issues
for providers.
*Response*: The final rule does not require written authorization for
disclosure of protected health information for directory purposes. We
believe that requiring written authorization in these cases would
increase substantially the administrative burdens and costs for covered
health care providers and could lead to significant inconvenience for
families and others attempting to locate individuals in health care
institutions. Experience from the State of Maine suggests that requiring
written authorization before patient information may be included in
facility directories can be disruptive for providers, families, clergy,
and others.
*Comment:* Domestic violence organizations raised concerns that
including information about domestic violence victims in health care
facilities' directories could result in further harm to victims. The
NPRM addressed the issue of potential danger to patients by stating that
when patients were incapacitated, covered health care providers could
exercise discretion -- consistent with good medical practice and prior
expression of patient preference -- regarding whether to disclose
protected health information for directory purposes. Several commenters
recommended prohibiting providers from including information in a health
care facility's directory about incapacitated individuals when the
provider reasonably believed that the injuries to the individual could
have been caused by domestic violence. These groups believed that such a
prohibition was necessary to prevent abusers from locating and causing
further harm to domestic violence patients.
*Response:* We share commenters' concerns about protecting victims of
domestic violence from further abuse. We are also concerned, however,
that imposing an affirmative duty on institutions not to disclose
information any time injuries to the individual *could have been* the
result of domestic violence would place too high a burden on health care
facilities, essentially requiring them to rule out domestic violence as
a potential cause of the injuries before disclosing to family members
that an incapacitated person is in the institution.
We do believe, however, that it is appropriate to require covered health
care providers to consider whether including the individual's name and
location in the directory could lead to serious harm. As in the preamble
to the NPRM, in the preamble to the final rule, we encourage covered
health care providers to consider several factors when deciding whether
to include an incapacitated patient's information in a health care
facility's directory. One of these factors is whether disclosing an
individual's presence in the facility could reasonably cause harm or
danger to the individual (for example, if it appeared that an
unconscious patient had been abused and disclosing that the individual
is in the facility could give the attacker sufficient information to
seek out the person and repeat the abuse). Under the final rule, when
the opportunity to object to uses and disclosures for a facility's
directory cannot practicably be provided due to an individual's
incapacity or an emergency treatment circumstance, covered health care
providers may use or disclose some or all of the protected health
information that the rule allows to be included in the directory, if the
disclosure is: (1) consistent with the individual's prior expressed
preference, if known to the covered health care provider; and (2) in the
individual's best interest, as determined by the covered health care
provider in the exercise of professional judgement. The rule allows
covered health care providers making decisions about incapacitated
patients to include some portions of the patient's information (such as
name) but not other information (such as location in the facility) to
protect patient interests.
**Section 164.510(b)---Uses and Disclosures for Involvement in the
Individual's Care and Notification Purposes**
*Comment:* A number of comments supported the NPRM's proposed approach,
which would have allowed covered entities to disclose protected health
information to the individual's next of kin, family members, or other
close personal friends when the individual verbally agreed to the
disclosure. These commenters agreed that the presumption should favor
disclosures to the next of kin, and they believed that health care
providers should encourage individuals to share genetic information and
information about transmittable diseases with family members at risk.
Others agreed with the general approach but suggested the individual's
agreement be noted in the medical record. These commenters also
supported the NPRM's proposed reliance on good professional practices
and ethics to determine when disclosures should be made to the next of
kin when the individual's agreement could not practicably be obtained.
A few commenters recommended that the individual's agreement be in
writing for the protection of the covered entity and to facilitate the
monitoring of compliance with the individual's wishes. These commenters
were concerned that, absent the individual's written agreement, the
covered entity would become embroiled in intra-family disputes
concerning the disclosures. Others argued that the individual's
authorization should be obtained for all disclosures, even to the next
of kin.
One commenter favored disclosures to family members and others unless
the individual actively objected, as long as the disclosure was
consistent with sound professional practice. Others believed that no
agreement by the individual was necessary unless sensitive medical
information would be disclosed or unless the health care provider was
aware of the individual's prior objection. These commenters recommended
that good professional practice and ethics determine when disclosures
were appropriate and that disclosure should relate only to the
individual's current treatment. A health care provider organization said
that the ethical and legal obligations of the medical professional alone
should control in this area, although it believed the proposed rule was
generally consistent with these obligations.
*Response:* The diversity of comments regarding the proposal on
disclosures to family members, next of kin, and other persons, reflects
a wide range of current practice and individual expectations. We believe
that the NPRM struck the proper balance between the competing interests
of individual privacy and the need that covered health care providers
may have, in some cases, to have routine, informal conversations with an
individual's family and friends regarding the individual's treatment.
We do not agree with the comments stating that all such disclosures
should be made only with consent or with the individual's written
authorization. The rule does not prohibit obtaining the agreement of the
individual in writing; however, we believe that imposing a requirement
for consent or written authorization in all cases for disclosures to
individuals involved in a person's care would be unduly burdensome for
all parties. In the final rule, we clarify the circumstances in which
such disclosures are permissible. The rule allows covered entities to
disclose to family members, other relatives, close personal friends of
the individual, or any other person identified by the individual, the
protected health information directly relevant to such person's
involvement with the individual's care or payment related to the
individual's health care. In addition, the final rule allows covered
entities to use or disclose protected health information to notify, or
assist in the notification of (including identifying or locating) a
family member, a personal representative of the individual, or another
person responsible for the care of the individual, of the individual's
location, general condition, or death. 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 can 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 the individual's care; (2) provides the individual
with the opportunity to object to the disclosure, and the individual
does not express an objection; or (3) reasonably infers from the
circumstances, based on the exercise of professional judgement, that the
individual does not object to the disclosure. The final rule continues
to permit disclosures in circumstances when the individual is not
present 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. In such instances, covered
entities may, in the exercise of professional judgement, 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.
As discussed in the preamble for this section, we do not intend to
disrupt most covered entities' current practices with respect to
informing family members and others with whom a patient has a close
personal relationship about a patient's specific health condition when a
patient is incapacitated due to a medical emergency and the family
member or close personal friend comes to the covered entity to ask about
the patient's condition. To the extent that disclosures to family
members and others in these situations currently are allowed under state
law and covered entities' own rules, § 164.510(b) allows covered
entities to continue making them in these situations, consistent with
the exercise of professional judgement as to the patient's best
interest. As indicated in the preamble above, 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.
*Comments*: A few comments supported the NPRM approach because it
permitted the current practice of allowing someone other than the
patient to pick up prescriptions at pharmacies. One commenter noted that
this practice occurs with respect to 25-40% of the prescriptions
dispensed by community retail pharmacies. These commenters strongly
supported the proposal's reliance on the professional judgement of
pharmacists in allowing others to pick up prescriptions for bedridden or
otherwise incapacitated patients, noting that in most cases it would be
impracticable to verify that the person was acting with the individual's
permission. Two commenters requested that the rule specifically allow
this practice. One comment opposed the practice of giving prescriptions
to another person without the individual's authorization, because a
prescription implicitly could disclose medical information about the
individual.
*Response*: As stated in the NPRM, we intended for this provision to
authorize pharmacies to dispense prescriptions to family or friends who
are sent by the individual to the pharmacy to pick up the prescription.
We believe that stringent consent or verification requirements would
place an unreasonable burden on numerous transactions. In addition, such
requirements would be contrary to the expectations and preferences of
all parties to these transactions. Although prescriptions are protected
health information under the rule, we believe that the risk to
individual privacy in allowing this practice to continue is minimal. We
agree with the suggestion that the final rule should state explicitly
that pharmacies have the authority to operate in this manner. Therefore,
we have added a sentence to § 164.510(b)(3) allowing covered entities to
use professional judgement and experience with common practice to make
reasonable inferences of an individual's best interest in allowing a
person to act on the individual's behalf to pick up filled
prescriptions, medical supplies, X-rays, or other similar forms of
protected health information. In such situations, as when making
disclosures of protected health information about an individual who is
not present or is unable to agree to such disclosures, covered entities
should disclose only information which directly relates to the person's
involvement in the individual's current health care. Thus, when
dispensing a prescription to a friend who is picking it up on the
patient's behalf, the pharmacist should not disclose unrelated health
information about medications that the patient has taken in the past
which could prove embarrassing to the patient.
*Comment:* We received a few comments that misunderstood the provision
as addressing disclosures related to deceased individuals.
*Response:* We understand that use of the term next of kin in this
section may cause confusion. To promote clarity in the final rule, we
eliminate the term "next of kin," as well as the term's proposed
definition. In the final rule, we address comments on next of kin and
the deceased in the section on disclosure of protected health
information about deceased individuals in § 164.512(g).
*Comments*: A number of commenters expressed concern for the interaction
of the proposed section with state laws. Some of these comments
interpreted the NPRM's use of the term next of kin as referring to
individuals with health care power of attorney and thus they believed
that the proposed rule's approach to next of kin was inappropriately
informal and in conflict with state law. Others noted that some state
laws did not allow health care information to be disclosed to family or
friends without consent or other authorization. One commenter said that
case law may be evolving toward imposing a more affirmative duty on
health care practitioners to inform next of kin in a variety of
circumstances. One commenter noted that state laws may not define
clearly who is considered to be the next of kin.
*Response*: The intent of this provision was not to interfere with or
change current practice regarding health care powers of attorney or the
designation of other personal representatives. Such designations are
formal, legal actions which give others the ability to exercise the
rights of or make treatment decisions related to individuals. While
persons with health care powers of attorney could have access to
protected health information under the personal representatives
provision (§ 164.502(g)), and covered entities may disclose to such
persons under this provision, such disclosures do not give these
individuals substantive authority to act for or on behalf of the
individual with respect to health care decisions. State law requirements
regarding health care powers of attorney continue to apply.
The comments suggesting that state laws may not allow the disclosures
otherwise permitted by this provision or, conversely, that they may
impose a more affirmative duty, did not provide any specifics with which
to judge the affect of such laws. In general, however, state laws that
are more protective of an individual's privacy interests than the rule
by prohibiting a disclosure of protected health information continue to
apply. The rule's provisions regarding disclosure of protected health
information to family or friends of the individual are permissive only,
enabling covered entities to abide by more stringent state laws without
violating our rules. Furthermore, if the state law creates an
affirmative and binding legal obligation on the covered entity to make
disclosures to family or other persons under specific circumstances, the
final rule allows covered entities to comply with these legal
obligations. See § 164.512(a).
*Comments*: A number of commenters supported the proposal to limit
disclosures to family or friends to the protected health information
that is directly relevant to that person's involvement in the
individual's health care. Some comments suggested that this standard
apply to all disclosures to family or friends, even when the individual
has agreed to or not objected to the disclosure. One commenter objected
to the proposal, stating that it would be too difficult to administer.
According to this comment, it is accepted practice for health care
providers to communicate with family and friends about an individual's
condition, regardless of whether the person is responsible for or
otherwise involved in the individual's care.
Other comments expressed concern for disclosures related to particular
types of information. For example, two commenters recommended that
psychotherapy notes not be disclosed without patient authorization. One
commenter suggested that certain sensitive medical information
associated with social stigma not be disclosed to family members or
others without patient consent.
*Response*: We agree with commenters who advocated limiting permissible
disclosures to relatives and close personal friends to information
consistent with a person's involvement in the individual's care. Under
the final rule, we clarify the NPRM provision to state that covered
entities may disclose protected health information to family members,
relatives, or close personal friends of an individual or any other
person identified by the individual, to the extent that the information
directly relates to the person's involvement in the individual's current
health care. It is not intended to allow disclosure of past medical
history that is not relevant to the individual's current condition. In
addition, as discussed above, we do not intend to disrupt covered
entities' current practices with respect to disclosing specific
information about a patient's condition to family members or others when
the individual is incapacitated due to a medical emergency and the
family member or other individual comes to the covered entity seeking
specific information about the patient's condition. For example, this
section allows a hospital to disclose to a family member the fact that a
patient had a heart attack, and to provide updated information to the
family member about the patient's progress and prognosis during his or
her period of incapacity.
We agree with the recommendation to require written authorization for a
disclosure of psychotherapy notes to family, close personal friends, or
others involved in the individual's care. As discussed below, the final
rule allows disclosure of psychotherapy notes without authorization in a
few limited circumstances; disclosure to individuals involved in a
person's care is not among those circumstances. See § 164.508 for a
further discussion of the final rule's provisions regarding disclosure
of psychotherapy notes.
We do not agree, however, with the suggestion to treat some medical
information as more sensitive than others. In most cases, individuals
will have the opportunity to prohibit or limit such disclosures. For
situations in which an individual is unable to do so, covered entities
may, in the exercise of professional judgement, 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.
*Comment*: One commenter suggested that this provision should allow
disclosure of protected health information to the clergy and to the Red
Cross. The commenter noted that clergy have ethical obligations to
ensure confidentiality and that the Red Cross often notifies the next of
kin regarding an individual's condition in certain circumstances.
Another commenter recommended allowing disclosures to law enforcement
for the purpose of contacting the next of kin of individuals who have
been injured or killed. One commenter sought clarification that "close
personal friend" was intended to include domestic partners and same-sex
couples in committed relationships.
*Response:* As discussed above, § 164.510(a) allows covered health care
providers to disclose to clergy protected health information from a
health care facility's directory. Under § 164.510(b), an individual may
identify any person, including clergy, as involved in his or her care.
This approach provides more flexibility than the proposed rule would
have provided.
As discussed in the preamble of the final rule, this provision allows
disclosures to domestic partners and others in same-sex relationships
when such individuals are involved in an individual's care or are the
point of contact for notification in a disaster. We do not intend to
change current practices with respect to involvement of others in an
individual's treatment decisions; informal information-sharing among
persons involved; or the sharing of protected health information during
a disaster. As noted above, a power of attorney or other legal
relationship to an individual is not necessary for these informal
discussions about the individual for the purpose of assisting in or
providing a service related to the individual's care.
We agree with the comments noting that the Red Cross and other
organizations may play an important role in locating and communicating
with the family about individuals injured or killed in an accident or
disaster situation. Therefore, the final rule includes new language, in
§ 164.510(b)(4), which allows covered entities to use or disclose
protected health information to a public or private entity authorized by
law or its charter to assist in disaster relief efforts, for the purpose
of coordinating with such entities to notify, or assist in the
notification of (including identifying or locating) a family member, an
individual's personal representative, or another person responsible for
the individual's care regarding the individual's location, general
condition, or death. The Red Cross is an example of a private entity
that may obtain protected health information pursuant to these
provisions. We recognize the role of the Red Cross and similar
organizations in disaster relief efforts, and we encourage cooperation
with these entities in notification efforts and other means of
assistance.
*Comment*: One commenter recommended stating that individuals who are
mentally retarded and unable to agree to disclosures under this
provision do not, thereby, lose their access to further medical
treatment. This commenter also proposed stating that mentally retarded
individuals who are able to provide agreement have the right to control
the disclosure of their protected health information. The commenter
expressed concern that the parent, relative, or other person acting *in
loco parentis* may not have the individual's best interest in mind in
seeking or authorizing for the individual the disclosure of protected
health information.
*Response*: The final rule regulates only uses and disclosures of
protected health information, not the delivery of health care. Under the
final rule's section on personal representatives (§ 164.502(g)), a
person with authority to make decisions about the health care of an
individual, under applicable law, may make decisions about the protected
health information of that individual, to the extent that the protected
health information is relevant to such person\'s representation.
In the final rule, § 164.510(b) may apply to permit disclosures to a
person other than a personal representative. Under § 164.510(b), when an
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 protected health information to the third parties involved in
the individual's 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. These conditions apply to disclosure of protected
health information about individuals with mental retardation as well as
to disclosures about all other individuals. Thus we do not believe it is
necessary to include in this section of the final rule any language
specifically on persons with mental retardation.
*Comments*: A few commenters recommended that disclosures made in good
faith to the family or friends of the individual not be subject to
sanctions by the Secretary, even if the covered entity had not fully
complied with the requirements of this provision. One commenter believed
that a fear of sanction would make covered entities overly cautious,
such that they would not disclose protected health information to
domestic partners or others not recognized by law as next of kin.
Another commenter recommended that sanctions not be imposed if the
covered entity has proper policies in place and has trained its staff
appropriately. According to this commenter, the lack of documentation of
disclosures in a particular case or medical record should not subject
the entity to sanctions if the information was disclosed in good faith.
*Response:* We generally agree with commenters regarding disclosure in
good faith pursuant to this provision. As discussed above, the final
rule expands the scope of individuals to whom covered entities may
disclose protected health information pursuant to this section. In
addition, we delete the term next of kin, to avoid the appearance of
requiring any legal determination of a person's relationship in
situations involving informal disclosures. Similarly, consistent with
the informal nature of disclosures pursuant to this section, we do not
require covered entities to document such disclosures. If a covered
entity imposes its own documentation requirements and a particular
covered health care provider does not follow the entity's documentation
requirements, the disclosure is not a violation of this rule.
*Comments*: The majority of comments on this provision were from
individuals and organizations concerned about domestic violence. Most of
these commenters wanted assurance that domestic violence would be a
consideration in any disclosure to the spouse or relatives of an
individual whom the covered entity suspected to be a victim of domestic
violence or abuse. In particular, these commenters recommended that
disclosures not be made to family members suspected of being the abuser
if to do so would further endanger the individual. Commenters believed
that this limitation was particularly important when the individual was
unconscious or otherwise unable to object to the disclosures.
*Response:* We agree with the comments that victims of domestic violence
and other forms of abuse need special consideration in order to avoid
further harm, and we provide for discretion of a covered entity to
determine that protected health information not be disclosed pursuant to
§ 164.510(b). Section 164.510(b) of the final rule, disclosures to
family or friends involved in the individual's care, states that when an
individual is unable to agree or object to the disclosure due to
incapacity or another emergency situation, a covered entity must
determine based on the exercise of professional judgment whether it is
in the individual's best interest to disclose the information. As stated
in the preamble, we intend for this exercise of professional judgment in
the individual's best interest to account for the potential for harm to
the individual in cases involving domestic violence. These circumstances
are unique and are best decided by a covered entity, in the exercise of
professional judgment, in each situation rather than by a blanket rule.
**SECTION 164.512---USES AND DISCLOSURES FOR WHICH CONSENT,
Authorization, OR OPPORTUNITY TO AGREE OR OBJECT IS NOT REQUIRED**
**Section 164.512(a)---Uses and Disclosures Required by Law**
*Comment:* Numerous commenters addressed directly or by implication the
question of whether the provision permitting uses and disclosures of
protected health information if required by other law was necessary.
Other commenters generally endorsed the need for such a provision. One
such commenter approved of the provision as a needed fail-safe mechanism
should the enumeration of permissible uses and disclosures of protected
health information in the NPRM prove to be incomplete. Other commenters
cited specific statutes which required access to protected health
information, arguing that such a provision was necessary to ensure that
these legally mandated disclosures would continue to be permitted. For
example, some commenters argued for continued access to protected health
information to investigate and remedy abuse and neglect as currently
required by the Developmental Disabilities Assistance and Bill of
Rights, 42 U.S.C. 6042, and the Protection and Advocacy for Mentally Ill
Individuals Act, 42 U.S.C. 10801.
Some comments urged deletion of the provision for uses and disclosures
required by other law. This concern appeared to be based on a
generalized concern that the provision fostered government intrusion
into individual medical information.
Finally, a number of commenters also urged that the required by law
provision be deleted. These commenters argued that the proposed
provision would have undermined the intent of the statute to preempt
state laws which were less protective of individual privacy. As stated
in these comments, the provision for uses and disclosures required by
other law was "broadly written and could apply to a variety of state
laws that are contrary to the proposed rule and less protective of
privacy. (Indeed, a law [requiring]{.underline} disclosure is the least
protective of privacy since it allows for no discretion.) The breadth of
this provision greatly exceeds the exceptions to preemption contained in
HIPAA."
*Response:* We agree with the comments that proposed § 164.510(n) was
necessary to harmonize the rule with existing state and federal laws
mandating uses and disclosures of protected health information.
Therefore, in the final rule, the provision permitting uses and
disclosures as required by other law is retained. To accommodate other
reorganization of the final rule, this provision has been designated as
§ 164.512(a).
We do not agree with the comments expressing concern for increased
governmental intrusion into individual privacy under this provision. The
final rule does not create any new duty or obligation to disclose
protected health information. Rather, it permits covered entities to use
or disclose protected health information when they are required by law
to do so.
We likewise disagree with the characterization of the proposed provision
as inconsistent with or contrary to the preemption standards in the
statute or Part 160 of the rule. As described in the NPRM, we intend
this provision to preserve access to information considered important
enough by state or federal authorities to require its disclosure by law.
The importance of these required uses or disclosures is evidenced by the
legislative or other public process necessary for the government to
create a legally binding obligation on a covered entity. Furthermore,
such required uses and disclosures arise in a myriad of other areas of
law, ranging from topics addressing national security (uses and
disclosures to obtain security clearances), to public health (reporting
of communicable diseases), to law enforcement (disclosures of gun shot
wounds). Required uses and disclosures also may address broad national
concerns or particular regional or state concerns. It is not possible,
or appropriate, for HHS to reassess the legitimacy of or the need for
each of these mandates in each of their specialized contexts. In some
cases where particular concerns have been raised by legal mandates in
other laws, we allow disclosure as required by law, and we establish
additional requirements to protect privacy (for example, informing the
individual as required in § 164.512(c)) when covered entities make a
legally mandated disclosure.
We also disagree with commenters who suggest that the approach in the
final rule is contrary to the preemption provisions in HIPAA. HIPAA
provides HHS with broad discretion in fashioning privacy protections.
Recognizing the legitimacy of existing legal requirements is certainly
within the Secretary's discretion. Additionally, given the variety of
these laws, the varied contexts in which they arise, and their
significance in ensuring that important public policies are achieved, we
do not believe that Congress intended to preempt each such law unless
HHS specifically recognized the law or purpose in the regulation.
*Comment:* A number of commenters urged that the provision permitting
uses and disclosures required by other law be amended by deleting the
last sentence which stated: "This paragraph does not apply to uses or
disclosures that are covered by paragraphs (b) through (m) of this
section." Some commenters sought deletion of this sentence to avoid any
inadvertent preemption of mandatory reporting laws, and requested
clarification of the effect on specific statutes.
The majority of the commenters focused their concerns on the potential
conflict between mandatory reporting laws to law enforcement and the
limitations imposed by proposed § 164.510(f), on uses and disclosures to
law enforcement. For example, the comments raised concerns that
mandatory reporting to law enforcement of injuries resulting from
violent acts and abuse require the health care provider to initiate such
reports to local law enforcement or other state agencies, while the NPRM
would have allowed such reporting on victims of crimes only in response
to specific law enforcement requests for information. Similarly,
mandatory reports of violence-related injuries may implicate suspected
perpetrators, as well as victims, and compliance with such laws could be
blocked by the proposed requirement that disclosures about suspects was
similarly limited to a response to law enforcement inquiries for the
specific purpose of identifying the suspect. The NPRM also would have
limited the type of protected health information that could have been
disclosed about a suspect or fugitive.
In general, commenters sought to resolve this overlap by removing the
condition that the required-by-other-law provision applied only when no
other national priority purpose addressed the particular use or
disclosure. The suggested change would permit the covered entity to
comply with legally mandated uses and disclosures as long as the
relevant requirements of that law were met. Alternatively, other
commenters suggested that the restrictions on disclosures to law
enforcement be lifted to permit full compliance with laws requiring
reporting for these purposes.
Finally, some comments sought clarification of when a use or disclosure
was "covered by paragraphs (b) through (m)." These commenters were
confused as to whether a particular use or disclosure had to be
specifically addressed by another provision of the rule or simply within
the scope of the one of the national priority purposes specified by
proposed paragraphs (b) through (m).
*Response:* We agree with the commenters that the provision as proposed
would have inadvertently interfered with many state and federal laws
mandating the reporting to law enforcement or others of protected health
information.
In response to these comments, we have modified the final rule to
clarify how this section interacts with the other provisions in the
rule.
*Comment:* A number of commenters sought expanded authority to use and
disclosure protected health information when permitted by other law, not
just when required by law. These comments specified a number of
significant duties or potential societal benefits from disclosures
currently permitted or authorized by law, and they expressed concern
should these beneficial uses and disclosures no longer be allowed if not
specifically recognized by the rule. For example, one commenter listed
25 disclosures of health records that are currently permitted, but not
required, by state law. This commenter was concerned that many of these
authorized uses and disclosures would not be covered by any of the
national priority purposes specified in the NPRM, and, therefore, would
not be a permissible use or disclosure under the rule. To preserve these
important uses and disclosures, the comments recommended that provision
be made for any use or disclosure which is authorized or permitted by
other law.
*Response:* We do not agree with the comments that seek general
authority to use and disclose protected health information as permitted,
but not required, by other law. The uses and disclosures permitted in
the final rule reflect those purposes and circumstances which we believe
are of sufficient national importance or relevance to the needs of the
health care system to warrant the use or disclosure of protected health
information in the absence of either the individual's express
authorization or a legal duty to make such use or disclosure. In
permitting specific uses and disclosures that are not required by law,
we have considered the individual privacy interests at stake in each
area and crafted conditions or limitations in each identified area as
appropriate to balance the competing public purposes and individual
privacy needs. A general rule authorizing any use or disclosure that is
permitted, but not required, by other law would undermine the careful
balancing in the final rule.
In making this judgment, we have distinguished between laws that mandate
uses or disclosures and laws that merely permit them. In the former
case, jurisdictions have determined that public policy purposes cannot
be achieved absent the use of certain protected health information, and
we have chosen in general not to disturb their judgments. On the other
hand, where jurisdictions have determined that certain protected health
information is not necessary to achieve a public policy purpose, and
only have permitted its use or disclosure, we do not believe that those
judgments reflect an interest in use or disclosure strong enough to
override the Congressional goal of protecting privacy rights.
Moreover, the comments failed to present any compelling circumstance to
warrant such a general provision. Despite commenters' concerns to the
contrary, most of the beneficial uses and disclosures that the
commenters referenced to support a general provision were, in fact, uses
or disclosures already permissible under the rule. For example, the
general statutory authorities relied on by one state health agency to
investigate disease outbreaks or to comply with health data-gathering
guidelines for reporting to certain federal agencies are permissible
disclosures to public health agencies.
Finally, in the final rule, we add new provisions to § 164.512 to
address three examples raised by commenters of uses and disclosures that
are authorized or permitted by law, but may not be required by law.
First, commenters expressed concern for the states that provide for
voluntary reporting to law enforcement or state protective services of
domestic violence or of abuse, neglect or exploitation of the elderly or
other vulnerable adults. As discussed below, a new section, §
164.512(c), has been added to the final rule to specifically address
uses and disclosures of protected health information in cases of abuse,
neglect, or domestic violence. Second, commenters were concerned about
state or federal laws that permitted coordination and cooperation with
organizations or entities involved in cadaveric organ, eye, or tissue
donation and transplantation. In the final rule, we add a new section, §
164.512(h), to permit disclosures to facilitate such donation and
transplantation functions. Third, a number of commenters expressed
concern for uses and disclosure permitted by law in certain custodial
settings, such as those involving correctional or detention facilities.
In the final rule, we add a new subsection to the section on uses and
disclosures for specialized government functions (§ 164.512(k), to
identify custodial settings in which special rules are necessary and to
specify the additional uses and disclosures of the protected health
information of inmates or detainees which are necessary in such
facilities.
*Comment:* A number of commenters asked for clarification of the term
"law" and the phrase "required by law" for purposes of the provision
permitting uses or disclosures that are required by law. Some of the
commenters noted that "state law" was a defined term in Part 160 of the
NPRM and that the terms should be used consistently. Other commenters
were concerned about differentiating between laws that required a use or
disclosure and those that merely authorize or permit a use or
disclosure. A number of commenters recommended that the final rule
include a definitive list of the laws that mandate a use or disclosure
of protected health information.
*Response:* In the final rule, we clarify that, consistent with the
"state law" definition in § 160.202, "law" is intended to be read
broadly to include the full array of binding legal authority, such as
constitutions, statutes, rules, regulations, common law, or other
governmental actions having the effect of law. However, for the purposes
of § 164.512(a), law is not limited to state action; rather, it
encompasses federal, state or local actions with legally binding effect,
as well as those by territorial and tribal governments.
For more detail on the meaning of "required by law," see § 164.501. Only
where the law imposes a duty on the health care professional to report
would the disclosure be considered to be required by law.
The final rule does not include a definitive list of the laws that
contain legal mandates for disclosures of protected health information.
In light of the breadth of the term "law" and number of federal, state,
local, and territorial or tribal authorities that may engage in the
promulgation of binding legal authority, it would be impossible to
compile and maintain such a list. Covered entities have an independent
duty to be aware of their legal obligations to federal, state, local and
territorial or tribal authorities. The rule's approach is simply
intended to avoid any obstruction to the health plan or covered health
care provider's ability to comply with its existing legal obligations.
*Comment:* A number of commenters recommended that the rule compel
covered entities to use or disclose protected health information as
required by law. They expressed concern that covered entities could
refuse or delay compliance with legally mandated disclosures by
misplaced reliance on a rule that permits, but does not require, a use
or disclosure required by other law.
*Response:* We do not agree that the final rule should require covered
entities to comply with uses or disclosures of protected health
information mandated by law. The purpose of this rule is to protect
privacy, and to allow those disclosures consistent with sound public
policy. Consistent with this purpose, we mandate disclosure only to the
individual who is the subject of the information, and for purposes of
enforcing the rule. Where a law imposes a legal duty on the covered
entity to use or disclose protected health information, it is sufficient
that the privacy rule permit the covered entity to comply with such law.
The enforcement of that legal duty, however, is a matter for that other
law.
**Section 164.512(b)---Uses and Disclosures for Public Health
Activities**
*Comment:* Several non-profit entities commented that medical records
research by nonprofit entities to ensure public health goals, such as
disease-specific registries, would not have been covered by this
provision. These organizations collect information without relying on a
government agency or law. Commenters asserted that such activities are
essential and must continue. They generally supported the provisions
allowing the collection of individually identifiable health information
without authorization for registries. One stated that both governmental
and non-governmental cancer registries should be exempt from the
regulation. They stated that "such entities, by their very nature,
collect health information for legitimate public health and research
purposes." Another, however, addressed its comments only to "disclosure
to non-government entities operating such system as required or
authorized by law."
*Response:* We acknowledge that such entities may be engaged in
disease-specific or other data collection activities that provide a
benefit to their members and others affected by a particular malady and
that they contribute to the public health and scientific database on low
incidence or little known conditions. However, in the absence of some
nexus to a government public health authority or other underlying legal
authority, it is unclear upon what basis covered entities can determine
which registries or collections are "legitimate" and how the
confidentiality of the registry information will be protected.
Commenters did not suggest methods for "validating" these private
registry programs, and no such methods currently exist at the federal
level. It is unknown whether any states have such a program. Broadening
the exemption could provide a loophole for private data collections for
inappropriate purposes or uses under a "public health" mask.
In this rule, we do not seek to make judgments as to the legitimacy of
private entities' disease-specific registries or of private data
collection endeavors. Rather, we establish the general terms and
conditions for disclosure and use of protected health information. Under
the final rule, covered entities may obtain authorization to disclose
protected health information to private entities seeking to establish
registries or other databases; they may disclose protected health
information as required by law; or they may disclose protected health
information to such entities if they meet the conditions of one of the
provisions of §§ 164.510 or 164.512. We believe that the circumstances
under which covered entities may disclose protected health information
to private entities should be limited to specified national priority
purposes, as reflected through the FDA requirements or directives listed
in § 164.512(b)(iii), and to enable recalls, repairs, or replacements of
products regulated by the FDA. Disclosures by covered health care
providers who are workforce members of an employer or are conducting
evaluations relating to work-related injuries or illnesses or workplace
surveillance also may disclose protected health information to employers
of findings of such evaluations that are necessary for the employer to
comply with requirements under OSHA and related laws.
*Comment:* Several commenters said that the NPRM did not indicate how to
distinguish between public health data collections and government health
data systems. They suggested eliminating proposed § 164.510(g) on
disclosures and uses for government health data systems, because they
believed that such disclosures and uses were adequately covered by
proposed § 164.510(b) on public health.
*Response:* As discussed below, we agree with the commenters who
suggested that the proposed provision that would have permitted
disclosures to government health data bases was overly broad, and we
remove it from the final rule. We reviewed the important purposes for
which some commenters said government agencies needed protected health
information, and we believe that most of those needs can be met through
the other categories of permitted uses and disclosures without
authorization allowed under the final rule, including provisions
permitting covered entities to disclose information (subject to certain
limitations) to government agencies for public health, health oversight,
law enforcement, and otherwise as required by law. For example, the
final rule continues to allow collection of protected health information
without authorization to monitor trends in the spread of infectious
disease, morbidity and mortality.
*Comment:* Several commenters recommended expanding the scope of
disclosures permissible under proposed § 164.510(b)(1)(iii), which would
have allowed covered entities to disclose protected health information
to private entities that could demonstrate that they were acting to
comply with requirements, or at the direction, of a public health
authority. These commenters said that they needed to collect
individually identifiable health information in the process of drug and
device development, approval, and post-market surveillance -- activities
that are related to, and necessary for, the FDA regulatory process.
However, they noted that the specific data collections involved were not
required by FDA regulations. Some commenters said that they often
devised their own data collection methods, and that health care
providers disclosed information to companies voluntarily for activities
such as post-marketing surveillance and efficacy surveys. Commenters
said they used this information to comply with FDA requirements such as
reporting adverse events, filing other reports, or recordkeeping.
Commenters indicated that the FDA encouraged but did not require them to
establish other data collection mechanisms, such as pregnancy registries
that track maternal exposure to drugs and the outcomes.
Accordingly, several commenters recommended modifying proposed §
164.510(b) to allow covered entities to disclose protected health
information without authorization to manufacturers registered with the
FDA to manufacture, distribute, or sell a prescription drug, device, or
biological product, in connection with post-marketing safety and
efficacy surveillance or for the entity to obtain information about the
drug, device, or product or its use. One commenter suggested including
in the regulation an illustrative list of examples of FDA-related
requirements, and stating in the preamble that all activities taken in
furtherance of compliance with FDA regulations are "public health
activities."
*Response:* We recognize that the FDA conducts or oversees many
activities that are critical to help ensure the safety or effectiveness
of the many products it regulates. These activities include, for
example, reporting of adverse events, product defects and problems;
product tracking; and post-marketing surveillance. In addition, we
believe that removing defective or harmful products from the market is a
critical national priority and is an important tool in FDA efforts to
promote the safety and efficacy of the products it regulates. We
understand that in most cases, the FDA lacks statutory authority to
require product recalls. We also recognize that the FDA typically does
not conduct recalls, repairs, or product replacement surveillance
directly, but rather, that it relies on the private entities it
regulates to collect data, notify patients when applicable, repair and
replace products, and undertake other activities to promote the safety
and effectiveness of FDA-regulated products.
We believe, however, that modifying the NPRM to allow disclosure of
protected health information to private entities as part of any
data-gathering activity related to a drug, device, or biological product
or its use, or for any activity that is consistent with, or that appears
to promote objectives specified, in FDA regulation would represent an
inappropriately broad exception to the general requirement to obtain
authorization prior to disclosure. Such a change could allow, for
example, drug companies to collect protected health information without
authorization to use for the purpose of marketing pharmaceuticals. We do
not agree that all activities taken to promote compliance with FDA
regulations represent public health activities as that term is defined
in this rule. In addition, we believe it would not be appropriate to
include in the regulation text an "illustrative list" of requirements
"related to" the FDA. The regulation text and preamble list the
FDA-related activities for which we believe disclosure of protected
health information to private entities without authorization is
warranted.
We believe it is appropriate to allow disclosure of protected health
information without authorization to private entities only: for purposes
that the FDA has, in effect, identified as national priorities by
issuing regulations or express directions requiring such disclosure; or
if such disclosure is necessary for a product recall. For example, we
believe it is appropriate to allow covered health care providers to
disclose to a medical device manufacturer recalling defective heart
valves the names and last known addresses of patients in whom the
provider implanted the valves. Thus, in the final rule, we allow covered
entities to disclose protected health information to entities subject to
FDA jurisdiction for the following activities: to report adverse events
(or similar reports with respect to food or dietary supplements),
product defects or problems (including problems with the use or labeling
of a product), or biological product deviations, if the disclosure is
made to the person required or directed to report such information to
the FDA; to track products if the disclosure is made to a person
required or directed by the FDA to track the product; to enable product
recalls, repairs, or replacement (including locating and notifying
individuals who have received products of product recalls, withdrawals,
or other problems); or to conduct post-marketing surveillance to comply
with requirements or at the direction of the FDA. The preamble above
provides further detail on the meaning of some of the terms in this
list. Covered entities may disclose protected health information to
entities for activities other than those described above only as
required by law; with authorization; or if permissible under another
section of this rule.
We understand that many private registries, such as pregnancy
registries, currently obtain patient authorization for data collection.
We believe the approach of § 164.512(b) strikes an appropriate balance
between the objective of promoting patient privacy and control over
their health information and the objective of allowing private entities
to collect data that ultimately may have important public health
benefits.
*Comment:* One commenter remarked that our proposal may impede
fetal/infant mortality and child fatality reviews.
*Response:* The final rule permits a covered entity to disclose
protected health information to a public health authority authorized by
law to conduct public health activities, including the collection of
data relevant to death or disease, in accordance with § 164.512(b). Such
activities may also meet the definition of "health care operations." We
therefore do not believe this rule impedes these activities.
*Comment:* Several comments requested that the final regulation clarify
that employers be permitted to use and/or disclose protected health
information pursuant to the requirements of the Occupational Safety and
Health Act and its accompanying regulations ("OSHA"). A few comments
asserted that the regulation should not only permit employers to use and
disclose protected health information without first obtaining an
authorization consistent with OSHA requirements, but also permit them to
use and disclose protected health information if the use or disclosure
is consistent with the spirit of OSHA. One commenter supported the
permissibility of these types of uses and disclosures, but warned that
the regulation should not grant employers unfettered access to the
entire medical record of employees for the purpose of meeting OSHA
requirements. Other commenters noted that OSHA not only requires
disclosures to the Occupational Safety and Health Administration, but
also to third parties, such as employers and employee representatives.
Thus, this comment asked HHS to clarify that disclosures to third
parties required by OSHA are also permissible under the regulation.
*Response:* Employers as such are not covered entities under HIPAA and
we generally do not have authority over their actions. When an employer
has a health care component, such as an on-site medical clinic, and the
components meets the requirements of a covered health care provider,
health plan or health care clearinghouse, the uses and disclosures of
protected health information by the health care component, including
disclosures to the larger employer entity, are covered by this rule and
must comply with its provisions.
A covered entity, including a covered health care provider, may disclose
protected health information to OSHA under § 164.512(a), if the
disclosure is required by law, or if the disclosure is a discretionary
one for public health activities, under § 164.512(b). Employers may also
request employees to provide authorization for the employer to obtain
protected health information from covered entities to conduct analyses
of work-related health issues. See § 164.508.
We also permit covered health care providers who provide health care as
a workforce member of an employer or at the request of an employer to
disclose protected health information to the employer concerning
work-related injuries or illnesses or workplace medical surveillance in
situations where the employer has a duty to keep records on or act on
such information under the OSHA or similar laws. We added this provision
to ensure that employers are able to obtain the information that they
need to meet federal and state laws designed to promote safer and
healthier workplaces. These laws are vital to protecting the health and
safety of workers and we permit specified covered health care providers
to disclose protected health information as necessary to carry out these
purposes.
*Comment:* A few comments suggested that the final regulation clarify
how it would interact with existing and pending OSHA requirements. One
of these comments requested that the Secretary delay the effective date
of the regulation until reviews of existing requirements are complete.
*Response:* As noted in the "Relationship to Other Federal Laws" section
of the preamble, we are not undertaking a complete review of all
existing laws with which covered entities might have to comply. Instead
we have described a general framework under which such laws may be
evaluated. We believe that adopting national standards to protect the
privacy of individually identifiable health information is an urgent
national priority. We do not believe that it is appropriate to delay the
effective date of this regulation.
*Comment:* One commenter asserted that the proposed regulation
conflicted with the OSHA regulation requirement that when a designated
representative (to whom the employee has already provided a written
authorization to obtain access) requests a release form for access to
employee medical records, the form must include the purpose for which
the disclosure is sought, which the proposed privacy regulation does not
require.
*Response:* We do not agree that this difference creates a conflict for
covered entities. If an employer seeks to obtain a valid authorization
under § 164.508, it may add a purpose statement to the authorization so
that it complies with OSHA's requirements and is a valid authorization
under § 164.508 upon which a covered entity may rely to make a
disclosure of protected health information to the employer.
*Comment:* One commenter stated that access to workplace medical records
by the occupational medical physicians is fundamental to workplace and
community health and safety. Access is necessary whether it is a single
location or multiple sites of the same company, such as production
facilities of a national company located throughout the country.
*Response:* We permit covered health care providers who provide health
care as a workforce member of an employer or at the request of an
employer to disclose protected health information to the employer
concerning work-related injuries or illnesses or workplace medical
surveillance, as described in this paragraph. Information obtained by an
employer under this paragraph would be available for it to use,
consistent with other laws and regulations, as it chooses and throughout
the national company. We do not regulate uses or disclosures of
individually identifiable health information by employers acting as
employers.
**Section 164.512(c)---Disclosures about Victims of Abuse, Neglect, or
Domestic Violence**
The NPRM did not include a paragraph specifically addressing covered
entities' disclosures of protected health information regarding victims
of abuse, neglect, or domestic violence. Rather, the NPRM addressed
disclosures about child abuse pursuant to proposed § 164.510(b), which
would have allowed covered entities to report child abuse to a public
health authority or to another appropriate authority authorized by law
to receive reports of child abuse or neglect. We respond to comments
regarding victims of domestic violence or abuse throughout the final
rule where relevant. (See responses to comments on §§ 164.502(g),
164.510(b), 164.512(f)(3), 164.522, and 164.524.)
*Comment:* Several commenters urged us to require that victims of
domestic violence be notified about requests for or disclosures of
protected health information about them, so that victims could take
safety precautions.
*Response:* We agree that, in balancing the burdens on covered entities
from such a notification requirement against the benefits to be gained,
victims of domestic abuse merit heightened concern. For this reason, we
generally require covered entities to inform the individual when they
disclose protected health information to authorized government
authorities. As the Family Violence Prevention Fund has noted in its
[Health Privacy Principles for Protecting Victims of Domestic
Violence]{.underline} (October 2000), victims of domestic violence and
abuse sometimes are subject to retaliatory violence. By informing a
victim of abuse or domestic violence of a disclosure to law enforcement
or other authorities, covered entities give victims the opportunity to
take appropriate safety precautions. See the above preamble discussion
of § 164.512(c) for more detail about the requirements for disclosing
protected health information about victims of domestic violence.
*Comment:* Some commenters argued that a consent requirement should
apply at a minimum to disclosures involving victims of crime or victims
of domestic violence.
*Response:* We agree, and we modify the proposed rule to require covered
entities to obtain an individual's agreement prior to disclosing
protected health information in most instances involving victims of a
crime or of abuse, neglect, or domestic violence. See the above preamble
discussions of § 164.512(c), on disclosures about victims of abuse,
neglect, or domestic violence, and § 164.512(f)(3), on disclosures to
law enforcement about crime victims.
**Section 164.512(d)---Uses and Disclosures for Health Oversight
Activities**
*Comment:* A couple of commenters supported the NPRM's approach to
health oversight. Several other commenters generally supported the
NPRM's approach to disclosure of protected health information for
national priority purposes, and they recommended some clarification
regarding disclosure for health oversight. Two commenters recommended
clarifying in the final rule that disclosure is allowed to all federal,
state, and local agencies that use protected health information to carry
out legally mandated responsibilities.
*Response:* The final rule permits disclosures to public agencies that
meet the definition of a health oversight agency and for oversight of
the particular areas described in the statute. Section 164.512(a) of the
final rule permits disclosures that are required by law. As discussed in
the responses to comments of § 164.512(a), we do not in the final rule
permit disclosures merely authorized by other laws that do not fit
within the other public policy purposes recognized by the rule.
*Comment*: One commenter recommended clarifying in the final rule that
covered entities are not required to establish business partner
contracts with health oversight agencies or public health authorities to
release individually identifiable information to them for purposes
exempt from HIPAA and sanctioned by state law.
*Response:* The final rule does not require covered entities to
establish business associate contracts with health oversight agencies
when they disclose protected health information to these agencies for
oversight purposes.
*Comment:* Two commenters recommended clarifying in the regulation text
that the health oversight section does not create a new right of access
to protected health information.
*Response:* We agree and include such a statement in the preamble of §
164.512(d) of the final rule.
*Comment:* Several commenters were concerned that the proposed oversight
section allowed but did not require disclosure of protected health
information to health oversight agencies for oversight activities.
*Response:* This rule's purpose is to protect the privacy of
individually identifiable health information. Except to enforce the rule
and to establish individuals' right to access their own protected health
information (see § 164.502(a)(2)), we do not require disclosure of
protected health information to any person or entity. We allow such
disclosure for situations in which other laws require disclosure.
*Comment:* Some commenters were concerned that the NPRM would have
allowed health oversight agencies to re-use and redisclose protected
health information to other entities, and they were particularly
concerned about re-disclosure to and re-use by law enforcement agencies.
One commenter believed that government agencies would use the label of
health oversight to gain access to protected health information from
covered entities -- thereby avoiding the procedural requirements of the
law enforcement section (proposed § 164.510(f)) and subsequently would
turn over information to law enforcement officials. Thus, these groups
were concerned that the potential for oversight access to protected
health information under the rule to become the "back door" to law
enforcement access to such information.
Based on their concerns, these commenters recommended establishing a
general prohibition on the re-use and re-disclosure of protected health
information obtained by health oversight agencies in actions against
individuals. One health plan expressed general concern about
re-disclosure among all of the public agencies covered in the proposed §
164.510. It recommended building safeguards into the rule to prevent
information gathered for one purpose (for example, public health) from
being used for another purpose (such as health oversight).
Many of the commenters concerned about re-disclosure of protected health
information obtained for oversight purposes said that if the Secretary
lacked statutory authority to regulate oversight agencies' re-disclosure
of protected health information and the re-use of this information by
other agencies covered in proposed § 164.510, the President should issue
an Executive Order barring such re-disclosure and re-use. One of these
groups specified that the Executive Order should bar re-use and
re-disclosure of protected health information in actions against
individuals.
In contrast, some commenters advocated information-sharing between law
enforcement and oversight agencies. Most of these commenters recognized
that the NPRM would have allowed re-use and re-disclosure of protected
health information from oversight to law enforcement agencies, and they
supported this approach.
*Response:* We believe that the language we have added to the rule, at §
164.512(d)(2) and the corresponding explanation in the preamble, to
clarify the boundary between disclosures for health oversight and for
law enforcement purposes should partially address the concern expressed
by some that oversight agencies will be the back door for access by law
enforcement. In situations when the individual is the subject of an
investigation or activity and the investigation or activity is not
related to health care fraud, the requirements for disclosure to law
enforcement must be met, and an oversight agency cannot request the
information under its more general oversight authority.
We acknowledge, however, that there will be instances under the rule
when a health oversight agency (or a law enforcement agency in its
oversight capacity) that has obtained protected health information
appropriately will be able to redisclose the information to a law
enforcement agency for law enforcement purposes. Under HIPAA, we have
the authority to restrict re-disclosure of protected health information
only by covered entities. Re-disclosures by public agencies such as
oversight agencies are not within the purview of this rule. We support
the enactment of comprehensive privacy legislation that would govern
such public agencies' re-use and re-disclosure of this information.
Furthermore, in an effort to prevent health oversight provisions from
becoming the back door to law enforcement access to protected health
information, the President is issuing an Executive Order that places
strict limitations on the use of protected health information gathered
in the course of an oversight investigation for law enforcement
activities. For example, such use will be subject to review by the
Deputy Attorney General.
*Comment:* Several commenters recommended modifying the proposed
oversight section to require health oversight officials to justify and
document their need for identifiable information.
*Response:* We encourage covered entities to work with health oversight
agencies to determine the scope of information needed for health
oversight inquiries. However, we believe that requiring covered entities
to obtain extensive documentation of health oversight information needs
could compromise health oversight agencies' ability to complete
investigations, particularly when an oversight agency is investigating
the covered entity from which it is seeking information.
*Comment:* Several commenters believed that health oversight activities
could be conducted without access to individually identifiable health
information. Some of these groups recommended requiring information
provided to health oversight agencies to be de-identified to the extent
possible.
*Response:* We encourage health oversight agencies to use de-identified
information whenever possible to complete their investigations. We
recognize, however, that in some cases, health oversight agencies need
identifiable information to complete their investigations. For example,
as noted in the preamble to the NPRM, to determine whether a hospital
has engaged in fraudulent billing practices, it may be necessary to
examine billing records for a set of individual cases. Similarly, to
determine whether a health plan is complying with federal or state
health care quality standards, it may be necessary to examine
individually identifiable health information in comparison with such
standards. Thus, to allow health oversight agencies to conduct the
activities that are central to their mission, the final rule does not
require covered entities to de-identify protected health information
before disclosing it to health oversight organizations.
*Comment:* One commenter recommended requiring whistleblowers, pursuant
to proposed § 164.518(a)(4) of the NPRM, to raise the issue of a
possible violation of law with the affected covered entity before
disclosing such information to an oversight agency, attorney, or law
enforcement official.
*Response:* We believe that such a requirement would be inappropriate,
because it would create the potential for covered entities that are the
subject of whistleblowing to take action to evade law enforcement and
oversight action.
*Comment:* One commenter recommended providing an exemption from the
proposed rule's requirements for accounting for disclosures when such
disclosures were for health oversight purposes.
*Response:* We recognize that in some cases, informing individuals that
their protected health information has been disclosed to a law
enforcement official or to a health oversight agency could compromise
the ability of law enforcement and oversight officials to perform their
duties appropriately. Therefore, in the final rule, we retain the
approach of proposed § 164.515 of the NPRM. Section 164.528(a)(2) of the
final rule states that an individual's right to receive an accounting of
disclosures to a health oversight agency, law enforcement official, or
for national security or intelligence purposes may be temporarily
suspended for the time specified by the agency or official. As described
in § 164.528(a)(2), for such a suspension to occur, the agency or
official must provide the affected covered entity with a written request
stating that an accounting to the individual would be reasonably likely
to impede the agency's activity. The request must specify the time for
which the suspension is required. We believe that providing a permanent
exemption to the right to accounting for disclosures for health
oversight purposes would fail to ensure that individuals are
sufficiently informed about the extent of disclosures of their protected
health information.
*Comment:* One commenter recommended making disclosures to health
oversight agencies subject to a modified version of the NPRM's proposed
three-part test governing disclosure of protected health information to
law enforcement pursuant to an administrative request (as described in
proposed § 164.510(f)(1)).
*Response:* We disagree that it would be appropriate to apply the
procedural requirements for law enforcement to health oversight. We
apply more extensive procedural requirements to law enforcement
disclosures than to disclosures for health oversight because we believe
that law enforcement investigations more often involve situations in
which the individual is the subject of the investigation (and thus could
suffer adverse consequences), and we believe that it is appropriate to
provide greater protection to individuals in such cases. Health
oversight involves investigations of institutions that use health
information as part of business functions, or of individuals whose
health information has been used to obtain a public benefit. These
circumstances justify broader access to information.
***Overlap Between Law Enforcement and Oversight***
*Comment:* Some commenters expressed concern that the NPRM's provisions
permitting disclosures for health oversight and disclosures for law
enforcement overlapped, and that the overlap could create confusion
among covered entities, members of the public, and government agencies.
The commenters identified particular factors that could lead to
confusion, including that (1) the phrase "criminal, civil, or
administrative proceeding" appeared in the definitions of both law
enforcement and oversight; (2) the examples of oversight agencies listed
in the preamble included a number of organizations that also conduct law
enforcement activities; (3) the NPRM addressed the issue of disclosures
to investigate health care fraud in the law enforcement section (§
164.510(f)(5)), yet health care fraud investigations are central to the
mission of some health care oversight agencies; (4) the NPRM established
more stringent rules for disclosure of protected health information
pursuant to an administrative subpoena issued for law enforcement than
for disclosure pursuant to an oversight agency's administrative
subpoena; and (5) the preamble, but not the NPRM regulation text,
indicated that agencies conducting both oversight and law enforcement
activities would be subject to the oversight requirements when
conducting oversight activities.
Some commenters said that covered entities would be confused by the
overlap between law enforcement and oversight and that this concern
would lead to litigation over which rules should apply when an entity
engaged in more than one of the activities listed under the exceptions
in proposed § 164.510. Other commenters believed that covered entities
could manipulate the NPRM's ambiguities in their favor, claim that the
more stringent law enforcement disclosure rules always should apply, and
thereby delay investigations. A few comments suggested that the
confusion could be clarified by making the regulation text consistent
with the preamble, by stating that when agencies conducting both law
enforcement and oversight seek protected health information as part of
their oversight activities, the oversight rules would apply.
*Response:* We agree that the boundary between disclosures for health
oversight and disclosures for law enforcement proposed in the NPRM could
have been more clear. Because many investigations, particularly
investigations involving public benefit programs, have both health
oversight and law enforcement aspects to them, and because the same
agencies often perform both functions, drawing any distinction between
the two functions is necessarily difficult. For example, traditional law
enforcement agencies, such as the Federal Bureau of Investigation, have
a significant role in health oversight. At the same time, traditional
health oversight agencies, such as federal Offices of Inspectors
General, often participate in criminal investigations.
To clarify the boundary between law enforcement and oversight for
purposes of complying with this rule, we add new language in the final
rule, at § 164.512(d)(2). This section indicates that health oversight
activities do not include an investigation or activity in which the
individual is the subject of the investigation or activity and the
investigation or activity does not arise out of and is not directly
related to health care fraud. In this rule, we describe investigations
involving suspected health care fraud as investigations related to: (1)
the receipt of health care; (2) a claim for public benefits related to
health; or (3) qualification for, or receipt of public benefits or
services where a patient's health is integral to the claim for public
benefits or services. In such cases, where the individual is the subject
of the investigation and the investigation does not relate to health
care fraud, identified as investigations regarding issues (a) through
(c), the rules regarding disclosure for law enforcement purposes (see §
164.512(f)) apply.
Where the individual is not the subject of the activity or
investigation, or where the investigation or activity relates to health
care fraud, a covered entity may make a disclosure pursuant to §
164.512(d)(1), allowing uses and disclosures for health oversight
activities. For example, when the U.S. Department of Labor's Pension and
Welfare Benefits Administration (PWBA) needs to analyze protected health
information about health plan enrollees in order to conduct an audit or
investigation of the health plan (i.e., the enrollees are not subjects
of the investigation) to investigate potential fraud by the health plan,
the health plan may disclose protected health information to the PWBA
under the health oversight rules.
To clarify further that health oversight disclosure rules apply
generally in health care fraud investigations (subject to the exception
described above), in the final rule, we eliminate proposed §
164.510(f)(5)(i), which would have established requirements for
disclosure related to health fraud for law enforcement purposes. All
disclosures of protected health information that would have been
permitted under proposed § 164.510(f)(5)(i) are permitted under §
164.512(d).
We also recognize that sections 201 and 202 of HIPAA, which established
a federal Fraud and Abuse Control Program and the Medicare Integrity
Program, identified health care fraud-fighting as a critical national
priority. Accordingly, under the final rule, in joint law
enforcement/oversight investigations involving suspected health care
fraud, the health oversight disclosures apply, even if the individual
also is the subject of the investigation.
We also recognize that in some cases, health oversight agencies may
conduct joint investigations with other oversight agencies involved in
investigating claims for benefits unrelated to health. For example, in
some cases, a state Medicaid agency may be working with officials of the
Food Stamps program to investigate suspected fraud involving Medicaid
and Food Stamps. While this issue was not raised specifically in the
comments, we add new language (§ 164.512(d)(3)) to provide guidance to
covered entities in such situations. Specifically, we clarify that if a
health oversight investigation is conducted in conjunction with an
oversight activity related to a claim for benefits unrelated to health,
the joint activity or investigation is considered health oversight for
purposes of the rule, and the covered entities may disclose protected
health information pursuant to the health oversight provisions.
*Comment:* An individual commenter recommended requiring authorization
for disclosure of patient records in fraud investigations, unless the
individual was the subject or target of the investigation. This
commenter recommended requiring a search warrant for cases in which the
individual was the subject and stating that fraud investigators should
have access to the minimum necessary patient information.
*Response:* As described above, we recognize that in some cases,
activities include elements of both law enforcement and health
oversight. Because we consider both of these activities to be critical
national priorities, we do not require covered entities to obtain
authorization for disclosure of protected health information to law
enforcement or health oversight agencies -- including those oversight
activities related to health care fraud. We believe that investigations
involving health care fraud represent health oversight rather than law
enforcement. Accordingly, as indicated above, we remove proposed §
164.510(f)(5)(i) from the law enforcement section of the proposed rule
and clarify that all disclosures of protected health information for
health oversight are permissible without authorization. As discussed in
greater detail in § 164.514, the final rule's minimum necessary standard
applies to disclosures under § 164.512 unless the disclosure is required
by law under § 164.512(a).
*Comment:* A large number of commenters expressed concern about the
potential for health oversight agencies to become, in effect, the "back
door" for law enforcement access to such information. The commenters
suggested that health oversight agencies could use their relatively
unencumbered access to protected health information to circumvent the
more stringent process requirements that otherwise would apply to
disclosures for law enforcement purposes. These commenters urged us to
prohibit health oversight agencies from re-disclosing protected health
information to law enforcement.
*Response:* As indicated above, we do not intend for the rule's
permissive approach to health oversight or the absence of specific
documentation to permit the government to gather large amounts of
protected health information for purposes unrelated to health oversight
as defined in the rule, and we do not intend for these oversight
provisions to serve as a "back door" for law enforcement access to
protected health information. While we do not have the statutory
authority to regulate law enforcement and oversight agencies' re-use and
re-disclosure of protected health information, we strongly support
enactment of comprehensive privacy legislation that would govern public
agencies' re-use and re-disclosure of this information. Furthermore, in
an effort to prevent health oversight provisions from becoming the back
door to law enforcement access to protected health information, the
President is issuing an Executive Order that places strict limitations
on the use of protected health information gathered in the course of an
oversight investigation for law enforcement activities.
*Comment:* One commenter asked us to allow the requesting agency to
decide whether a particular request for protected health information was
for law enforcement or oversight purposes.
*Response:* As described above, we clarify the overlap between law
enforcement disclosures and health oversight disclosures based on the
privacy and liberty interests of the individual (whether the individual
also is the subject of the official inquiry) and the nature of the
public interest (whether the inquiry relates to health care fraud or to
another potential violation of law). We believe it is more appropriate
to establish these criteria than to leave the decision to the discretion
of an agency that has a stake in the outcome of the investigation.
**Section 164.512(e)---Disclosures for Judicial and Administrative
Proceedings**
*Comment:* A few commenters suggested that the final rule not permit
disclosures without an authorization for judicial and administrative
proceedings.
*Response:* We disagree. Protected health information is necessary for a
variety of reasons in judicial and administrative proceedings. Often it
may be critical evidence that may or may not be about a party. Requiring
an authorization for all such disclosures would severely impede the
review of legal and administrative claims. Thus, we have tried to
balance the need for the information with the individual's privacy. We
believe the approach described above provides individuals with the
opportunity to object to disclosures and provides a mechanism through
which their privacy interests are taken into account.
*Comment:* A few commenters sought clarification about the interaction
between permissible disclosures for judicial and administrative
proceedings, law enforcement, and health oversight.
*Response:* In the final rule, we state that the provision permitting
disclosures without an authorization for judicial and administrative
proceedings does not supersede other provisions in § 164.512 that would
otherwise permit or restrict the use or disclosure of protected health
information. Additionally, in the descriptive preamble of § 164.512, we
provide further explanation of how these provisions relate to one
another.
*Comments*: Many commenters urged the Secretary to revise the rule to
state that it does not preempt or supersede existing rules and statutes
governing judicial proceedings, including rules of evidence, procedure,
and discovery. One commenter asserted that dishonest health care
providers and others should not be able to withhold their records by
arguing that state subpoena and criminal discovery statutes compelling
disclosure are preempted by the privacy regulation. Other commenters
maintained that there is no need to replace providers' current practice,
which typically requires either a signed authorization from the patient
or a subpoena to release medical information.
*Response:* These comments are similar to many of the more general
preemption comments we received. For a full discussion of the
Secretary's response on preemption issues, see Part 160 - Subpart B.
*Comment:* One commenter stated that the proposed rule creates a
conflict with existing rules and statutes governing judicial
proceedings, including rules of evidence and discovery. This commenter
stated that the rule runs afoul of state judicial procedures for
enforcement of subpoenas that require judicial involvement only when a
party seeks to enforce a subpoena.
*Response:* We disagree with this comment. The final rule permits
covered entities to disclose protected health information for any
judicial or administrative procedure in response to a subpoena,
discovery request, or other lawful process if the covered entity has
received satisfactory assurances that the party seeking the disclosure
has made reasonable efforts to ensure that the individual has been given
notice of the request or has made reasonable efforts to secure a
qualified protective order from a court or administrative tribunal. A
covered entity may disclose protected health information in response to
a subpoena, discovery request, or other lawful process without a
satisfactory assurance if it has made reasonable efforts to provide the
individual with such notice or to seek a qualified protected order
itself. These rules do not require covered entities or parties seeking
the disclosure of protected health information to involve the judiciary;
they may choose the notification option rather than seeking a qualified
protective order.
Many states have already enacted laws that incorporate these concepts.
In California, for instance, an individual must be given ten days notice
that his or her medical records are being subpoenaed from a health care
provider and state law requires that the party seeking the records
furnishes the health care provider with proof that the notice was given
to the individual. In Montana, a party seeking discovery or compulsory
process of medical records must give notice to the individual at least
ten days in advance of serving the request on a health care provider,
Service of the request must be accompanied by written certification that
the procedure has been followed. In Rhode Island, an individual must be
given notice that his or her medical records are being subpoenaed and
notice of his or her right to object. The party serving the subpoena on
the health care provider must provide written certification to the
provider that: (1) this procedure has been followed, (2) twenty days
have passed from the date of service, and (3) no challenge has been made
to the disclosure or the court has ordered disclosure after resolution
of a legal court challenge. In Washington, an individual must be given
at least fourteen days from the date of service of notice that his or
her health information is the subject of a discovery request or
compulsory process to obtain a protective order. The notice must
identify the health care provider from whom the information is sought,
specify the health care information that is sought, and the date by
which a protective order must be obtained in order to prevent the
provider from disclosing the information.
*Comment:* A few commenters expressed concern that the rule would place
unnecessary additional burdens on health care providers because when
they receive a request for disclosure in connection with an
administrative or judicial procedure, they would have to determine
whether the litigant's health was at issue before they made the
disclosure. A number of commenters complained that this requirement
would make it too easy for litigants to obtain protected health
information. One commenter argued that litigants should not be able to
circumvent state evidentiary rules that would otherwise govern
disclosure of protected health information simply upon counsel's
statement that the other party's medical condition or history is at
issue.
Other commenters, however, urged that disclosure without authorization
should be permitted whenever a patient places his or her medical
condition or history at issue and recommended requiring the request for
information to include a certification to this effect. Only if another
party to litigation has raised a medical question, do these commenters
believe a court order should be required. Similarly, one commenter
supported a general requirement that disclosure without authorization be
permitted only with a court order unless the patient has placed his or
her physical or mental condition at issue.
*Response:* We agree with the concerns expressed by several commenters
about this provision and has eliminated this requirement from the final
rule.
*Comment*: A number of commenters stated that the proposed rule should
be modified to permit disclosure without authorization pursuant to a
lawful subpoena. One commenter argued that the provision would limit the
scope of the Inspector General's subpoena power for judicial and
administrative proceedings to information concerning a litigant whose
health condition or history is at issue, and would impose a requirement
that the Inspector General provide a written certification to that
effect. Other commenters stated that the proposed rule would seriously
impair the ability of state agencies to conduct administrative hearings
on physician licensing and disciplinary matters. These commenters stated
that current practice is to obtain information using subpoenas.
Other commenters argued that disclosure of protected health information
for judicial and administrative proceedings should require a court order
and/or judicial review unless the subject of the information consents to
disclosure. These commenters believed that an attorney's certification
should not be considered sufficient authority to override an
individual's privacy, and that the proposed rule made it too easy for a
party to litigation to obtain information about the other party.
*Response*: As a general matter, we agree with these comments. As noted,
the final rule deletes the provision that would permit a covered entity
to disclose protected health information pursuant to an attorney's
certification that the individual is a party to the litigation and has
put his or her medical condition at issue. Under the final rule, covered
entities may disclose protected health information in response to a
court or administrative order, provided that only the protected health
information expressly authorized by the order is disclosed. Covered
entities may also disclose protected health information in response to a
subpoena, discovery request, or other lawful process without a court
order, but only if the covered entity receives satisfactory assurances
that the party seeking disclosure has made reasonable efforts to ensure
that the individual has been notified of the request or that reasonable
efforts have been made by the party seeking the information to secure a
qualified protective order. Additionally, a covered entity may disclose
protected health information in response to a subpoena, discovery
request, or other lawful process without a satisfactory assurance if it
makes reasonable efforts to provide the individual with such notice or
to seek a qualified protected order itself.
We also note that the final rule specifically provides that nothing in
Subchapter C should be construed to diminish the authority of any
Inspector General, including authority provided in the Inspector General
Act of 1978.
*Comment:* A number of commenters expressed concern that the proposed
rule would not permit covered entities to introduce material evidence in
proceedings in which, for example, the provisions of an insurance
contract are at issue, or when a billing or payment issue is presented.
They noted that although the litigant may be the owner of an insurance
policy, he or she may not be the insured individual to whom the health
information pertains. In addition, they stated that the medical
condition or history of a deceased person may be at issue when the
deceased person is not a party.
*Response:* We disagree. Under the final rule, a covered entity may
disclose protected health information without an authorization pursuant
to a court or administrative order. It may also disclose protected
health information with an authorization for judicial or administrative
proceedings in response to a subpoena, discovery request, or other
lawful process without a court order, if the party seeking the
disclosure provides the covered entity with satisfactory assurances that
it has make reasonable efforts to ensure that the individual has been
notified of the request or to seek a qualified protective order.
Additionally, a covered entity may disclose protected health information
in response to a subpoena, discovery request, or other lawful process
without a satisfactory assurance if it makes reasonable efforts to
provide the individual with such notice or to seek a qualified protected
order itself. Therefore, a party may obtain the information even if the
subject of the information is not a party to the litigation or deceased.
*Comment:* A few commenters argued that disclosure of protected health
information should be limited only to those cases in which the
individual has consented or a court order has been issued compelling
disclosure.
*Response:* The Secretary believes that such an approach would impose an
unreasonable burden on covered entities and the judicial system and that
greater flexibility is necessary to assure that the judicial and
administrative systems function smoothly. We understand that even those
states that have enacted specific statutes to protect the privacy of
health information have not imposed requirements as strict as these
commenters would suggest.
*Comment:* Many commenters asked that the final rule require the
notification of the disclosure be provided to the individual whose
health information is subject to disclosure prior to the disclosure as
part of a judicial or administrative proceeding. Most of these
commenters also asked that the rule require that the individual who is
the subject of a disclosure be given an opportunity to object to the
disclosure. A few commenters suggested that patients be given ten days
to object before requested information may be disclosed and recommend
that the rule require the requester to provide a certification that
notice has been provided and that ten days have passed with no objection
from the subject of the information. Some commenters suggested that if a
subpoena for disclosure is not accompanied by a court order, the covered
entities be prohibited from disclosing protected health information
unless the individual has been given notice and an opportunity to
object. Another commenter recommended requiring, in most circumstances,
notice and an opportunity to object before a court order is issued and
requiring the requestor of information to provide a signed document
attesting the date of notification and forbid disclosure until ten days
after notice is given.
*Response:* We agree that in some cases the provision of notice with an
opportunity to object to the disclosure is appropriate. Thus, in the
final rule we provide that a covered entity may disclose protected
health information in response to a subpoena, discovery request or other
lawful process that is not accompanied by a court order if it receives
satisfactory assurance from the party seeking the request that the
requesting party has made a good faith attempt to provide written notice
to the individual that includes sufficient information about the
litigation or proceeding to permit the individual to raise an objection
to the court or administrative tribunal and that the time for the
individual to raise objections has elapsed (and that none were filed or
all have been resolved). Covered entities may make reasonable efforts to
provide such notice as well.
In certain instances, however, the final rule permits covered entities
to disclose protected health information for judicial and administrative
proceedings without notice to the individual if the party seeking the
request has made reasonable efforts to seek a qualified protective
order, as described in the rule. A covered entity may also make
reasonable efforts to seek a qualified protective order in order to make
the disclosure. Additionally, a covered entity may disclose protected
health information for judicial and administrative proceedings in
response to an order of a court or administrative tribunal provided that
the disclosure is limited to only that information that is expressly
authorized by the order. The Secretary believes notice is not necessary
in these instances because a court or administrative tribunal is in the
best position to evaluate the merits of the arguments of the party
seeking disclosure and the party who seeks to block it before it issues
the order and that imposing further procedural obstacles before a
covered entity may honor that disclosure request is unnecessary.
*Comment:* Many commenters urged the Secretary to require specific
criteria for court and administrative orders. Many of these commenters
proposed that a provision be added to the rule that would require court
and administrative orders to safeguard the disclosure and use of
protected health information. These commenters urged that the
information sought must be relevant and material, as specific and
narrowly drawn as reasonably practicable, and only disclosed if
de-identified information could not reasonably be used.
*Response:* The Secretary's authority is limited to covered entities.
Therefore, we do not impose requirements on courts and administrative
tribunals. However, we note that the final rule limits the permitted
disclosures by covered entities in court or administrative proceedings
to only that information which is specified in the order from a court or
an administrative body should provide a degree of protection for
individuals from unnecessary disclosure.
*Comment:* Several commenters asked that the "minimum necessary"
standard not apply to disclosures made pursuant to a court order because
individuals could then use the rule to contest the scope of discovery
requests. However, many other commenters recommended that the rule
permit disclosure only of information "reasonably necessary" to respond
to a subpoena. These commenters raised concerns with applying the
"minimum necessary" standard in judicial and administrative proceedings,
but did not believe the holder of protected health information should
have blanket authority to disclose all protected health information.
Some of the commenters urged that disclosure of any information about
third parties that may be included in the medical records of another
person -- for example, the HIV status of a partner - be prohibited.
Finally, some commenters disagreed with the proposed rule because it did
not require covered entities to evaluate the validity of subpoenas and
discovery requests to determine whether these requests ask for the
"minimum necessary" or "reasonably necessary" amount of information.
*Response*: Under the final rule, if the disclosure is pursuant to an
order of a court or administrative tribunal, covered entities may
disclose only the protected health information expressly authorized by
the order. In these instances, a covered entity is not required to make
a determination whether or not the order might otherwise meet the
minimum necessary requirement.
If the disclosure is pursuant to a satisfactory assurance from the party
seeking the disclosure, at least a good faith attempt has been made to
notify the individual in writing of the disclosure before it is made or
a the parties have sought a qualified protective order that prohibits
them from using or disclosing the protected health information for any
purpose of than the litigation or proceeding for which the information
was requested and that the information will be returned to the covered
entity or destroyed at the end of the litigation or the proceeding.
Alternatively, the covered entity may seek such notice or qualified
protective order itself. This approach provides the individual with
protections and places the burden on the parties to resolve their
differences about the appropriateness and scope of disclosure as part of
the judicial or administrative procedure itself before the order is
issued, rather than requiring the covered entity to get involved in
evaluating the merits of the dispute in order to determine whether or
not the particular request is appropriate or too broad. In these cases,
the covered entity must disclose only the protected health information
that is the minimum amount necessary to achieve the purpose for which
the information is sought.
We share the concern of the commenters that covered entities should
redact any information about third parties before disclosing an
individual's protected health information. During the fact-finding stage
of our consideration of revisions to the proposed rule, we discussed
this issue with representatives of covered entities. Currently,
information about third parties is sometimes redacted by medical records
personnel responding to requests for information. In particular,
information regarding HIV status is treated with special sensitivity by
these professionals. Although we considered including a special
provision in the final rule prohibiting such disclosure, we decided that
the revisions made to the proposed rule would provide sufficient
protection. By restricting disclosure of protected health information to
only that information specified in a court or administrative order or
released pursuant to other types of lawful process only if the
individual had notice and an opportunity to object or if the information
was subject to a protective order, individuals who are concerned about
disclosure of information concerning third parties will have the
opportunity to raise that issue prior to the request for disclosure
being presented to the covered entity. We are reluctant to put the
covered entity in the position of having to resolve disputes concerning
the type of information that may be disclosed when that dispute should
more appropriately be settled through the judicial or administrative
procedure itself.
*Comment:* One commenter asked that the final regulation clarify that a
court order is not required when disclosure would otherwise be permitted
under the rule. This commenter noted that the preamble states that the
requirement for a court order would not apply if the disclosure would
otherwise be permitted under the rule. For example, disclosures of
protected health information pursuant to administrative, civil, and
criminal proceedings relating to "health oversight" are permitted, even
if no court or administrative orders have been issued. However, the
commenter was concerned that this principle only appeared in the
preamble and not in the rule itself.
*Response:* Section 164.512(e)(4) of the final regulation contains this
clarification.
*Comment:* One commenter was concerned that the rule is unclear as to
whether governmental entities are given a special right to "use"
protected health information that private parties do not have under the
proposed regulation or whether governmental entities that seek or use
protected health information are treated the same as private parties in
their use of such information. This commenter urged that we clarify our
intent regarding the use of protected health information by governmental
entities.
*Response:* Generally governmental entities are treated the same as
private entities under the rule. In a few clearly defined cases, a
special rule applies. For instance, under § 164.504(e)(3), when a
covered entity and its business associate are both governmental
entities, they may enter into a memorandum of understanding or adopt a
regulation with the force and effect of law that incorporates the
requirements of a business associate contract, rather than having to
negotiate a business associate contract itself.
*Comment:* One commenter recommended that final rule state that
information developed as part of a quality improvement or medical error
reduction program may not be disclosed under this provision. The
commenter explained that peer review information developed to identify
and correct systemic problems in delivery of care must be protected from
disclosure to allow a full discussion of the root causes of such events
so they may be identified and addressed. According to the commenter,
this is consistent with peer review protections afforded this
information by the states.
*Response*: The question of whether or not such information should be
protected is currently the subject of debate in Congress and in the
states. It would be premature for us to adopt a position on this issue
until a clear consensus emerges. Under the final rule, no special
protection against disclosure is provided for peer review information of
the type the commenter describes. However, unless the request for
disclosure fits within one of the categories of permitted or required
disclosures under the regulation, it may not be disclosed. For instance,
if disclosure of peer review information is required by another law
(such as Medicare or a state law), covered entities subject to that law
may disclose protected health information consistent with the law.
*Comment*: One commenter stated that the requirements of this section
are in conflict with Medicare contractor current practices, as defined
by the HCFA Office of General Counsel and suggested that the final rule
include more specific guidelines.
*Response:* Because the commenter failed to indicate the nature of these
conflicts, we are unable to respond.
*Comment*: One commenter stated that the rule should require rather than
permit disclosure pursuant to court orders.
*Response:* Under the statutory framework adopted by Congress in HIPAA,
a presumption is established that the data contained in an individual's
medical record belongs to the individual and must be protected from
disclosure to third parties. The only instance in which covered entities
holding that information [must]{.underline} disclose it is if the
individual requests access to the information himself or herself. In the
final rule (as in the proposed rule), covered entities [may]{.underline}
use or disclose protected health information under certain enumerated
circumstances, but are not required to do so. We do not believe that
this basic principle should be compromised merely because a court order
has been issued. Consistent with this principle, we provide covered
entities with the flexibility to deal with circumstances in which the
covered entity may have valid reasons for declining to release the
protected health information without violating this regulation.
*Comment:* One commenter noted that in some states, public health
records are not subject to discovery, and that the proposed rule would
not permit disclosure of protected health information pursuant to court
order or subpoena if the disclosure is not allowed by state law. The
commenter requested clarification as to whether a subpoena in a federal
civil action would require disclosure if a state law prohibiting the
release of public health records existed.
*Response:* As explained above, the final rule permits, but does not
require, disclosure of protected health information pursuant to a court
order. Under the applicable preemption provisions of HIPAA, state laws
relating to the privacy of medical information that are more stringent
than the federal rules are not preempted. To the extent that an
applicable state law precludes disclosure of protected health
information that would otherwise be permitted under the final rule,
state law governs.
*Comment:* A number of commenters expressed concern that the proposed
rule would negatively impact state and federal benefits programs,
particularly social security and workers' compensation. One commenter
requested that the final rule remove any possible ambiguity about
application of the rule to the Social Security Administration's (SSA)
evidence requests by permitting disclosure to all administrative level
of benefit programs. In addition, several commenters stated that
requiring SSA or states to provide the covered entity holding the
protected health information with an individual's consent before it
could disclose the information would create a huge administrative and
paperwork burden with no added value to the individual. In addition,
several other commenters indicated that states that make disability
determinations for SSA also support special accommodation for SSA's
determination process. They expressed concern that providers will
narrowly interpret the HIPAA requirements, resulting in significant
increases in processing time and program costs for obtaining medical
evidence (especially purchased consultative examinations when evidence
of record cannot be obtained). A few commenters were especially
concerned about the impact on states and SSA if the final rule were to
eliminate the NPRM's provision for a broad consent for "all evidence
from all sources."
Some commenters also note that it would be inappropriate for a provider
to make a minimum necessary determination in response to a request from
SSA because the provider usually will not know the legal parameters of
SSA's programs, or have access to the individual's other sources of
evidence. In addition, one commenter urged the Secretary to be sensitive
to these concerns about delay and other negative impacts on the timely
determination of disability by SSA for mentally impaired individuals.
*Response:* Under the final rule, covered entities may disclose
protected health information pursuant to an administrative order so the
flow of protected health information from covered entities to SSA and
the states should not be disrupted.
Although some commenters urged that special rules should be included for
state and federal agencies that need protected health information, the
Secretary rejects that suggestion because, wherever possible, the public
and the private sectors should operate under the same rules regarding
the disclosure of health information. To the extent the activities of
SSA constitute an actual administrative tribunal, covered entities must
follow the requirements of § 164.512(e), if they wish to disclose
protected health information to SSA in those circumstances. Not all
administrative inquiries are administrative tribunals, however. If SSA's
request for protected health information comes within another category
of permissible exemptions, a covered entity, following the requirements
of the applicable section, may disclose the information to SSA. For
example, if SSA seeks information for purposes of health oversight, a
covered entity that wishes to disclose the information to SSA may do so
under § 164.512(d) and not § 164.512(e). If the disclosure does not come
within one of the other permissible disclosures would a covered entity
need to meet the requirements of § 164.512(e). If the SSA request does
not come within another permissible disclosure, the agency will be
treated like anyone else under the rules.
The Secretary recognizes that even under current circumstances,
professional medical records personnel do not always respond
unquestioningly to an agency's request for health information. During
the fact finding process, professionals charged with managing provider
response to requests for protected health information indicated to us
that when an agency's request for protected health information is over
broad, the medical records professional will contact the agency and
negotiate a more limited request. In balancing the interests of
individuals against the need of governmental entities to receive
protected health information, we think that applying the minimum
necessary standard is appropriate and that covered entities should be
responsible for ensuring that they disclose only that protected health
information that is necessary to achieve the purpose for which the
information is sought.
*Comment:* In a similar vein, one commenter expressed concern that the
proposed rule would adversely affect the informal administrative process
usually followed in processing workers' compensation claims. Using
formal discovery is not always possible, because some programs do not
permit it. The commenter urged that the final rule must permit
administrative agencies, employers, and workers' compensation carriers
to use less formal means to obtain relevant medical evidence while the
matter is pending before the agency. This commenter asked that the rule
be revised to permit covered entities to disclose protected health
information without authorization for purposes of federal or state
benefits determinations at all levels of processing, from the initial
application through continuing disability reviews.
*Response:* If the disclosure is required by a law relating to workers'
compensation, a covered entity may disclose protected health information
as authorized by and to the extent necessary to comply with that law
under § 164.512(l). If the request for protected health information in
connection with a workers' compensation claim is part of an
administrative proceeding, a covered entity must meet the requirements
set forth in § 164.512(e), and discussed above, before disclosing the
information. As noted, one permissible manner by which a covered entity
may disclose protected health information under § 164.512(e) is if the
party seeking the disclosure makes reasonable efforts to provide notice
to the individual as required by this provision. Under this method, the
less formal process noted by the commenter would not be disturbed.
Covered entity may disclose protected health information in response to
other types of requests only as permitted by this regulation.
**Section 164.512(f)---Disclosures for Law Enforcement Purposes**
***General Comments on Proposed § 164.510(f)***
*Comment:* Some commenters argued that current law enforcement use of
protected health information was legitimate and important. These
commenters cited examples of investigations and prosecutions for which
protected health information is needed, from white collar insurance
fraud to violent assault, to provide incriminating evidence or to
exonerate a suspect, to determine what charges are warranted and for
bail decisions. For example, one commenter argued that disclosure of
protected health information for law enforcement purposes should be
exempt from the rule, because the proposed regulation would hamper Drug
Enforcement Administration investigations. A few commenters argued that
effective law enforcement requires early access to as much information
as possible, to rule out suspects, assess severity of criminal acts, and
for other purposes. A few commenters noted the difficulties criminal
investigators and prosecutors face when fighting complex criminal
schemes. In general, these commenters argued that all disclosures of
protected health information to law enforcement should be allowed, or
for elimination of the process requirements proposed in § 164.510(f)(1).
*Response:* The importance and legitimacy of law enforcement activities
are beyond question, and they are not at issue in this regulation. We
permit disclosure of protected health information to law enforcement
officials without authorization in some situations precisely because of
the importance of these activities to public safety. At the same time,
individuals' privacy interests also are important and legitimate. As
with all the other disclosures of protected health information permitted
under this regulation, the rules we impose attempt to balance competing
and legitimate interests.
*Comment:* Law enforcement representatives stated that law enforcement
agencies had a good track record of protecting patient privacy and that
additional restrictions on their access and use of information were not
warranted. Some commenters argued that no new limitations on law
enforcement access to protected health information were necessary,
because sufficient safeguards exist in state and federal laws to prevent
inappropriate disclosure of protected health information by law
enforcement.
*Response:* Disclosure of protected health information by law
enforcement is not at issue in this regulation. Law enforcement access
to protected health information in the first instance, absent any
re-disclosure by law enforcement, impinges on individuals' privacy
interests and must therefore be justified by a public purpose that
outweighs individuals' privacy interests.
We do not agree that sufficient safeguards already exist in this area.
We are not aware of, and the comments did not provide, evidence of a
minimum set of protections for individuals relating to access by law
enforcement to their protected health information. Federal and state
laws in this area vary considerably, as they do for other areas
addressed in this final rule. The need for standards in this area is no
less critical than in the other areas addressed by this rule.
*Comment:* Many commenters argued that no disclosures of protected
health information should be made to law enforcement (absent
authorization) without a warrant issued by a judicial officer after a
finding of probable cause. Others argued that a warrant or subpoena
should be required prior to disclosure of protected health information
unless the disclosure is for the purposes of identifying a suspect,
fugitive, material witness, or missing persons, as described in proposed
§ 164.510(f)(2). Some commenters argued that judicial review prior to
release of protected health information to law enforcement should be
required absent the exigent and urgent circumstances identified in the
NPRM in § 164.510(f)(3) and (5), or absent "a compelling need" or
similar circumstances.
*Response:* In the final rule, we attempt to match the level of
procedural protection for privacy required by this rule with the nature
of the law enforcement need for access, the existence of other
procedural protections, and individuals' privacy interests. Where other
rules already impose procedural protections, this rule generally relies
on those protections rather than imposing new ones. Thus, where access
to protected health information is granted after review by an
independent judicial officer (such as a court order or court-ordered
warrant, or a subpoena or summons issued by a judicial officer), no
further requirements are necessary. Similarly, because information
disclosed to a grand jury is vital to law enforcement purposes and is
covered by secrecy protection, this rule allows disclosure with no
further process.
We set somewhat stricter standards for disclosure of protected health
information pursuant to administrative process, such as administrative
subpoenas, summonses, and civil or authorized investigative demands. In
these cases, the level of existing procedural protections is lower than
for judicially-approved or grand jury disclosures. We therefore require
a greater showing, specifically, the three-part test described in §
164.512(f)(1)(ii), before the covered entity is permitted to release
protected health information. Where the information to be disclosed is
about the victim of a crime, privacy interests are heightened and we
require the victim's agreement prior to disclosure in most instances.
In the limited circumstances where law enforcement interests are
heightened, we allow disclosure of protected health information without
prior legal process or agreement, but we impose procedural protections
such as limits on the information that may lawfully be disclosed, limits
on the circumstances in which the information may be disclosed, and
requirements for verifying the identity and authority of the person
requesting the disclosures. For example, in some cases law enforcement
officials may seek limited but focused information needed to obtain a
warrant. A witness to a shooting may know the time of the incident and
the fact that the perpetrator was shot in the left arm, but not the
identity of the perpetrator. Law enforcement would then have a
legitimate need to ask local emergency rooms whether anyone had
presented with a bullet wound to the left arm near the time of the
incident. Law enforcement may not have sufficient information to obtain
a warrant, but instead would be seeking such information. In such cases,
when only limited identifying information is disclosed and the purpose
is solely to ascertain the identity of a person, the invasion of privacy
would be outweighed by the public interest. For such circumstances, we
allow disclosure of protected health information in response to a law
enforcement inquiry where law enforcement is seeking to identify a
suspect, fugitive, material witness, or missing person, but allow only
disclosure of a limited list of information.
Similarly, it is in the public interest to allow covered entities to
take appropriate steps to protect the integrity and safety of their
operations. Therefore, we permit covered entities on their own
initiative to disclose to law enforcement officials protected health
information for this purpose. However, we limit such disclosures to
protected health information that the covered entity believes in good
faith constitutes evidence of criminal conduct that occurred on the
premises of the covered entity.
We shape the rule's provisions with respect to law enforcement according
to the limited scope of our regulatory authority under HIPAA, which
applies only to the covered entities and not to law enforcement
officials. We believe the rule sets the correct standards for when an
exception to the rule of non-disclosure is appropriate for law
enforcement purposes. There may be advantages, however, to legislation
that applies the appropriate standards directly to judicial officers,
prosecutors in grand juries, and to those making administrative or other
requests for protected health information, rather than to covered
entities. These advantages could include measures to hold officials
accountable if they seek or receive protected health information
contrary to the legal standard. In Congressional consideration of law
enforcement access, there have also been useful discussions of other
topics, such as limits on re-use of protected health information
gathered in the course of health oversight activities. The limitations
on our regulatory authority provide additional reason to support
comprehensive medical privacy legislation.
*Comment:* A few commenters cited existing sanctions for law enforcement
officials who violate the rights of individuals in obtaining evidence,
ranging from suppression of that evidence to monetary penalties, and
argued that such sanctions are sufficient to protect patients' privacy
interests.
*Response:* After-the-fact sanctions are important, but they are
effective only when coupled with laws that establish the ground rules
for appropriate behavior. That is, a sanction applies only where some
other rule has been violated. This regulation sets such basic ground
rules. Further, under the HIPAA statutory authority, we cannot impose
sanctions on law enforcement officials or require suppression of
evidence. We must therefore rely on rules that regulate disclosure of
protected health information by covered entities in the first instance.
*Comment:* Several commenters argued that disclosure of protected health
information under § 164.510(f) should be mandatory, not just permitted.
Others argued that we should mandate disclosure of protected health
information in response to Inspector General subpoenas. A few commenters
argued that we should require all covered entities to include disclosure
of protected health information to law enforcement in their required
notice of privacy practices.
*Response:* The purpose of this regulation is to protect individuals'
privacy interests, consistent with other important public activities.
Other laws set the rules governing those public activities, including
when health information is necessary for their effective operation. See
discussion of § 164.512(a).
*Comment:* Some commenters questioned whether the Secretary had
statutory authority to directly or indirectly impose new procedural or
substantive requirements on otherwise lawful legal process issued under
existing federal and state rules. They argued that, while the provisions
are imposed on \"covered entities,\" the rule would result in law
enforcement officials being compelled to modify current practices to
harmonize them with the requirements this rule imposes on covered
entities. A number of state law enforcement agencies argued that the
rule would place new burdens on state administrative subpoenas and
requests that are intrusive in state functions. At least one commenter
argued that the requirement for prior process places unreasonable
restrictions on the right of the states to regulate law enforcement
activities.
*Response:* This rule regulates the ability of health care
clearinghouses, health plans, and covered health care providers to use
and disclose health information. It does not regulate the behavior of
law enforcement officials or the courts, nor does it prevent states from
regulating law enforcement officials. All regulations have some effects
on entities that are not directly regulated. We have considered those
effects in this instance and have determined that the provisions of the
rule are necessary to protect the privacy of individuals.
*Comment:* One commenter argued that state licensing boards should be
exempt from restrictions placed on law enforcement officials, because
state licensing and law enforcement are different activities.
*Response:* Each state's law determines what authorities are granted to
state licensing boards. Because state laws differ in this regard, we
cannot make a blanket determination that state licensing officials are
or are not law enforcement officials under this regulation. We note,
however, that the oversight of licensed providers generally is included
as a health oversight activity at § 164.512(d).
*Relationship to Existing Rules and Practices*
*Comment:* Many commenters expressed concern that the proposed rule
would have expanded current law enforcement access to protected health
information. Many commenters said that the NPRM would have weakened
their current privacy practices with respect to law enforcement access
to health records. For example, some of the commenters arguing that a
warrant or subpoena should be required prior to disclosure of protected
health information unless the disclosure is for the purposes of
identifying a suspect, fugitive, material witness, or missing persons,
did so because they believed that such a rule would be consistent with
current state law practices.
*Response:* This regulation does not expand current law enforcement
access to protected health information. We do not mandate any
disclosures of protected health information to law enforcement
officials, nor do we make lawful any disclosures of protected health
information which are unlawful under other rules and regulations.
Similarly, this regulation does not describe a set of "best practices."
Nothing in this regulation should cause a covered entity to change
practices that are more protective of privacy than the floor of
protections provided in this regulation.
This regulation sets forth the minimum practices which a covered entity
must undertake in order to avoid sanctions under the HIPAA. We expect
and encourage covered entities to exercise their judgment and
professional ethics in using and disclosing health information, and to
continue any current practices that provide privacy protections greater
than those mandated in this regulation.
*Comment:* Many commenters asserted that, today, consent or judicial
review always is required prior to release of protected health
information to law enforcement; therefore, they said that the proposed
rule would have lessened existing privacy protections.
*Response:* In many situations today, law enforcement officials lawfully
obtain health information absent any prior legal process and absent
exigent circumstances. The comments we received on the NPRM, both from
law enforcement and consumer advocacy groups, describe many such
situations. Moreover, this rule sets forth minimum privacy protections
and does not preempt more stringent, pre-existing standards.
*Comment:* Some commenters argued that health records should be entitled
to at least as much protection as cable subscription records and video
rental records.
*Response:* We agree. The Secretary, in presenting her initial
recommendations on the protection of health information to the Congress
in 1997, stated that, "When Congress looked at the privacy threats to
our credit records, our video records, and our motor vehicle records, it
acted quickly to protect them. It is time to do the same with our health
care records" (Testimony of Donna E. Shalala, Secretary, U. S.
Department of Health and Human Services, before the Senate Committee on
Labor & Human Resources, September 11, 1997). However, the limited
jurisdiction conferred on us by the HIPAA does not allow us to impose
such restrictions on law enforcement officials or the courts.
*Comment:* At least one commenter argued that the regulation should
allow current routine uses for law enforcement under the Privacy Act.
*Response:* This issue is discussed in the \"Relationship to Other
Federal Laws\" preamble discussion of the Privacy Act.
*Comment:* A few commenters expressed concern that people will be less
likely to provide protected health information for public health
purposes if they fear the information could be used for law enforcement
purposes.
*Response:* This regulation does not affect law enforcement access to
records held by public health authorities, nor does it expand current
law enforcement access to records held by covered entities. These
agencies are for the most part not covered entities under HIPAA.
Therefore, this regulation should not reduce current cooperation with
public health efforts.
*Relationship to Other Provisions of This Regulation*
*Comment:* Several commenters pointed out an unintended interaction
between proposed §§ 164.510(f) and 164.510(n). Because proposed §
164.510(n), allowing disclosures mandated by other laws, applied only if
the disclosure would not fall into one of the categories of disclosures
provided for in § 164.510 (b) - (m), disclosures of protected health
information mandated for law enforcement purposes by other law would
have been preempted.
*Response:* We agree, and in the final rule we address this unintended
interaction. It is not our intent to preempt these laws. To clarify the
interaction between these provisions, in the final rule we have
specifically added language to the paragraph addressing disclosures for
law enforcement that permits covered entities to comply with legal
mandates, and have included a specific cross reference in the provision
of the final rule that permits covered entities to make other
disclosures required by law. See § 164.512(a).
*Comment:* Several commenters argued that, when a victim of abuse or of
a crime has requested restrictions on disclosure, the restrictions
should be communicated to any law enforcement officials who receive that
protected health information.
*Response:* We do not have the authority to regulate law enforcement use
and disclosure of protected health information, and therefore we could
not enforce any such restrictions communicated to law enforcement
officials. For this reason, we determined that the benefits to be gained
from requiring communication of restrictions would not outweigh the
burdens such a requirement would place on covered entities. We expect
that professional ethics will guide health care providers'
communications to law enforcement officials about the welfare of victims
of abuse or other crime.
*Comment:* Some commenters argued against imposing the "minimum
necessary" requirement on disclosure of protected health information to
law enforcement officials. Some law enforcement commenters expressed
concern that the "minimum necessary" test could be "manipulated" by a
covered entity that wished to withhold relevant evidence. A number of
covered entities complained that they were ill-equipped to substitute
their judgment for that of law enforcement for what was the minimum
amount necessary, and they also argued that the burden of determining
the "minimum necessary"information should be transferred to law
enforcement agencies. Some commenters argued that imposing such
\"uninformed\" discretion on covered entities would delay or thwart
legitimate investigations, and would result in withholding information
that might exculpate an individual or might be necessary to present a
defendant's case. One comment suggested that covered entities have
"immunity" for providing too much information to law enforcement.
*Response:* The "minimum necessary" standard is discussed at § 164.514.
*Comment:* A few commenters asked us to clarify when a disclosure is for
a "Judicial or Administrative Proceeding" and when it is for "Law
Enforcement" purposes.
*Response:* In the final rule we have clarified that § 164.512(e)
relating to disclosures for judicial or administrative proceedings does
not supersede the authority of a covered entity to make disclosures
under other provisions of the rule.
*Use of Protected Health Information after Disclosure to Law
Enforcement*
*Comment:* Many commenters recommended that we restrict law enforcement
officials' re-use and re-disclosure of protected health information.
Some commenters asked us to impose such restrictions, while other
commenters noted that the need for such restrictions underscores the
need for legislation. Another argued for judicial review prior to
release of protected health information to law enforcement because this
regulation cannot limit further uses or disclosures of protected health
information once it is in the hands of law enforcement agencies.
*Response:* We agree that there are advantages to legislation that
imposes appropriate restrictions directly on the re-use and
re-disclosure of protected health information by many persons who may
lawfully receive protected health information under this regulation, but
whom we cannot regulate under the HIPAA legislative authority, including
law enforcement agencies.
*Comment:* A few commenters expressed concern that protected health
information about persons who are not suspects may be used in court and
thereby become public knowledge. These commenters urged us to take steps
to minimize or prevent such protected health information from becoming
part of the public record.
*Response:* We agree that individuals should be protected from
unnecessary public disclosure of health information about them. However,
we do not have the statutory authority in this regulation to require
courts to impose protective orders. To the extent possible within the
HIPAA statutory authority, we address this problem in § 164.512(e),
Judicial and Administrative Proceedings.
*Comment:* Some commenters argued that evidence obtained in violation of
the regulation should be inadmissible at trial.
*Response:* In this regulation, we do not have the authority to regulate
the courts. We can neither require nor prohibit courts from excluding
evidence obtain in violation of this regulation.
***Comments Regarding Proposed § 164.510(f)(1), Disclosures to Law
Enforcement Pursuant to Process***
*Comments Supporting or Opposing a Requirement of Consent or Court
Order*
*Comment:* Some commenters argued that a rule that required a court
order for every instance that law enforcement sought protected health
information would impose substantial financial and administrative
burdens on federal and state law enforcement and courts. Other
commenters argued that imposing a new requirement of prior judicial
process would compromise the time-sensitive nature of many
investigations.
*Response:* We do not impose such a requirement in this regulation.
*Comment:* Many commenters argued that proposed § 164.510(f)(1) would
have given law enforcement officials the choice of obtaining records
with or without a court order, and that law enforcement "will choose the
least restrictive means of obtaining records, those that do not require
review by a judge or a prosecutor." Several commenters argued that this
provision would have provided the illusion of barriers \-- but no real
barriers \-- to law enforcement access to protected health information.
A few argued that this provision would have allowed law enforcement to
regulate itself.
*Response:* We agree with commenters that, in some cases, a law
enforcement official may have discretion to seek health information
under more than one legal avenue. Allowing a choice in these
circumstances does not mean an absence of real limits. Where law
enforcement officials choose to obtain protected health information
through administrative process, they must meet the three-part test
required by this regulation.
*Comment:* At least one commenter argued for judicial review prior to
disclosure of health information because the rule will become the "*de
facto*" standard for release of protected health information.
*Response:* We do not intend for this regulation to become the "*de
facto*" standard for release of protected health information. Nothing in
this regulation limits the ability of states and other governmental
authorities to impose stricter requirements on law enforcement access to
protected health information. Similarly, we do not limit the ability of
covered entities to adopt stricter policies for disclosure of protected
health information not mandated by other laws.
*Comment*: A few commenters expressed concern that proposed §
164.510(f)(1) would have overburdened the judicial system.
*Response:* The comments did not provide any factual basis for
evaluating this concern.
*Comment:* Some commenters argued that, while a court order should be
required, the standard of proof should be something other than "probable
cause." For example, one commenter argued that the court should apply
the three-part test proposed in § 164.510(f)(1)(C). Another commenter
suggested a three-part test: the information is necessary, the need
cannot be met with non-identifiable information, and the need of law
enforcement outweighs the privacy interest of the patient. Some
commenters suggested that we impose a \"clear and convincing\" standard.
Another suggested that we require clear and convincing evidence that:
(1) the information sought is relevant and material to a legitimate
criminal investigation; (2) the request is as specific and narrow as is
reasonably practicable; (3) de-identified information, for example coded
records, could not reasonably be used; (4) on balance, the need for the
information outweighs the potential harm to the individuals and to
patient care generally; and (5) safeguards appropriate to the situation
have been considered and imposed. This comment also suggested the
following as such appropriate safeguard: granting only the right to
inspect and take notes; allowing copying of only certain portions of
records; prohibiting removing records from the premises; placing limits
on subsequent use and disclosure; and requiring return or destruction of
the information at the earliest possible time.) Others said the court
order should impose a "minimum necessary" standard.
*Response:* We have not revised the regulation in response to comments
suggesting that we impose additional standards relating to disclosures
to comply with court orders. Unlike administrative subpoenas, where
there is no independent review of the order, court orders are issued by
an independent judicial officer, and we believe that covered entities
should be permitted under this rule to comply with them. Court orders
are issued in a wide variety of cases, and we do not know what hardships
might arise by imposing standards that would require judicial officers
to make specific findings related to privacy.
*Comment:* At least one commenter argued that the proposed rule would
have placed too much burden on covered entities to evaluate whether to
release information in response to a court order. This comment suggested
that the regulation allow disclosure to attorneys for assessment of what
the covered entity should release in response to a court order.
*Response:* This regulation does not change current requirements on or
rights of covered entities with respect to court orders for the release
of health information. Where such disclosures are required today, they
continue to be required under this rule. Where other law allows a
covered entity to challenge a court order today, this rule will not
reduce the ability of a covered entity to mount such a challenge. Under
§ 164.514, a covered entity will be permitted to rely on the face of a
court order to meet this rule's requirements for verification of the
legal authority of the request for information. A covered entity may
disclose protected health information to its attorneys as needed, to
perform health care operations, including to assess the covered entity's
appropriate response to court orders. See definition of "health care
operations" under § 164.501.
*Comment:* Many commenters argued that the regulation should prohibit
disclosures of protected health information to law enforcement absent
patient consent.
*Response:* We disagree with the comment. Requiring consent prior to any
release of protected health information to a law enforcement official
would unduly jeopardize public safety. Law enforcement officials need
protected health information for their investigations in a variety of
circumstances. The medical condition of a defendant could be relevant to
whether a crime was committed, or to the seriousness of a crime. The
medical condition of a witness could be relevant to the reliability of
that witness. Health information may be needed from emergency rooms to
locate a fleeing prison escapee or criminal suspect who was injured and
is believed to have stopped to seek medical care.
These and other uses of medical information are in the public interest.
Requiring the authorization of the subject prior to disclosure could
make apprehension or conviction of some criminals difficult or
impossible. In many instances, it would not be possible to obtain such
consent, for example because the subject of the information could not be
located in time (or at all). In other instances, the covered entity may
not wish to undertake the burden of obtaining the consent. Rather than
an across-the-board consent requirement, to protect individuals' privacy
interests while also promoting public safety, we impose a set of
procedural safeguards (described in more detail elsewhere in this
regulation) that covered entities must ensure are met before disclosing
protected health information to law enforcement officials.
In most instances, such procedural safeguards consist of some prior
legal process, such as a warrant, grand jury subpoena, or an
administrative subpoena that meets a three-part test for protecting
privacy interests. When the information to be disclosed is about the
victim of a crime, privacy interests are heightened and we require the
victim's agreement prior to disclosure in most instances. In the limited
circumstances where law enforcement interests are heightened and we
allow disclosure of protected health information without prior legal
process or agreement, the procedural protections include limits on the
information that may lawfully be disclosed, the circumstances in which
the information may be disclosed, and requirements for verifying the
identity and authority of the person requesting the disclosures.
We also allow disclosure of protected health information to law
enforcement officials without consent when other law mandates the
disclosures. When such other law exists, another public entity has made
the determination that law enforcement interests outweigh the
individual's privacy interests in the situations described in that other
law, and we do not upset that determination in this regulation.
*Comment:* Several commenters recommended requiring that individuals
receive notice and opportunity to contest the validity of legal process
under which their protected health information will be disclosed, prior
to disclosure of their records to law enforcement. Some of these
commenters recommended adding this requirement to provisions proposed in
the NPRM, while others recommended establishing this requirement as part
of a new requirement for a judicial warrant prior to all disclosures of
protected health information to law enforcement. At least one of these
commenters proposed an exception to such a notice requirement where
notice might lead to destruction of the records.
*Response:* Above we discuss the reasons why we believe it is
inappropriate to require consent or a judicial order prior to any
release of protected health information to law enforcement. Many of
those reasons apply here, and they lead us not to impose such a notice
requirement.
*Comment:* A few commenters believed that the proposed requirements in §
164.510(f)(1) would hinder investigations under the Civil Rights for
Institutionalized Persons Act (CRIPA).
*Response:* We did not intend that provision to apply to investigations
under CRIPA, and we clarify in the final rule that covered entities may
disclose protected health information for such investigations under the
health oversight provisions of this regulation (see § 164.512(d) for
further detail).
*Comments Suggesting Changes to the Proposed Three-Part Test*
*Comment:* Many commenters argued for changes to the proposed three-part
test that would make the test more difficult to meet. Many of these
urged greater, but unspecified, restrictions. Others argued that the
proposed test was too stringent, and that it would have hampered
criminal investigations and prosecutions. Some argued that it was too
difficult for law enforcement to be specific at the beginning of an
investigation. Some argued that there was no need to change current
practices, and they asked for elimination of the three-part test because
it was "more stringent" than current practices and would make protected
health information more difficult to obtain for law enforcement
purposes. These commenters urged elimination of the three-part test so
that administrative bodies could continue current practices without
additional restrictions. Some of these argued for elimination of the
three-part test for all administrative subpoenas; others argued for
elimination of the three-part test for administrative subpoenas from
various Inspectors General offices. A few commenters argued that the
provisions in proposed § 164.510(f)(1) should be eliminated because they
would have burdened criminal investigations and prosecutions but would
have served "no useful public purpose."
*Response:* We designed the proposed three-part test to require proof
that the government's interest in the health information was
sufficiently important and sufficiently focused to overcome the
individual's privacy interest. If the test were weakened or eliminated,
the individual's privacy interest would be insufficiently protected. At
the same time, if the test were significantly more difficult to meet,
law enforcement's ability to protect the public interest could be unduly
compromised.
*Comment:* At least one comment argued that, in the absence of a
judicial order, protected health information should be released only
pursuant to specific statutory authority.
*Response:* It is impossible to predict all the facts and circumstances,
for today and into the future, in which law enforcement's interest in
health information outweigh individuals' privacy interests. Recognizing
this, states and other governments have not acted to list all the
instances in which health information should be available to law
enforcement officials. Rather, they specify some such instances, and
rely on statutory, constitutional, and other limitations to place
boundaries on the activities of law enforcement officials. Since the
statutory authority to which the commenter refers does not often exist,
many uses of protected health information that are in the public
interest (described above in more detail) would not be possible under
such an approach.
*Comment:* At least one commenter, an administrative agency, expressed
concern that the proposed rule would have required its subpoenas to be
approved by a judicial officer.
*Response:* This rule does not require judicial approval of
administrative subpoenas. Administrative agencies can avoid the need for
judicial review under this regulation by issuing subpoenas for protected
health information only where the three-part test has been met.
*Comment:* Some commenters suggested alternative requirements for law
enforcement access to protected health information. A few suggested
replacing the three-part test with a requirement that the request for
protected health information from law enforcement be in writing and
signed by a supervisory official, and/or that the request "provide
enough information about their needs to allow application of the minimum
purpose rule."
*Response:* A rule requiring only that the request for information be in
writing and signed fails to impose appropriate substantive standards for
release of health information. A rule requiring only sufficient
information for the covered entity to make a "minimum necessary"
determination would leave these decisions entirely to covered entities'
discretion. We believe that protection of individuals' privacy interests
must start with a minimum floor of protections applicable to all. We
believe that while covered entities may be free to provide additional
protections (within the limits of the law), they should not have the
ability to allow unjustified access to health information.
*Comment:* Some commenters argued that the requirement for an
unspecified \"finding\" for a court order should be removed from the
proposed rule, because it would have been confusing and would have
provided no guidance to a court as to what finding would be sufficient.
*Response:* We agree that the requirement would have been confusing, and
we delete this language from the final regulation.
*Comment:* A few commenters argued that the proposed three-part test
should not be applied where existing federal or state law established a
standard for issuing administrative process.
*Response:* It is the content of such a standard, not its mere
existence, that determines whether the standard strikes an appropriate
balance between individuals' privacy interests and the public interest
in effective law enforcement activities. We assume that current
authorities to issue administrative subpoena are all subject to some
standards. When an existing standard provides at least as much
protection as the three-part test imposed by this regulation, the
existing standard is not disturbed by this rule. When, however, an
existing standard for issuing administrative process provides less
protection, this rule imposes new requirements.
*Comment:* Some covered entities said that they should not have been
asked to determine whether the proposed three-part test has been met.
Some argued that they were ill-equipped to make a judgment on whether an
administrative subpoena actually met the three-part test, or that it was
unfair to place the burden of making such determinations on covered
entities. Some argued that the burden should have been on law
enforcement, and that it was inappropriate to shift the burden to
covered entities. Other commenters argued that the proposal would have
given too much discretion to the record holders to withhold evidence
without having sufficient expertise or information on which to make such
judgments. At least one comment said that this aspect of the proposal
would have caused delay and expense in the detection and prevention of
health care fraud. The commenter believed that this delay and expense
could be prevented by shifting to law enforcement and health care
oversight the responsibility to determine whether standards have been
met.
At least one commenter recommended eliminating the three-part test for
disclosures of protected health information by small providers.
Some commenters argued that allowing covered entities to rely on law
enforcement representation that the three-part test has been met would
render the test meaningless.
*Response:* Because the statute does not bring law enforcement officials
within the scope of this regulation, the rule must rely on covered
entities to implement standards that protect individuals' privacy
interests, including the three-part test for disclosure pursuant to
administrative subpoenas. To reduce the burden on covered entities, we
do not require a covered entity to second-guess representations by law
enforcement officials that the three part test has been met. Rather, we
allow covered entities to disclose protected health information to law
enforcement when the subpoena or other administrative request indicates
on its face that the three-part test has been met, or where a separate
document so indicates. Because we allow such reliance, we do not believe
that it is necessary or appropriate to reduce privacy protections for
individuals who obtain care from small health care providers.
*Comment:* Some commenters ask for modification of the three-part test
to include a balancing of the interests of law enforcement and the
privacy of the individual, pointing to such provisions in the
Leahy-Kennedy bill.
*Response:* We agree with the comment that the balancing of these
interests is important in this circumstance. We designed the
regulation's three-part test to accomplish that result.
*Comment:* At least one commenter recommended that "relevant and
material" be changed to "relevant," because "relevant" is a term at the
core of civil discovery rules and is thus well understood, and because
it would be difficult to determine whether information is "material"
prior to seeing the documents. As an alternative, this commenter
suggested explaining what we meant by "material."
*Response:* Like the term "relevant," the term "material" is commonly
used in legal standards and well understood.
*Comment:* At least one commenter suggested deleting the phrase
"reasonably practical" from the second prong of the test, because, the
commenter believed, it was not clear who would decide what is
"reasonably practical" if the law enforcement agency and covered entity
disagreed.
*Response:* We allow covered entities to rely on a representation on the
face of the subpoena that the three-part test, including the "reasonably
practical" criteria, is met. If a covered entity believes that a
subpoena is not valid, it may challenge that subpoena in court just as
it may challenge any subpoena that today it believes is not lawfully
issued. This is true regardless of the specific test that a subpoena
must meet, and is not a function of the "reasonably practical" criteria.
*Comment:* Some commenters requested elimination of the third prong of
the test. One of these commenters suggested that the regulation should
specify when de-identified information could not be used. Another
recommended deleting the phrase "could not reasonably be used" from the
third prong of the test, because the commenter believed it was not clear
who would determine whether de-identified information "could reasonably
be used" if the law enforcement agency and covered entity disagreed.
*Response:* We cannot anticipate in regulation all the facts and
circumstances surrounding every law enforcement activity today, or in
the future as technologies change. Such a rigid approach could not
account for the variety of situations faced by covered entities and law
enforcement officials, and would become obsolete over time. Thus, we
believe it would not be appropriate to specify when de-identified
information can or cannot be used to meet legitimate law enforcement
needs.
In the final rule, we allow the covered entity to rely on a
representation on the face of the subpoena (or similar document) that
the three-part test, including the "could not reasonably be used"
criteria, is met. If a covered entity believes that a subpoena is not
valid, it may challenge that subpoena in court just as it may challenge
today any subpoena that it believes is not lawfully issued. This is true
regardless of the specific test that a subpoena must meet, and it is not
a function of the "could not reasonably be used" criteria.
***Comments Regarding Proposed § 164.510(f)(2), Limited Information for
Identifying Purposes***
*Comment:* A number of commenters recommended deletion of this
provision. These commenters argued that the legal process requirements
in proposed § 164.510(f)(1) should apply when protected health
information is disclosed for identification purposes. At least one
privacy group recommended that if the provision were not eliminated in
its entirety, "suspects" should be removed from the list of individuals
whose protected health information may be disclosed for identifying
purposes. Many commenters expressed concern that this provision would
allow
compilation of large data bases of health information that could be use
for purposes beyond those specified in this provision.
*Response:* We retain this provision in the final rule. We continue to
believe that identifying fugitives, material witnesses, missing persons,
and suspects is an important national priority and that allowing
disclosure of limited identifying information for this purpose is in the
public interest. Eliminating this provision -- or eliminating suspects
from the list of types of individuals about whom disclosure of protected
health information to law enforcement is allowed -- would impede law
enforcement agencies' ability to apprehend fugitives and suspects and to
identify material witnesses and missing persons. As a result, criminals
could remain at large for longer periods of time, thereby posing a
threat to public safety, and missing persons could be more difficult to
locate and thus endangered.
However, as described above and in the following paragraphs, we make
significant changes to this provision, to narrow the information that
may be disclosed and make clear the limited purpose of the provision.
For example, the proposed rule did not state explicitly whether covered
entities would have been allowed to initiate -- in the absence of a
request from law enforcement -- disclosure of protected health
information to law enforcement officials for the purpose of identifying
a suspect, fugitive, material witness or missing person. In the final
rule, we clarify that covered entities may disclose protected health
information for identifying purposes only in response to a request by a
law enforcement official or agency. A "request by a law enforcement
official or agency" is not limited to direct requests, but also includes
oral or written requests by individuals acting on behalf of a law
enforcement agency, such as a media organization broadcasting a request
for the public's assistance in identifying a suspect on the evening
news. It includes "Wanted" posters, public announcements, and similar
requests to the general public for assistance in locating suspects or
fugitives.
*Comment:* A few commenters recommended additional restrictions on
disclosure of protected health information for identification purposes.
For example, one commenter recommended that the provision should either
(1) require that the information to be disclosed for identifying
purposes be relevant and material to a legitimate law enforcement
inquiry and that the request be as specific and narrowly drawn as
possible; or (2) limit disclosures to circumstances in which (a) a crime
of violence has occurred and the perpetrator is at large, (b) the
perpetrator received an injury during the commission of the crime, (c)
the inquiry states with specificity the type of injury received and the
time period during which treatment would have been provided, and (d)
"probable cause" exists to believe the perpetrator received treatment
from the provider.
*Response:* We do not agree that these additional restrictions are
appropriate for disclosures of limited identifying information for
purposes of locating or identifying suspects, fugitives, material
witnesses or missing persons. The purpose of this provision is to permit
law enforcement to obtain limited time-sensitive information without the
process requirements applicable to disclosures for other purposes. Only
limited information may be disclosed under this provision, and
disclosure is permitted only in limited circumstances. We believe that
these safeguards are sufficient, and that creating additional
restrictions would undermine the purpose of the provision and that it
would hinder law enforcement's ability to obtain essential,
time-sensitive information.
*Comment:* A number of law enforcement agencies recommended that the
provision in the proposed rule be broadened to permit disclosure to law
enforcement officials for the purpose of "locating" as well as
"identifying" a suspect, fugitive, material witness or missing person.
*Response:* We agree with the comment and have changed the provision in
the final rule. We believe that locating suspects, fugitives, material
witnesses and missing persons is an important public policy priority,
and that it can be critical to identifying these individuals. Further,
efforts to locate suspects, fugitives, material witnesses, and missing
persons can be at least as time-sensitive as identifying such
individuals.
*Comment:* Several law enforcement agencies requested that the provision
be broadened to permit disclosure of additional pieces of identifying
information, such as ABO blood type and Rh factor, DNA information,
dental records, fingerprints, and/or body fluid and tissue typing,
samples and analysis. These commenters stated that additional
identifying information may be necessary to permit identification of
suspects, fugitives, material witnesses or missing persons. On the other
hand, privacy and consumer advocates, as well as many individuals, were
concerned that this section would allow all computerized medical records
to be stored in a large law enforcement data base that could be scanned
for matches of blood, DNA, or other individually identifiable
information.
*Response:* The final rule seeks to strike a balance in protecting
privacy and facilitating legitimate law enforcement inquiries.
Specifically, we have broadened the NPRM's list of data elements that
may be disclosed pursuant to this section, to include disclosure of ABO
blood type and rh factor for the purpose of identifying or locating
suspects, fugitives, material witnesses or missing persons. We agree
with the commenters that these pieces of information are important to
law enforcement investigations and are no more invasive of privacy than
the other pieces of protected health information that may be disclosed
under this provision.
However, as explained below, protected health information associated
with DNA and DNA analysis; dental records; or typing, samples or
analyses of tissues and bodily fluids other than blood (e.g., saliva)
cannot be disclosed for the location and identification purposes
described in this section. Allowing disclosure of this information is
not necessary to accomplish the purpose of this provision, and would be
substantially more intrusive into individuals' privacy. In addition, we
understand commenters' concern about the potential for such information
to be compiled in law enforcement data bases. Allowing disclosure of
such information could make individuals reluctant to seek care out of
fear that health information about them could be compiled in such a data
base.
*Comment:* Many commenters argued that proposed § 164.510(f)(2) should
be deleted because it would permit law enforcement to engage in "fishing
expeditions" or to create large data bases that could be searched for
suspects and others.
*Response:* Some of this fear may have stemmed from the inclusion of the
phrase "other distinguishing characteristic" -- which could be construed
broadly -- in the list of items that could have been disclosed pursuant
to this section. In the final rule, we delete the phrase "other
distinguishing characteristic" from the list of items that can be
disclosed pursuant to § 164.512(f)(2). In its place, we allow disclosure
of a description of distinguishing physical characteristics, such as
scars, tattoos, height, weight, gender, race, hair and eye color, and
the presence or absence of facial hair such as a beard or moustache. We
believe that such a change, in addition to the changes described in the
paragraph above, responds to commenters' concern that the NPRM would
have allowed creation of a government data base of personal identifying
information. Further, this modification provides additional guidance to
covered entities regarding the type of information that may be disclosed
under this provision.
*Comment:* At least one commenter recommended removing social security
numbers (SSNs) from the list of items that may be disclosed pursuant to
proposed § 164.510(f)(2). The commenter was concerned that including
SSNs in the (f)(2) list would cause law enforcement agencies to demand
that providers collect SSNs. In addition, the commenter was concerned
that allowing disclosure of SSNs could lead to theft of identity by
unscrupulous persons in policy departments and health care
organizations.
*Response:* We disagree. We believe that on balance, the potential
benefits from use of SSNs for this purpose outweigh the potential
privacy intrusion from such use of SSNs. For example, SSNs can help law
enforcement officials identify suspects are using aliases.
***Comments Regarding Proposed § 164.510(f)(3), Information About a
Victim of Crime or Abuse***
*Comment:* Some law enforcement organizations expressed concern that
proposed § 164.510(f)(3) could inhibit compliance with state mandatory
reporting laws.
*Response:* We recognize that the NPRM could have preempted such state
mandatory reporting laws, due to the combined impact of proposed §§
164.510(m) and 164.510(f). As explained in detail in § 164.512(a) above,
we did not intend that result, and we modify the final rule to make
clear that this rule does not preempt state mandatory reporting laws.
*Comment:* Many commenters, including consumer and provider groups,
expressed concern that allowing covered entities to disclose protected
health information without authorization to law enforcement regarding
victims of crime, abuse, and other harm could endanger victims,
particularly victims of domestic violence, who could suffer further
abuse if their abuser learned that the information had been reported.
Provider groups also expressed concern about undermining
provider-patient relationships. Some law enforcement representatives
noted that in many cases, health care providers' voluntary reports of
abuse or harm can be critical for the successful prosecution of violent
crime. They argued, that by precluding providers from voluntarily
reporting to law enforcement evidence of potential abuse, the proposed
rule could make it more difficult to apprehend and prosecute criminals.
*Response:* We recognize the need for heightened sensitivity to the
danger facing victims of crime in general, and victims of domestic abuse
or neglect in particular. As discussed above, the final rule includes a
new section (§ 164.512(c)) establishing strict conditions for disclosure
of protected health information about victims of abuse, neglect, and
domestic violence.
Victims of crime other than abuse, neglect, or domestic violence can
also be placed in further danger by disclosure of protected health
information relating to the crime. In § 164.512(f)(3) of the final rule,
we establish conditions for disclosure of protected health information
in these circumstances, and we make significant modifications to the
proposed rule's provision for such disclosures. Under the final rule,
unless a state or other government authority has enacted a law requiring
disclosure of protected health information about a victim to law
enforcement officials, in most instances, covered entities must obtain
the victim's agreement before disclosing such information to law
enforcement officials. This requirement gives victims control over
decision making about their health information where their safety could
be at issue, helps promote trust between patients and providers, and is
consistent with health care providers' ethical obligation to seek
patient authorization whenever possible before disclosing protected
health information.
At the same time, the rule strikes a balance between protecting victims
and providing law enforcement access to information about potential
crimes that cause harm to individuals, by waiving the requirement for
agreement in two situations. In allowing covered entities to disclose
protected health information about a crime victim pursuant to a state or
other mandatory reporting law, we defer to other governmental bodies'
judgments on when certain public policy objectives are important enough
to warrant mandatory disclosure of protected health information to law
enforcement. While some mandatory reporting laws are written more
broadly than others, we believe that it is neither appropriate nor
practicable to distinguish in federal regulations between what we
consider overly broad and sufficiently focused mandatory reporting laws.
The final rule waives the requirement for agreement if the covered
entity is unable to obtain the individual's agreement due to incapacity
or other emergency circumstance, and (1) the law enforcement official
represents that the information is needed to determine whether a
violation of law by a person other than the victim has occurred and the
information is not intended to be used against the victim; (2) the law
enforcement official represents that immediate law enforcement activity
that depends on the disclosure would be materially and adversely
affected by waiting until the individual is able to agree to the
disclosure; and (3) the covered entity determines, in the exercise of
professional judgment, that the disclosure is in the individual's best
interests. By allowing covered entities, in the exercise of professional
judgment, to determine whether such disclosures are in the individual's
best interests, the final rule recognizes the importance of the
provider-patient relationship.
In addition, the final rule allows covered entities to initiate
disclosures of protected health information about victims without the
victim's permission to law enforcement officials only if such disclosure
is required under a state mandatory reporting law. In other
circumstances, plans and providers may disclose protected health
information only in response to a request from a law enforcement
official. We believe that such an approach recognizes the importance of
promoting trust between victims and their health care providers. If
providers could initiate reports of victim information to law
enforcement officials absent a legal reporting mandate, victims may
avoid give their providers health information that could facilitate
their treatment, or they may avoid seeking treatment completely.
*Comment:* Many commenters believed that access to medical records
pursuant to this provision should occur only after judicial review.
Others believed that it should occur only with patient consent or after
notifying the patient of the disclosure to law enforcement. Similarly,
some commenters said that the minimum necessary standard should apply to
this provision, and they recommended restrictions on law enforcement
agencies' re-use of the information.
*Response:* As discussed above, the final rule generally requires
individual agreement as a condition for disclosure of a victim's health
information; this requirement provides greater privacy protection and
individual control than would a requirement for judicial review. We also
discuss above the situations in which this requirement for agreement may
be waived, and why that is appropriate. The requirement that covered
entities disclose the minimum necessary protected health information
consistent with the purpose of the disclosure applies to disclosures of
protected health information about victims to law enforcement, unless
the disclosure is required by law. (See § 164.514 for more detail on the
requirements for minimum necessary use and disclosure of protected
health information.) As described above, HIPAA does not provide
statutory authority for HHS to regulate law enforcement agencies' re-use
of protected health information that they obtain pursuant to this rule.
*Comment:* A few commenters expressed concern that the NPRM would not
have required law enforcement agencies' requests for protected health
information about victims to be in writing. They believed that written
requests could promote clarity in law enforcement requests, as well as
greater accountability among law enforcement officials seeking
information.
*Response:* We do not impose this requirement in the final rule. We
believe that such a requirement would not provide significant new
protection for victims and would unduly impede the completion of
legitimate law enforcement investigations.
*Comment:* A provider group was concerned that it would be difficult for
covered entities to evaluate law enforcement officials' claims that
information is needed and that law enforcement activity may be
necessary. Some comments from providers and individuals expressed
concern that the proposed rule would have provided open-ended access by
law enforcement to victims' medical records because of this difficulty
in evaluating law enforcement claims of their need for the information.
*Response:* We modify the NPRM in several ways that reduce covered
entities' decisionmaking burdens. The final rule clarifies that covered
entities may disclose protected health information about a victim of
crime where a report is required by state or other law, and it requires
the victim's agreement for disclosure in most other instances. The
covered entity must make the decision whether to disclose only in
limited circumstances: when there is no mandatory reporting law; or when
the victim is unable to provide agreement and the law enforcement
official represents that: the protected health information is needed to
determine whether a violation of law by a person other than the victim
has occurred, that the information will not be used against the victim,
and that immediate law enforcement activity that depends on such
information would be materially and adversely affected by waiting until
the individual is able to agree to the disclosure. In these
circumstances, we believe it is appropriate to rely on the covered
entity, in the exercise of professional judgment, to determine whether
the disclosure is in the individual's best interests. Other sections of
this rule allow covered entities to reasonably rely on certain
representations by law enforcement officials (see § 164.514, regarding
verification,) and require disclosure of the minimum necessary protected
health information for this purpose. Together, these provisions do not
allow open-ended access or place undue responsibility on providers.
***Comments Regarding Proposed § 164.510(f)(4), Intelligence and
National Security Activities***
In the final rule, we recognize that disclosures for intelligence and
national security activities do not always involve law enforcement.
Therefore, we delete the provisions of proposed § 164.510(f)(4), and we
address disclosures for intelligence and national security activities in
§ 164.512(k), on uses and disclosures for specialized government
functions. Comments and responses on these issues are included below, in
the comments for that section.
***Comments Regarding Proposed § 164.510(f)(5), Health Care Fraud,
Crimes on the Premises, and Crimes Witnessed by the Covered Entity's
Workforce***
*Comment:* Many commenters noted that proposed § 164.510(f)(5)(i), which
covered disclosures for investigations and prosecutions of health care
fraud, overlapped with proposed § 164.510(c) which covered disclosures
for health oversight activities.
*Response:* As discussed more fully in § 164.512(d) of this preamble,
above, we agree that proposed § 164.510(f)(5)(i) created confusion
because all disclosures covered by that provision were already permitted
under proposed § 164.510(c) without prior process. In the final rule,
therefore, we delete proposed § 164.510(f)(5)(i).
*Comment:* One commenter was concerned the proposed provision would not
have allowed an emergency room physician to report evidence of abuse
when the suspected abuse had not been committed on the covered entity's
premises.
*Response:* Crimes on the premises are only one type of crime that
providers may report to law enforcement officials. The rules for
reporting evidence of abuse to law enforcement officials are described
in § 164.512(c) of the rule, and described in detail in § 164.512(c) of
the preamble. An emergency room physician may report evidence of abuse
if the conditions in § 164.512(c) are met, regardless of where the abuse
occurred.
*Comment:* One commenter argued that covered entities should be
permitted to disclose information that "indicates the potential
existence" of evidence, not just information that "constitutes evidence"
of crimes on the premises or crimes witnessed by a member of the covered
entity's workforce.
*Response:* We agree that covered entities should not be required to
guess correctly whether information will be admitted to court as
evidence. For this reason, we include a good-faith standard in this
provision. Covered entities may disclose information that it believes in
good faith constitutes evidence of a crime on the premises. If the
covered entity discloses protected health information in good faith but
is wrong in its belief that the information is evidence of a violation
of law, the covered entity will not be subject to sanction under this
regulation.
**Section 164.512(g)---Uses and Disclosures about Decedents**
***Coroners and Medical Examiners***
*Comment:* We received several comments, for example, from state and
county health departments, a private foundation, and a provider
organization, in support of the NPRM provision allowing disclosure
without authorization to coroners and medical examiners.
*Response:* The final rule retains the NPRM's basic approach to
disclosure of coroners and medical examiners. It allows covered entities
to disclose protected health information without authorization to
coroners and medical examiners, for identification of a deceased person,
determining cause of death, or other duties authorized by law.
*Comment:* In the preamble to the NPRM, we said we had considered but
rejected the option of requiring covered entities to redact from
individuals' medical records any information identifying other persons
before disclosing the record to a coroner or medical examiner. We
solicited comment on whether health care providers routinely identify
other persons specifically in an individual's medical record and if so,
whether in the final rule we should require health care providers to
redact information about the other person before providing it to a
coroner or medical examiner.
A few commenters said that medical records typically do not include
information about persons other than the patient. One commenter said
that patient medical records occasionally reference others such as
relatives or employers. These commenters recommended requiring redaction
of such information in any report sent to a coroner or medical examiner.
On the other hand, other commenters said that redaction should not be
required. These commenters generally based their recommendation on the
burden and delay associated with redaction. In addition to citing the
complexity and time involved in redaction of medical records provided to
coroners, one commenter said that health plans and covered health care
providers were not trained to determine the identifiable information
necessary for coroners and medical examiners to do thorough
investigations. Another commenter said that redaction should not be
required because coroners and medical examiners needed some additional
family information to determine what would be done with the deceased
after their post-mortem investigation is completed.
*Response:* We recognize the burden associated with redacting medical
records to remove the names of persons other than the patient. In
addition, as stated in the preamble to the NPRM, we recognize that there
is a limited time period after death within which an autopsy must be
conducted. We believe that the delay associated with this burden could
make it impossible to conduct a post-mortem investigation within the
required time frame. In addition, we agree that health plans and covered
health care providers may lack the training necessary to determine the
identifiable information necessary for coroners and medical examiners to
do thorough investigations. Thus, in the final rule, we do not require
health plans or covered providers to redact information about persons
other than the patient who may be identified in a patient's medical
record before disclosing the record to a coroner or medical examiner.
*Comment:* One commenter said that medical records sent to coroners and
medical examiners were considered their work product and thus were not
released from their offices to anyone else. The commenter recommended
that HHS establish regulations on how to dispose of medical records and
that we create a "no re-release" statement to ensure that individual
privacy is maintained without compromising coroners' or medical
examiners' access to protected health information. The organization said
that such a policy should apply regardless of whether the investigation
was civil or criminal.
*Response:* HIPAA does not provide HHS with statutory authority to
regulate coroners' or medical examiners' re-use or re-disclosure of
protected health information unless the coroner or medical examiner is
also a covered entity. However, we consistently have supported
comprehensive privacy legislation to regulate disclosure and use of
individually identifiable health information by all entities that have
access to it.
***Funeral Directors***
*Comment:* One commenter recommended modifying the proposed rule to
allow disclosure without authorization to funeral directors. To
accomplish this change, the commenter suggested either: (1) adding
another subsection to proposed § 164.510 of the NPRM, to allow
disclosure without authorization to funeral directors as needed to make
arrangements for funeral services and for disposition of a deceased
person's remains; or (2) revising proposed § 164.510(e) to allow
disclosure of protected health information to both coroners and funeral
directors. According to this commenter, funeral directors often need
certain protected health information for the embalming process, because
a person's medical condition may affect the way in which embalming is
performed. For example, the commenter noted, funeral directors
increasingly receive bodies after organ and tissue donation, which has
implications for funeral home staff duties associated with embalming.
*Response:* We agree with the commenter. In the final rule, we permit
covered entities to disclose protected health information to funeral
directors, consistent with applicable law, as necessary to carry out
their duties with respect to a decedent. When necessary for funeral
directors to carry out their duties, covered entities may disclose
protected health information prior to and in reasonable anticipation of
the individual's death.
*Comment:* One commenter recommended clarifying in the final rule that
it does not restrict law enforcement agencies' release of medical
information that many state records laws require to be reported, for
example, as part of autopsy reports. The commenter recommended stating
that law enforcement officials may independently gather medical
information, that such information would not be covered by these rules,
and that it would continue to be covered under applicable state and
federal access laws.
*Response:* HIPAA does not give HHS statutory authority to regulate law
enforcement officials' use or disclosure of protected health
information. As stated elsewhere, we continue to support enactment of
comprehensive privacy legislation to cover disclosure and use of all
individually identifiable health information.
*Comment:* One commenter recommended prohibiting health plans and
covered health care providers from disclosing psychotherapy notes to
coroners or medical examiners.
*Response:* We disagree with the commenter who asserted that
psychotherapy notes should only be used by or disclosed to coroners and
medical examiners with authorization. Psychotherapy notes are sometimes
needed by coroners and medical examiners to determine cause of death,
such as in cases where suicide is suspected as the cause of death. We
understand that several states require the disclosure of protected
health information, including psychotherapy notes, to medical examiners
and coroners. However, in the absence of a state law requiring such
disclosure, we do not intend to prohibit coroners or medical examiners
from obtaining the protected health information necessary to determine
an individual's cause of death.
**Section 164.512(h)---Uses and Disclosures for Organ Donation and
Transplantation Purposes**
*Comment:* Commenters noted that under the organ donation system,
information about a patient is disclosed before seeking consent for
donation from families. These commenters offered suggestions for
ensuring that the system could continue to operate without consent for
information sharing with organ procurement organizations and tissue
banks. Commenters suggested that organ and tissue procurement
organizations should be "covered entities" or that the procurement of
organs and tissues be included in the definition of health care
operations or treatment, or in the definition of emergency
circumstances.
*Response:* We agree that organ and tissue donation is a special
situation due to the need to protect potential donors' families from the
stress of considering whether their loved one should be a donor before a
determination has been made that donation would be medically suitable.
Rather than list the entities that are "covered entities" or modify the
definitions of health care operations and treatment or emergency
circumstances to explicitly include organ procurement organizations and
tissue banks, we have modified § 164.512 to permit covered entities to
use or disclose protected health information to organ procurement
organizations or other entities engaged in the procurement, banking, or
transplantation of cadaveric organs, eyes, or tissues.
*Comment:* Commenters asked that the rule clarify that organ procurement
organizations are health care providers but not business partners of the
hospitals.
*Response:* We agree that organ procurement organizations and tissue
banks are generally not business associates of hospitals.
**Disclosures and Uses for Government Health Data Systems**
*Comment:* We received a number of comments supporting the exception for
disclosure of protected health information to government health data
systems. Some supporters stated a general belief that the uses of such
information were important to improve and protect the health of the
public. Commenters said that state agencies used the information from
government health data systems to contribute to the improvement of the
health care system by helping prevent fraud and abuse and helping
improve health care quality, efficiency, and cost-effectiveness.
Commenters asserted that state agencies take action to ensure that data
they release based on these data systems do not identify individuals
We also received a large volume of comments opposed to the exception for
use and disclosure of protected health information for government health
data systems. Many commenters expressed general concern that the
provision threatened their privacy, and many believed that their health
information would be subject to abuse by government employees.
Commenters expressed concern that the provision would facilitate
collection of protected health information in one large, centralized
government health database that could threaten privacy. Others argued
that the proposed rule would facilitate law enforcement access to
protected health information and could, in fact, become a database for
law enforcement use.
Many commenters asserted that this provision would make individuals
concerned about confiding in their health care providers. Some
commenters argued that the government should not be allowed to collect
individually identifiable health information without patient consent,
and that the government could use de-identified data to perform the
public policy analyses. Many individual commenters said that HHS lacked
statutory and Constitutional authority to give the government access and
control of their medical records without consent.
Many commenters believed that the NPRM language on government health
data systems was too broad and would allow virtually any government
collection of data to be covered. They argued that the government health
data system exception was unnecessary because there were other
provisions in the proposed rules providing sufficient authority for
government agencies to obtain the information they need.
Some commenters were concerned that the NPRM's government health data
system provisions would allow disclosure of protected health information
for purposes unrelated to health care. These commenters recommended
narrowing the provision to allow disclosure of protected health
information without consent to government health data systems in support
of health care-related policy, planning, regulatory, or management
functions. Others recommended narrowing the exception to allow use and
disclosure of protected health information for government health
databases only when a specific statute or regulation has authorized
collection of protected health information for a specific purpose.
*Response:* We agree with the commenters who suggested that the proposed
provision that would have permitted disclosures to government health
data bases was overly broad, and we remove it from the final rule.
We reviewed the important purposes identified in the comments for
government access to protected health information, and believe that the
disclosures of protected health information that should appropriately be
made without individuals' authorization can be achieved through the
other disclosures provided for in the final rule, including provisions
permitting covered entities to disclose information (subject to certain
limitations) to government agencies for public health, research, health
oversight, law enforcement, and otherwise as required by law. For
example, the final rule continues to allow a covered entity to disclose
protected health information without authorization to a public health
authority to monitor trends in the spread of infectious disease,
morbidity, and mortality. Under the rule's health oversight provision,
covered entities can continue to disclose protected health information
to public agencies for purposes such as analyzing the cost and quality
of services provided by covered entities; evaluating the effectiveness
of federal, state, and local public programs; examining trends in health
insurance coverage of the population; and analyzing variations in access
to health coverage among various segments of the population. We believe
that it is better to remove the proposed provision for government health
data systems generally and to rely on other, more narrowly tailored
provisions in the rule to authorize appropriate disclosures to
government agencies.
*Comment:* Some provider groups, private companies, and industry
organizations recommended expanding the exception for government health
data systems to include data collected by private entities. These
commenters said that such an expansion would be justified, because
private entities often perform the same functions as public agencies
collecting health data.
*Response:* We eliminate the exception for government health data
systems because it was over broad and the uses and disclosures we were
trying to permit are permitted by other provisions. We note that private
organizations may use or disclose protected health information pursuant
to multiple provisions of the rule.
*Comment:* One commenter recommended clarifying in the final rule that
the government health data system provisions apply to: (1) manufacturers
providing data to HCFA and its contractors to help the agency make
reimbursement and related decisions; and to (2) third- party payors that
must provide data collected by device manufacturers to HCFA to help the
agency make reimbursement and related decisions.
*Response:* The decision to eliminate the general provision permitting
disclosures to government health data systems makes this issue moot with
respect to such disclosures. We note that the information used by
manufacturers to support coverage determinations often is gathered
pursuant to patient authorization (as part of informed consent for
research) or as an approved research project. There also are many cases
in which information can be de-identified before it is disclosed. Where
HCFA hires a contractor to collect such protected health information,
the contractor may do so under HCFA's authority, subject to the business
associate provisions of this rule.
*Comment:* One commenter recommended stating in the final rule that
de-identified information from government health data systems can be
disclosed to other entities.
*Response:* HHS does not have the authority to regulate re-use or
re-disclosure of information by agencies or institutions that are not
covered entities under the rule. However, we support the policies and
procedures that public agencies already have implemented to de-identify
any information that they redisclose, and we encourage the continuation
of these activities.
**Disclosures for Payment Processes**
Proposed § 164.510(j) of the NPRM would have allowed disclosure of
protected health information without authorization for banking and
payment processes. In the final rule, we eliminate this provision.
Disclosures that would have been allowed under it, as well as comments
received on proposed § 164.510(j), are addressed under § 164.501 of the
final rule, under the definition of "payment."
**Section 164.512(i)---Uses and Disclosures for Research Purposes**
***Documentation Requirements of IRB or Privacy Board Approval of
Waiver***
*Comment:* A number of commenters argued that the proposed research
requirements of § 164.510(j) exceeded the Secretary's authority under
section 246(c) of HIPAA. In particular, several commenters argued that
the Department was proposing to extend the Common Rule and the use of
the IRB or privacy boards beyond federally-funded research projects,
without the necessary authority under HIPAA to do so. One commenter
stated that, "Section 246(c) of HIPAA requires the Secretary to issue a
regulation setting privacy standards for individually identifiable
health information transmitted in connection with the transactions
described in section 1173(a)," and thus concluded that the disclosure of
health information to researchers is not covered. Some of these
commenters also argued that the documentation requirements of proposed §
164.510(j), did not shield the NPRM from having the effect of regulating
research by placing the onus on covered health care providers to seek
documentation that certain standards had been satisfied before providing
protected health information to researchers. These commenters argued
that the proposed rule had the clear and intended effect of directly
regulating researchers who wish to obtain protected health information
from a covered entity.
*Response:* As discussed above, we do not agree with commenters that the
Secretary's authority is limited to individually identifiable health
information transmitted in connection with the transactions described in
section 1173(a) of HIPAA. We also disagree that the proposed research
documentation requirements would have constituted the unauthorized
regulation of researchers. The proposed requirements established
conditions for the use of protected health information by covered
entities for research and the disclosure of protected health information
by covered entities to researchers. HIPAA authorizes the Secretary to
regulate such uses and disclosures, and the final rule retains
documentation requirements similar to those proposed.
*Comment*: Several commenters believed that the NPRM was proposing
either directly or indirectly to modify the Common Rule and, therefore,
stated that such modification was beyond the Secretary's authority under
HIPAA. Many of these commenters arrived at this conclusion because the
waiver of authorization criteria proposed in § 164.510(j) differed from
the Common Rule's criteria for the waiver of informed consent (Common
Rule, § \_\_\_.116(d)).
*Response:* We do not agree that the proposed provision relating to
research would have modified the Common Rule. The provisions that we
proposed and provisions that we include in the final rule place
conditions that must be met before a covered entity may use or disclose
protected health information. Those conditions are in addition to any
conditions required of research entities under the Common Rule. Covered
entities will certainly be subject to laws and regulations in addition
to the rule, but the rule does not require compliance with these other
laws or regulations. For covered health care providers and health plans
that are subject to both the final rule and the Common Rule, both sets
of regulations will need to be followed.
*Comment:* A few commenters suggested that the Common Rule should be
extended to all research, regardless of funding source.
*Response:* We generally agree with the commenters on the need to
provide protections to all human subjects research, regardless of
funding source. HIPAA, however, did not provide the Department with
authority to extend the Common Rule beyond its current purview. For
research that relies on the use or disclosure of protected health
information by covered entities without authorization, the final rule
applies the Common Rule's principles for protecting research subjects
by, in most instances, requiring documentation of independent board
review, and a finding that specified criteria designed to protect the
privacy of prospective research subjects have been met.
*Comment*: A large number of commenters agreed that the research use and
disclosure of protected health information should not require
authorization. Of these commenters, many supported the proposed rule's
approach to research uses and disclosures without authorization,
including many from health care provider organizations, the mental
health community, and members of Congress. Others, while they agreed
that the research use and disclosure should not require authorization
disagreed with the NPRM's approach and proposed alternative models.
The commenters who supported the NPRM's approach to permitting
researchers access to protected health information without authorization
argued that it was appropriate to apply "Common Rule-like" provisions to
privately funded research. In addition, several commenters explicitly
argued that the option to use a privacy board, in lieu of an IRB, must
be maintained because requiring IRB review to include all aspects of
patient privacy could diffuse focus and significantly compromise an
IRB's ability to execute its primary patient protection role.
Furthermore, several commenters believed that privacy board review
should be permitted, but wanted equal oversight and accountability for
privacy boards and IRBs.
Many other commenters agreed that the research use and disclosure should
not require authorization, but disagreed with the proposed rule's
approach and proposed alternative models. Several of these commenters
argued that the final rule should eliminate the option for privacy board
review and that all research to be subject to IRB review. These
commenters stated that having separate and unequal systems to approve
research based on its funding source would complicate compliance and go
against the spirit of the regulations. Several of these commenters, many
from patient and provider organizations, opposed the permitted use of
privacy boards to review research studies and instead argued that IRB
review should be required for all studies involving the use or
disclosure of protected health information. These commenters argued that
although privacy board requirements would be similar, they are not
equitable; for example, only three of the Common Rule's six requirements
for the membership of IRBs were proposed to be required for the
membership on privacy boards, and there was no proposed requirement for
annual review of ongoing research studies that used protected health
information. Several commenters were concerned that the proposed option
to obtain documentation of privacy board review, in lieu of IRB review,
would perpetuate the divide in the oversight of federally-funded versus
publically-funded research, rather than eliminate the differential
oversight of publically- and privately-funded research, with the former
still being held to a stricter standard. Some of these commenters argued
that these unequal protections would be especially apparent for the
disclosure of research with authorization, since under the Common Rule,
IRB review of human subjects studies is required, regardless of the
subject's consent, before the study may be conducted.
*Response:* Although we share the concern raised by commenters that the
option for the documentation of privacy board approval for an alteration
or waiver of authorization may perpetuate the unequal mechanisms of
protecting the privacy of human research subjects for federally-funded
versus publically-funded research, the final rule is limited by HIPAA to
addressing only the use and disclosure of protected health information
by covered entities, not the protection of human research subjects more
generally. Therefore, the rule cannot standardize human subjects
protections throughout the country. Given the limited scope of the final
rule with regard to research, the Department believes that the option to
obtain documentation of privacy board approval for an alteration or
waiver of authorization in lieu of IRB approval provides covered
entities with needed flexibility. Therefore, in the final rule we have
retained the option for covered entities to rely on documentation of
privacy board approval that specified criteria have been met.
We disagree with the rationale suggested by commenters who argued that
the option for privacy board review must be maintained because requiring
IRB review to include all aspects of patient privacy could diffuse focus
and significantly compromise an IRB's ability to execute its primary
patient protection role. For research that involves the use of
individually identifiable health information, assessing the risk to the
privacy of research subjects is currently one of the key risks that must
be assessed and addressed by IRBs. In fact, we expect that it will be
appropriate for many research organizations that have existing IRBs to
rely on these IRBs to meet the documentation requirements of §
164.512(i).
*Comment:* One health care provider organization recommended that the
IRB or privacy board mechanism of review should be applied to
non-research uses and disclosures.
*Response:* We disagree. Imposing documentation of privacy board
approval for other public policy uses and disclosures permitted by §
164.512 would result in undue delays in the use or disclosure of
protected health information that could harm individuals and the public.
For example, requiring that covered health care providers obtain
third-party review before permitting them to alert a public health
authority that an individual was infected with a serious communicable
disease could cause delay appropriate intervention by a public health
authority and could present a serious threat to the health of many
individuals.
*Comment*: A number of commenters, including several members of
Congress, argued that since the research provisions in proposed §
164.510(j) were modeled on the existing system of human subjects
protections, they were inadequate and would shatter public trust if
implemented. Similarly, some commenters, asserted that IRBs are not
accustomed to reviewing and approving utilization reviews, outcomes
research, or disease management programs and, therefore, IRB review may
not be an effective tool for protecting patient privacy in connection
with these activities. Some of these commenters noted that proposed §
164.510(j) would exacerbate the problems inherent in the current federal
human subjects protection system especially in light of the recent GAO
reports that indicate the IRB system is already over-extended.
Furthermore, a few commenters argued that the Common Rule's requirements
may be suited for interventional research involving human subjects, but
is ill suited to the archival and health services research typically
performed using medical records without authorization. Therefore, these
commenters concluded that extending "Common Rule-like" provisions to the
private sector would be inadequate to protect human subjects and would
result in significant and unnecessary cost increases.
*Response:* While the vast majority of government-supported and
regulated research adheres to strict protocols and the highest ethical
standards, we agree that the federal system of human subjects
protections can and must be strengthened. To work toward this goal, on
May 23, the Secretary announced several additional initiatives to
enhance the safety of subjects in clinical trials, strengthen government
oversight of medical research, and reinforce clinical researchers'
responsibility to follow federal guidelines. As part of this initiative,
the National Institutes of Health have undertaken an aggressive effort
to ensure IRB members and IRB staff receive appropriate training in
bioethics and other issues related to research involving human subjects,
including research that involves the use of individually identifiable
health information. With these added improvements, we believe that the
federal system of human subjects protections continues to be a good
model to protect the privacy of individually identifiable health
information that is used for research purposes. This model of privacy
protection is also consistent with the recent recommendations of both
the Institute of Medicine in their report entitled, "Protecting Data
Privacy in Health Services Research," and the Joint Commission on
Accreditation of Healthcare Organizations and the National Committee for
Quality Assurance in their report entitled, "Protecting Personal Health
Information: A Framework for Meeting the Challenges in a Managed Care
Environment." Both of these reports similarly concluded that health
services research that involves the use of individually identifiable
health information should undergo IRB review or review by another board
with sufficient expertise in privacy and confidentiality protection.
Furthermore, it is important to recognize that the Common Rule applies
not only to interventional research, but also to research that uses
individually identifiable health information, including archival
research and health services research. The National Bioethics Advisory
Commission (NBAC) is currently developing a report on the federal
oversight of human subjects research, which is expected to address the
unique issues raised by non-interventional human subjects research. The
Department looks forward to receiving NBAC's report, and carefully
considering the Commission's recommendations. This final rule is the
first step in enhancing patients' privacy and we will propose
modifications to the rule if changes are warranted by the Commission's
findings and recommendations.
*Comment:* Many commenters argued that the proposed research provision
would have a chilling affect on the willingness of health plans and
covered providers to participate in research because of the criminal and
civil penalties that could be imposed for failing to meet the
requirements that would have been required by proposed § 164.510(j).
Some of these commenters cautioned, that over time, research could be
severely hindered if covered entities choose not to disclose protected
health information to researchers. In addition, one commenter
recommended that a more reasonable approach would be to require IRB or
privacy board approval only if the results of the research were to be
broadly published. Another commenter expressed concern that the privacy
rule could influence IRBs or privacy boards to refuse to recognize the
validity of decisions by other IRBs or privacy boards and specifically
recommended that the privacy rule include a preamble statement that: (1)
the "risk" balancing consider only the risk to the patient, not the risk
to the institution, and (2) add a phrase that the decision by the
initial IRB or privacy board to approve the research shall be given
deference by other IRBs or privacy boards. This commenter also
recommended that to determine whether IRBs or privacy boards were giving
such deference to prior IRB or privacy board review, HHS should monitor
the disapproval rate by IRB or privacy boards conducting secondary
reviews.
*Response:* As the largest federal sponsor of medical research, we
understand the important role of research in improving our Nation's
health. However, the benefits of research must be balanced against the
risks, including the privacy risks, for those who participate in
research. An individual's rights and welfare must never be sacrificed
for scientific or medical progress. We believe that the requirements for
the use and disclosure of protected health information for research
without authorization provides an appropriate balance. We understand
that some covered health care providers and health plans may conclude
that the rule's documentation requirements for research uses and
disclosures are too burdensome.
We rejected the recommendation that documentation of IRB or privacy
board approval of the waiver of authorization should only be required if
the research were to be "broadly published." Research findings that are
published in de-identified form have little influence on the privacy
interests of individuals. We believe that it is the use or disclosure of
individually identifiable health information to a researcher that poses
the greater risk to individuals' privacy, not publication of
de-identified information.
We agree with the commenters that IRB or privacy board review should
address the privacy interests of individuals and not institutions. This
provision is intended to protect individuals from unnecessary uses and
disclosures of their health information and does not address
institutional privacy.
We disagree with the comment that documentation of IRB or privacy board
approval of the waiver of authorization should be given deference by
other IRBs or privacy boards conducting secondary reviews. We do not
believe that it is appropriate to restrict the deliberations or
judgments of privacy boards, nor do we have the authority under this
rule to instruct IRBs on this issue. Instead, we reiterate that all
disclosures for research purposes under § 164.512(i) are voluntary, and
that institutions may choose to impose more stringent requirements for
any use and disclosure permitted under § 164.512.
*Comment:* Some commenters were concerned about the implications of
proposed § 164.510(j) on multi-center research. These commenters argued
that for multi-center research, researchers may require protected health
information from multiple covered entities, each of whom may have
different requirements for the documentation of IRB or privacy board
review. Therefore, there was concern that documentation that may suffice
for one covered entity, may not for another, thereby hindering
multi-center research.
*Response:* Since § 164.512(i) establishes minimum documentation
standards for covered health care providers and health plans using or
disclosing protected health information for research purposes, we
understand that some covered providers and health plans may choose to
require additional documentation requirements for researchers. We note,
however, that nothing in the final rule would preclude a covered health
care provider or health plan from developing the consistent
documentation requirements provided they meet the requirements of §
164.512(i).
*Comment:* One commenter who was also concerned that the minimum
necessary requirements of proposed § 164.506(b) would negatively affect
multi-center research because covered entities participating in
multi-site research studies would no longer be permitted to rely upon
the consent form approved by a central IRB, and nor would participating
entities be permitted to report data to the researcher using the case
report form approved by the central IRB to guide what data points to
include. This commenter noted that the requirement that each site would
need to undertake a separate minimum necessary review for each
disclosure would erect significant barriers to the conduct of research
and may compromise the integrity and validity of data combined from
multiple sites. This commenter recommended that the Secretary absolve a
covered entity of the responsibility to make its own individual minimum
necessary determinations if the entity is disclosing information
pursuant to an IRB or privacy board-approved protocol.
*Response:* The minimum necessary requirements in the final rule have
been revised to permit covered entities to rely on the documentation of
IRB or privacy board approval as meeting the minimum necessary
requirements of § 164.514. However, we anticipate that much multi-site
research, such as multi-site clinical trials, will be conducted with
patients' informed consent as required by the Common Rule and FDA's
protection of human subjects regulations, and that patients'
authorization will also be sought for the use or disclosure of protected
health information for such studies. Therefore, it should be noted that
the minimum necessary requirements do not apply for uses or disclosures
made with an authorization. In addition, the final rule allows a covered
health care provider or health plan to use or disclose protected health
information pursuant to an authorization that was approved by a single
IRB or privacy board, provided the authorization met the requirements of
§ 164.508. The final rule does not, however, require IRB or privacy
board review for the use or disclosure of protected health information
for research conducted with individuals' authorization.
*Comment:* Some commenters believed that proposed § 164.510(j) would
have required documentation of both IRB and privacy board review before
a covered entity would be permitted to disclose protected health
information for research purposes without an individual's authorization.
*Response:* This is incorrect. Section 164.512(i)(1)(i) of the final
rule requires documentation of alteration or waiver approval by either
an IRB or a privacy board.
*Comment:* Some commenters believed that the proposed rule would have
required that patients be notified whenever protected health information
about themselves was disclosed for research purposes.
*Response:* This is incorrect. Covered entities are not required to
inform individuals that protected health information about themselves
has been disclosed for research purposes. However, as required in §
164.520 of the final rule, the covered entity must include research
disclosures in their notice of information practices. In addition, as
required by § 164.528 of the rule, covered health care providers and
health plans must provide individuals, upon request, with an accounting
of disclosures made of protected health information about the
individual.
*Comment:* One commenter recommended that IRB and privacy boards also be
required to be accredited.
*Response:* While we agree that the issue of accrediting IRBs and
privacy boards deserves further consideration, we believe it is
premature to require covered entities to ensure that the IRB or privacy
board that approves an alteration or waiver of authorization is
accredited. Currently, there are no accepted accreditation standards for
IRBs or privacy boards, nor a designated accreditation body. Recognizing
the need for and value of greater uniformity and public accountability
in the review and approval process, HHS, with support from the Office of
Human Research Protection, National Institutes of Health, Food and Drug
Administration, Centers for Disease Control and Prevention, and Agency
for Health Care Research and Quality, has engaged the Institute of
Medicine to recommend uniform performance resource-based standards for
private, voluntary accreditation of IRBs. This effort will draw upon
work already undertaken by major national organizations to develop and
test these standards by the spring of 2001, followed by initiation of a
formal accreditation process before the end of next year. Once the
Department has received the Institute of Medicine's recommended
accreditation standards and process for IRBs, we plan to consider
whether this accreditation model would also be applicable to privacy
boards.
*Comment:* A few commenters also noted that if both an IRB and a privacy
board reviewed a research study and came to conflicting decisions,
proposed § 164.510(j) was unclear about which board's decision would
prevail.
*Response:* The final rule does not stipulate which board's decision
would prevail if an IRB and a privacy board came to conflicting
decisions. The final rule requires covered entities to obtain
documentation that one IRB or privacy board has approved of the
alteration or waiver of authorization. The covered entity, however, has
discretion to request information about the findings of all IRBs and/or
privacy boards that have reviewed a research proposal. We strongly
encourage researchers to notify IRBs and privacy boards of any prior IRB
or privacy board review of a research protocol.
*Comment:* Many commenters noted that the NPRM included no guidance on
how the privacy board should approve or deny researchers' requests. Some
of these commenters recommended that the regulation stipulate that
privacy boards be required to follow the same voting rules as required
under the Common Rule.
*Response:* We agree that the Common Rule (§ \_\_\_.108(b)) provides a
good model of voting procedures for privacy boards and incorporate such
procedures to the extent they are relevant. In the final rule, we
require that the documentation of alteration or waiver of authorization
state that the alteration or waiver has been reviewed and approved by
either (1) an IRB that has followed the voting requirements of the
Common Rule (§ \_\_\_.108(b)), or the expedited review procedures of the
Common Rule (§ \_\_\_.110); or (2) unless an expedited review procedure
is used, a privacy board that has reviewed the proposed research at a
convened meeting at which a majority of the privacy board members are
present, including at least one member who is not affiliated with the
covered entity, not affiliated with any entity conducting or sponsoring
the research, and not related to any person who is affiliated with any
such entities, and the alteration or waiver of authorization is approved
by the majority of privacy board members present at the meeting.
*Comment:* A few commenters were concerned that the research provisions
would be especially onerous for small non-governmental entities,
furthering the federal monopoly on research.
*Response:* We understand that the documentation requirements of §
164.512(i), as well as other provisions in the final rule, may be more
onerous for small entities than for larger entities. We believe,
however, that when protected health information is to be used or
disclosed for research without an individual's authorization, the
additional privacy protections in § 164.512(i) are essential to reduce
the risk of harm to the individual.
*Comment:* One commenter believed that it was paradoxical that, under
the proposed rule, the disclosure of protected health information for
research conducted with an authorization would have been more heavily
burdened than research that was conducted without authorization, which
they reasoned was far less likely to bring personal benefit to the
research subjects.
*Response:* It was not our intent to impose more requirements on covered
entities using or disclosing protected health information for research
conducted with authorization than for research conducted without
authorization. In fact, the proposed rule would have required only
authorization as stipulated in proposed § 164.508 for research
disclosures made with authorization, and would have been exempt from the
documentation requirements in proposed § 164.510(j). We retain this
treatment in the final rule. We disagree with the commenter who asserted
that the requirements for research conducted with authorization are more
burdensome for covered health care providers and plans than the
documentation provisions of this paragraph.
*Comment:* A number of comments, mostly from the pharmaceutical
industry, recommended that the final rule state that privacy boards be
permitted to waive authorization only with respect to research uses of
medical information collected in the course of treatment or health care
operations, and not with respect to clinical research. Similarly, one
commenter recommended that IRBs and privacy boards be authorized to
review privacy issues only, not the entire research project. These
commenters were concerned that by granting waiver authority to privacy
boards and IRBs, and by incorporating the Common Rule waiver criteria
into the waiver criteria included in the proposed rule, the Secretary
has set the stage for privacy boards to review and approve waivers in
circumstances that involve interventional research that is not subject
to the Common Rule.
*Response:* We agree with the commenters who recommended that the final
rule clarify that the documentation of IRB or privacy board approval of
the waiver of authorization would be based only on an assessment of the
privacy risks associated with a research study, not an assessment of all
relevant risks to participants. In the final rule, we have amended the
language in the waiver criteria to make clear that these criteria relate
only to the privacy interests of the individual. We anticipate, however,
that the vast majority of uses and disclosures of protected health
information for interventional research will be made with individuals'
authorization. Therefore, we expect it will be rare that a researcher
will seek IRB or privacy board approval for the alteration or waiver of
authorization, but seek informed consent for participation for the
interventional component of the research study. Furthermore, we believe
that interventional research, such as most clinical trials, could not
meet the waiver criteria in the final rule (§ 164.512(i)(2)(ii)(C)),
which states "the research could not practicably be conducted without
the alteration or waiver." If a researcher is to have direct contact
with research subjects, the researcher should in virtually all cases be
able to seek and obtain patients' authorization for the use and
disclosure of protected health information about themselves for the
research study.
*Comment:* A few commenters recommended that the rule explicitly state
that covered entities would be permitted to rely upon an IRB or privacy
boards' representation that the research proposal meets the requirements
of proposed § 164.510(j).
*Response:* We agree with this comment. The final rule clarifies that
covered health care providers and health plans are allowed to rely on an
IRB's or privacy board's representation that the research proposal meets
the requirements of § 164.512(i).
*Comment:* One commenter recommended that IRBs be required to maintain
web sites with information on proposed and approved projects.
*Response:* We agree that it could be useful for IRBs and privacy boards
to maintain web sites with information on proposed and approved
projects. However, requiring this of IRBs and privacy boards is beyond
the scope of our authority under HIPAA. In addition, this recommendation
raises concerns that would need to be addressed, including concerns
about protecting the confidentiality of research participants and
propriety information that may be contained in research proposals. For
these reasons, we decided not to incorporate this requirement into the
final rule.
*Comment:* One commenter recommended that HHS collect data on
research-related breaches of confidentiality and investigate existing
anecdotal reports of such breaches.
*Response:* This recommendation is beyond HHS' legal authority, since
HIPAA did not give us the authority to regulate researchers. Therefore,
this recommendation was not included in the final rule.
*Comment:* A number of commenters were concerned that HIPAA did not give
the Secretary the authority to protect information once it was disclosed
to researchers who were not covered entities.
*Response:* The Secretary shares these commenters' concerns about the
Department's limited authority under HIPAA. We strongly support the
enactment of additional federal legislation to fill these crucial gaps
in the Secretary's authority.
*Comment:* One commenter recommended that covered entities should be
required to retain the IRB's or privacy board's documentation of
approval of the waiver of individuals' authorization for at least six
years from when the waiver was obtained.
*Response:* We agree with this comment and have included such a
requirement in the final rule. See § 164.530(j).
*Comment:* One commenter recommended that whenever health information is
used for research or administrative purposes, a plan is in place to
evaluate whether to and how to feed patient-specific information back
into the health system to benefit an individual or group of patients
from whom the health information was derived.
*Response:* While we agree that this recommendation is consistent with
the responsible conduct of research, HIPAA did not give us the authority
to regulate research. Therefore, this recommendation was not included in
the final rule.
*Comment:* A few commenters recommended that contracts between covered
entities and researcher be pursued. Comments received in favor of
requiring contractual agreements argued that such a contract would be
enforceable under law, and should prohibit secondary disclosures by
researchers. Some of these commenters recommended that contracts between
covered entities and researchers should be the same as, or modeled on,
the proposed requirements for business partners. In addition, some
commenters argued that contracts between covered entities and
researchers should be required as a means of placing equal
responsibility on the researcher for protecting protected health
information and for not improperly re-identifying information.
*Response:* In the final rule, we have added an additional waiver
criteria to require that there are adequate written assurances from the
researcher that protected health information will not be re-used or
disclosed to any other person or entity, except as required by law, for
authorized oversight of the research project, or for other research for
which the use or disclosure of protected health information would be
permitted by this subpart. We believe that this additional waiver
criteria provides additional assurance that protected health information
will not be misused by researchers, while not imposing the additional
burdens of a contractual requirement on covered health care providers
and health plans. We were not persuaded by the comments received that
contractual requirements would provide necessary additional protections,
that would not also be provided by the less burdensome waiver criteria
for adequate written assurance that the researcher will not re-use or
disclose protected health information, with few exceptions. Our intent
was to strengthen and extend existing privacy safeguards for protected
health information that is used or disclosed for research, while not
creating unnecessary disincentives to covered health care providers and
health plans who choose to use or disclose protected health information
for research purposes.
*Comment:* Some commenters explicitly opposed requiring contracts
between covered entities and researchers as a condition of permitting
the use or disclosure of protected health information for research
purposes. This commenters argued that such a contractual requirement
would be too onerous for covered entities and researchers and would
hinder or halt important research.
*Response:* We agree with the arguments raised by these commenters, and
thus, the final rule does not require contracts between covered entities
and researchers as a condition of using or disclosing protected health
information for research purposes without authorization.
*Comment:* A large number of commenters strongly supported requiring
patient consent before protected health information could be used or
disclosed, including but not limited to use and disclosure for research
purposes. These commenters argued that the unconsented-to use of their
medical records abridged their autonomy right to decide whether or not
to participate in research. A few referenced the Nuremberg Code in
support of their view, noting that the Nuremberg Code required
individual consent for participation in research.
*Response:* We agree that it is of foremost importance that individuals'
privacy rights and welfare be safeguarded when protected health
information about themselves is used or disclosed for research studies.
We also strongly believe that continued improvements in the nation's
health requires that researchers be permitted access to protected health
information without authorization in certain circumstances. Additional
privacy protections are needed, however, and we have included several in
the final rule. If covered entities plan to disclose protected health
without individuals' authorization for research purposes, individuals
must be informed of this through the covered entity's notice to patients
of their information practices. In addition, before covered health care
providers or health plans may use or disclose protected health
information for research without authorization, they must obtain
documentation that an IRB or privacy board has found that specified
waiver criteria have been met, unless the research will include
protected health information about deceased individuals only, or is
solely for reviews that are preparatory to research.
While it is true that the first provision of the Nuremberg Code states
that "the voluntary consent of the human subject is absolutely
essential," it is important to understand the context of this important
document in the history of protecting human subjects research from harm.
The Nuremberg Code was developed for the Nuremberg Military Tribunal as
standards by which to judge the human experimentation conducted by the
Nazis, and was one of the first documents setting forth principles for
the ethical conduct of human subjects research. The acts of atrocious
cruelty that the Nuremberg Code was developed to address, focused on
preventing the violations to human rights and dignity that occurred in
the name of "medical advancement." The Code, however, did not directly
address the ethical conduct of non-interventional research, such as
medical records research, where the risk of harm to participants can be
unlike those associated with clinical research.
We believe that the our proposed requirements for the use or disclosure
of protected health information for research are consistent with the
ethical principles of "respect for persons," "beneficence," and
"justice," which were established by the Belmont Report in 1978, and are
now accepted as the quintessential requirements for the ethical conduct
of research involving human subjects, including research using
individually identifiable health information. These ethical principles
formed the foundation for the requirements in the Common Rule, on which
our proposed requirements for research uses and disclosures were
modeled.
*Comment:* Many commenters recommended that the privacy rule permit
individuals to opt out of having their records used for the identified
"important" public policy purposes in § 164.510, including for research
purposes. These commenters asserted that permitting the use and
disclosure of their protected health information without their consent,
or without an opportunity to "opt out" of having their information used
or disclosed, abridged individuals' right to decide who should be
permitted access to their medical records. In addition, one commenter
argued that although the research community has been sharply critical of
a Minnesota law that limits access to health records (Minnesota Statute
Section 144.335 (1998)), researchers have cited a lack of response to
mailed consent forms as the primary factor behind a decrease in the
percentage of medical records available for research. This commenter
argued that an opt-out provision would not be subject to this
"nonresponder" problem.
*Response:* We believe that a meaningful right to "opt out" of a
research study requires that individuals be contacted and informed about
the study for which protected health information about themselves is
being requested by a researcher. We concluded, therefore, that an "opt
out" provision of this nature may suffer from the same decliner bias
that has been experienced by researchers who are subject to laws that
require patient consent for medical records research. Furthermore,
evidence on the effect of a mandatory "opt out" provision for medical
records research is only fragmentary at this time, but at least one
study has preliminarily suggested that those who refuse to consent for
research access to their medical records may differ in statistically
significant ways from those who consent with respect to variables such
as age and disease category (SJ Jacobsen et al. "Potential Effect of
Authorization Bias on Medical Records Research." Mayo Clin Proc 74:
(1999) 330-338). For these reasons, we disagree with the commenters who
recommended that an "opt out" provision be included in the final rule.
In the final rule, we do require covered entities to include research
disclosures in their notice of information practices. Therefore,
individuals who do not wish for protected health information about
themselves to be disclosed for research purposes without their
authorization could select a health care provider or health plan on this
basis. In addition, the final rule also permits covered health care
providers or health plans to agree not to disclose protected health
information for research purposes, even if research disclosures would
otherwise be permitted under their notice of information practices. Such
an agreement between a covered health care provider or health plan and
an individual would not be enforceable under the final rule, but might
be enforceable under applicable state law.
*Comment:* Some commenters explicitly recommended that there should be
no provision permitting individuals to opt out of having their
information used for research purposes.
*Response:* We agree with these commenters for the reasons discussed
above.
*IRB and Privacy Board Review*
*Comments:* The NPRM imposed no requirements for the location or
sponsorship of the IRB or privacy board. One commenter supported the
proposed approach to permit covered entities to rely on documentation of
a waiver by a IRB or privacy board that was convened by the covered
entity, the researcher, or another entity.
In contrast, a few commenters recommended that the NPRM require that the
IRB or privacy board be outside of the entity conducting the research,
although the rationale for these recommendations was not provided.
Several industry and consumer groups alternatively recommended that the
regulation require that privacy boards be based at the covered entity.
These comments argued that "if the privacy board is to be based at the
entity receiving data, and that entity is not a covered entity, there
will be little ability to enforce the regulation or study the
effectiveness of the standards."
*Response:* We agree with the comment supporting the proposed rule's
provision to impose no requirements for the location or sponsorship of
the IRB or privacy board that was convened to review a research proposal
for the alteration or waiver of authorization criteria. In the absence
of a rationale, we were not persuaded by the comments asserting that the
IRB or privacy board should be convened outside of the covered entity.
In addition, while we agree with the comments that asserted HHS would
have a greater ability to enforce the rule if a privacy board was
established at the covered entity rather than an uncovered entity, we
concluded that the additional burden that such a requirement would place
on covered entities was unwarranted. Furthermore, under the Common Rule
and FDA's protection of human subjects regulations, IRB review often
occurs at the site of the recipient researchers' institution, and it was
not our intent to change this practice. Therefore, in the final rule, we
continue to impose no requirements for the location or sponsorship of
the IRB or privacy board.
*Privacy Board Membership*
*Comment:* Some commenters were concerned that the proposed composition
of the privacy board did not adequately address potential conflicts of
interest of the board members, particularly since the proposed rule
would have permitted the board's "unaffiliated" member to be affiliated
with the entity disclosing the protected health information for research
purposes. To address this concern, some commenters recommended that the
required composition of privacy boards be modified to require "\...at
least one member who is not affiliated with the entity receiving or
disclosing protected health information." These commenters believed that
this addition would be more sound and more consistent with the Common
Rule's requirements for the composition of IRBs. Furthermore, it was
argued that this requirement would prohibit covered entities from
creating a privacy board comprised entirely of its own employees.
*Response:* We agree with these comments. In the final rule we have
revised the proposed membership for privacy board to reduce potential
conflict of interest among board members. The final rule requires that
documentation of alteration or waiver from a privacy board, is only
valid under § 164.512(i) if the privacy board includes at least one
member who is not affiliated with the covered entity, not affiliated
with any entity conducting or sponsoring the research, and not related
to a person who is affiliated which such entities.
*Comment:* One commenter recommended that privacy boards be required to
include more than one unaffiliated member to address concerns about
conflict of interest among members.
*Response:* We disagree that privacy boards should be required to
include more than one unaffiliated member. We believe that the revised
membership criterion for the unaffiliated member of the privacy board,
and the criterion that requires that the board have no member
participating in a review of any project in which the member has a
conflict of interest, are sufficient to ensure that no member of the
board has a conflict of interest in a research proposal under their
review.
*Comment:* Many commenters also recommended that the membership of
privacy boards be required to be more similar to that of IRBs. These
commenters were concerned that privacy boards, as described in the
proposed rule, would not have the needed expertise to adequately review
and oversee research involving the use of protected health information.
A few of these commenters also recommended that IRBs be required to have
at least one member trained in privacy or security matters.
*Response:* We disagree with the comments asserting that the membership
of privacy boards should be required be more similar to IRBs. Unlike
IRBs, privacy boards only have responsibility for reviewing research
proposals that involve the use or disclosure of protected health
information without authorization. We agree, however, that the proposed
rule may not have ensured that the a privacy board had the necessary
expertise to protect adequately individuals' privacy rights and
interests. Therefore, in the final rule, we have modified one of the
membership criteria for privacy board to require that the board has
members with varying backgrounds and appropriate professional competency
as necessary to review the effect of the research protocol on the
individual's privacy rights and related interests.
*Comment:* Two commenters recommended that IRBs and privacy boards be
required to include patient advocates.
*Response:* The Secretary's legal authority under HIPAA does not permit
HHS to modify the membership of IRBs. Moreover, we disagree with the
comments recommending that IRBs and privacy board should be required to
include patient advocates. We were not persuaded that patient advocates
are the only persons with the needed expertise to protect patients'
privacy rights and interests. Therefore, in the final rule, we do not
require that patient advocates be included as members of a privacy
board. However, under the final rule, IRBs and privacy board members
could include patient advocates provided they met the required
membership criteria in § 164.512(i).
*Comment:* A few commenters requested clarification of the term
"conflict of interest" as it pertained to the proposed rule's criteria
for IRB and privacy board membership. In particular, some commenters
recommended that the final rule clarify what degree of involvement in a
research project by a privacy board member would constitute a conflict,
thereby precluding that individual's participation in a review. One
commenter specifically requested clarification about whether employment
by the covered entity constituted a conflict of interest, particularly
if the covered entity is receiving a financial gain from the conduct of
the research.
*Response:* We understand that determining what constitutes conflict of
interest can be complex. We do not believe that employees of covered
entities or employees of the research institution requesting protected
health information for research purposes are *necessarily* conflicted,
even if those employees may benefit financially from the research.
However, there are many factors that should be considered in assessing
whether a member of an IRB has a conflict of interest, including
financial and intellectual conflicts.
As part of a separate, but related effort to the final rule, during the
summer of 2000, HHS held a conference on human subject protection and
financial conflicts of interest. In addition, HHS solicited comments
from the public about financial conflicts of interest associated with
human subjects research for researchers, IRB members and staff, and
research sponsors. The findings from the conference and the public
comments received are forming the basis for guidance that HHS is now
developing on financial conflicts of interest.
*Privacy Training for IRB and Privacy Boards*
*Comment:* A few commenters expressed support for training IRB members
and chairs about privacy issues, recommending that such training either
be required or that it be encouraged in the final rule.
*Response:* We agree with these comments and thus encourage institutions
that administer IRBs and privacy boards to ensure that the members of
these boards are adequately trained to protect the privacy rights and
welfare of individuals about whom protected health information is used
for research purposes. In the final rule, we require that privacy board
members have varying backgrounds and appropriate professional competency
as necessary to review the effect of the research protocol on the
individual's privacy rights and related interests. We believe that this
criterion for privacy board membership requires that members already
have the necessary knowledge or that they be trained to address privacy
issues that arise in the conduct of research that involves the use of
protected health information. In addition, we note that the Common Rule
(§ \_\_\_.107(a)) already imposes a general requirement that IRB members
posses adequate training and experience to adequately evaluate the
research which it reviews. IRBs are also authorized to obtain the
services of consultants (§ \_\_\_.107(f)) to provide expertise not
available on the IRB. We believe that these existing requirements in the
Common Rule already require that an IRB have the necessary privacy
expertise.
*Waiver Criteria*
*Comment:* A large number of comments supported the proposed rule's
criteria for the waiver of authorization by an IRB or privacy board.
*Response:* While we agree that several of the waiver criteria should be
retained in the final rule, we have made changes to the waiver criteria
to address some of the comments we received on specific criteria. These
reason for these changes are discussed in the response to comments
below.
*Comment:* In addition to the proposed waiver criteria, several
commenters recommended that the final rule also instruct IRBs and
privacy boards to consider the type of protected health information and
the sensitivity of the information to be disclosed in determining
whether to grant a waiver, in whole or in part, of the authorization
requirements.
*Response:* We agree with these comments, but believe that the
requirement to consider the type and sensitivity of protected health
information was already encompassed by the proposed waiver criteria. We
encourage and expect that IRBs and privacy boards will take into
consideration the type and sensitivity of protected health information,
as appropriate, in considering the waiver criteria included in the final
rule.
*Comment:* Many commenters were concerned that the criteria were not
appropriate in the context of privacy risks and recommended that the
waiver criteria be rewritten to more precisely focus on the protection
of patient privacy. In addition, some commenters argued that the
proposed waiver criteria were redundant with the Common Rule and were
confusing because they mix elements of the Common Rule's waiver
criteria---some of which they argued were relevant only to
interventional research. In particular, a number of commenters raised
these concerns about proposed criterion (ii). Some of these commenters
suggested that the word "privacy" be inserted before "rights."
*Response:* We agree with these comments. To focus all of the criterion
on individuals' privacy interests, in the final rule, we have modified
one of the proposed waiver criteria, eliminated one proposed criterion,
and added an additional criterion : (1) the proposed criterion which
stated, "the waiver will not adversely affect the rights and welfare of
the subjects," has been revised in the final rule as follows: "the
alteration or waiver will not adversely affect the privacy rights and
the welfare of the individuals;" (2) the proposed criterion which
stated, "whenever appropriate, the subjects will be provided with
additional pertinent information after participation," has been
eliminated; and (3) a criterion has been added in the final rule which
states, "there are adequate written assurances that the protected health
information will not be re-used or disclosed to any other person or
entity, except as required by law, for authorized oversight of the
research project, or for other research for which the use or disclosure
of protected health information would be permitted by this subpart." In
addressing these criteria, we expect that IRBs and privacy boards will
not only consider the immediate privacy interests of the individual that
would arise from the proposed research study, but also the possible
implications from a loss of privacy, such as the loss of employment,
loss or change in cost of health insurance, and social stigma.
*Comment:* A number of commenters were concerned about the interaction
between the proposed rule and the Common Rule. One commenter opposed the
four proposed waiver criteria which differed from the Common Rule's
criteria for the waiver of informed consent (§ \_\_\_.116(d)) on the
grounds that the four criteria proposed in addition to the Common Rule's
waiver criteria would apply only to the research use and disclosure of
protected health information by covered entities. This commenter argued
that this would lead to different standards for the protection of other
kinds of individually identifiable health information used in research
that will fall outside of the scope of the final rule. This commenter
concluded that this inconsistency would be difficult for IRBs to
administer, difficult for IRB members to distinguish, and would be
ethically questionable. For these reasons, many commenters recommended
that the final rule should permit the waiver criteria of the Common
Rule, to be used in lieu of the waiver criteria identified in the
proposed rule.
*Response:* We disagree with the comments recommending that the waiver
criteria of the Common Rule should be permitted to be used in lieu of
the waiver criteria identified in the proposed rule. The Common Rule's
waiver criteria were designed to protect research subjects from all
harms associated with research, not specifically to protect individuals'
privacy interests. We understand that the waiver criteria in the final
rule may initially cause confusion for IRBs and researchers that must
attend to both the final rule and the Common Rule, but we believe that
the additional waiver criteria adopted in the final rule are essential
to ensure that individuals' privacy rights and welfare are adequately
safeguarded when protected health information about themselves is used
for research without their authorization. We agree that ensuring that
the privacy rights and welfare of all human subjects---involved in all
forms of research---is ethically required, and the new Office of Human
Research Protection will immediately initiate plans to review the
confidentiality provisions of the Common Rule.
In addition, at the request of the President, the National Bioethics
Advisory Commission has begun an examination of the current federal
human system for the protection of human subjects in research. The
current scope of the federal regulatory protections for protecting human
subjects in research is just one of the issues that will be addressed in
the by the Commission's report, and the Department looks forward to
receiving the Commission's recommendations.
CONCERNS ABOUT SPECIFIC WAIVER CRITERIA
*Comment:* One commenter argued that the term "welfare" was vague and
recommended that it be deleted from the proposed waiver of authorization
criterion which stated, "the waiver will not adversely affect the rights
and welfare of the subjects."
*Response:* We disagree with the comment recommending that the final
rule eliminate the term "welfare" from this waiver criterion. As
discussed in the National Bioethics Advisory Commission's 1999 report
entitled, "Research Involving Human Biological Materials: Ethical Issues
and Policy Guidance," "Failure to obtain consent may adversely affect
the rights and welfare of subjects in two basic ways. First, the subject
may be improperly denied the opportunity to choose whether to assume the
risks that the research presents, and second, the subject may be harmed
or wronged as a result of his or her involvement in research to which he
or she has not consented\....Subjects' interest in controlling
information about themselves is tied to their interest in, for example,
not being stigmatized and not being discriminated against in employment
and insurance." Although this statement by the Commission was made in
the context of research involving human biological materials, we believe
research that involves the use of protected health information similarly
requires that social and psychological harms be considered when
assessing whether an alteration or waiver will adversely affect the
privacy rights and welfare of individuals. We believe it would be
insufficient to attend only to individuals' privacy "rights" since some
of the harms that could result from a breach of privacy, such as
stigmatization, and discrimination in employment or insurance, may not
be tied directly to an individuals' "rights," but would have a
significant impact on their welfare. Therefore, in the final rule, we
have retained the term "welfare" in this criterion for the alteration or
waiver of authorization but modified the criterion as follows to focus
more specifically on privacy concerns and to clarify that it pertains to
alterations of authorization: "the alteration or waiver will not
adversely affect the privacy rights and the welfare of the individual."
*Comment:* A few commenters recommended that the proposed waiver
criteria that stated, "the research could not practicably be conducted
without the waiver," be modified to eliminate the term "practicably."
These commenters believed that determining "practicably" was subjective
and that its elimination would facilitate IRBs' and privacy boards'
implementation of this criterion. In addition, one commenter was
concerned that this term could be construed to require authorization if
enough weight is given to a privacy interest, and little weight is given
to cost or administrative burden. This commenter recommended that the
criterion be changed to allow a waiver if the "disclosure is necessary
to accomplish the research or statistical purpose for which the
disclosure is to be made."
*Response:* We disagree with the comments recommending that the term
"practicability" be deleted from this waiver criterion. We believe that
an assessment of practicability is necessary to account for research
that may be *possible* to conduct with authorization but that would be
impracticable if authorization were required. For example, in research
study that involves thousands of records, it may be possible to track
down all potential subjects, but doing so may entail costs that would
make the research impracticable. In addition, IRBs have experience
implementing this criterion since it is nearly identical to a waiver
criterion in the Common Rule (§ \_\_\_.116(d)(3)).
We also disagree with the recommendation to change the criterion to
state, "disclosure is necessary to accomplish the research or
statistical purpose for which the disclosure is to be made." We believe
it is essential that consideration be given as to whether it would be
practicable for research to be conducted with authorization in
determining whether a waiver of authorization is justified. If the
research could practicably be conducted with authorization, then
authorization must be sought. Authorization must not be waived simply
for convenience.
Therefore, in the final rule, we have retained this criterion and
clarified that it also applies to alterations of authorization. This
waiver criterion in the final rule states, "the research could not
practicably be conducted without the alteration or waiver."
*Comment:* Some commenters argued that the criterion which stated,
"whenever appropriate, the subjects will be provided with additional
pertinent information after participation," should be deleted. Some
comments recommended that the criterion should be deleted for privacy
reasons, arguing that it would be inappropriate to create a reason for
the researcher to contact the individual whose data were analyzed,
without IRB review of the proposed contact as a patient intervention.
Other commenters argued for the deletion of the criterion on grounds
that requiring researchers to contact patients whose records were used
for archival research would be unduly burdensome, while adding little to
the patient's base of information. Several commenters also argued that
the criterion was not pertinent to non-interventional retrospective
research requiring access to archived protected health information.
In addition, one commenter asserted that this criterion was inconsistent
with the Secretary's rationale for prohibiting disclosures of "research
information unrelated to treatment" for purposes other than research.
This commenter argued that the privacy regulations should not mandate
that a covered entity provide information with unknown validity or
utility directly to patients. This commenter recommended that a
patient's physician, not the researcher, should be the one to contact a
patient to discuss the significance of new research findings for that
individual patient's care.
*Response:* Although we disagree with the arguments made by commenters
recommending that this criterion be eliminated in the final rule, we
concluded that the criterion was not directly related to ensuring the
privacy rights and welfare of individuals. Therefore, we eliminated this
criterion in the final rule.
*Comment:* A few commenters recommended that the criterion, which
required that "the research would be impracticable to conduct without
access to and use of the protected health information," be deleted
because it would be too subjective to be meaningful.
*Response:* We disagree with comments asserting that this proposed
criterion would be too subjective. We believe that researchers should be
required to demonstrate to an IRB or privacy board why protected health
information is necessary for their research proposal. If a researcher
could practicably use de-identified health information for a research
study, protected health information should not be used or disclosed for
the study without individuals' authorization. Therefore, we retain this
criterion in the final rule. In considering this criterion, we expect
IRBs and privacy boards to consider the amount of information that is
needed for the study. To ensure the covered health care provider or
health plan is informed of what information the IRB or privacy board has
determined may be used or disclosed without authorization, the final
rule also requires that the documentation of IRB or privacy board
approval of the alteration or waiver describe the protected health
information for which use or access has been determined to be necessary.
*Comment:* A large number of comments objected to the proposed waiver
criterion, which stated that, "the research is of sufficient importance
so as to outweigh the intrusion of the privacy of the individual whose
information is subject to the disclosure." The majority of these
commenters argued that the criterion was overly subjective, and that due
to its subjectivity, IRBs and privacy boards would inevitably apply it
inconsistently. Several commenters asserted that this criterion was
unsound in that it would impose on reviewing bodies the explicit
requirement to form and debate conflicting value judgments about the
relative weights of the research proposal versus an individual's right
to privacy. Furthermore these commenters argued that this criterion was
also unnecessary because the Common Rule already has a requirement that
deals with this issue more appropriately. In addition, one commenter
argued that the rule eliminate this criterion because common purposes
should not override individual rights in a democratic society. Based on
these arguments, these commenters recommended that this criterion be
deleted.
*Response:* We disagree that it is inappropriate to ask IRBs and privacy
boards to ensure that there is a just balance between the expected
benefits and risks to individual participants from the research. As
noted by several commenters, IRBs currently conduct such a balancing of
risks and benefits because the Common Rule contains a similar criterion
for the approval of human subjects research (§ \_\_\_.111(a)(2)).
However, we disagree with the comments asserting that the proposed
criterion was unnecessary because the Common Rule already contains a
similar criterion. The Common Rule does not explicitly address the
privacy interests of research participants and does not apply to all
research that involves the use or disclosure of protected health
information. However, we agree that the relevant Common Rule criterion
for the approval of human subjects research provides better guidance to
IRBs and privacy boards for assessing the privacy risks and benefits of
a research proposal. Therefore, in the final rule, we modeled the
criterion on the relevant Common Rule requirement for the approval of
human subjects research, and revised the proposed criterion to state:
"the privacy risks to individuals whose protected health information is
to be used or disclosed are reasonable in relation to the anticipated
benefits if any to the individuals, and the importance of the knowledge
that may reasonably be expected to result from the research."
*Comment:* One commenter asserted that as long as the research
organization has adequate privacy protections in place to keep the
information from being further disclosed, it is unnecessary for the IRB
or privacy board to make a judgment on whether the value of the research
outweighs the privacy intrusion.
*Response:* The Department disagrees with the assertion that adequate
safeguards of protected health information are sufficient to ensure that
the privacy rights and welfare of individuals are adequately protected.
We believe it is imperative that there be an assessment of the privacy
risks and anticipated benefits of a research study that proposes to use
protected health information without authorization. For example, if a
research study was so scientifically flawed that it would provide no
useful knowledge, any risk to patient privacy that might result from the
use or disclosure of protected health information without individuals'
authorization would be too great.
*Comment:* A few commenters asserted that the proposed criterion
requiring "an adequate plan to destroy the identifiers at the earliest
opportunity consistent with the conduct of the research, unless there is
a health or research justification for retaining identifiers,"
conflicted with the regulations of the FDA on clinical record keeping
(21 CFR 812.140(d)) and the International Standard Organization on
control of quality records (ISO 13483, 4.16), which require that
relevant data be kept for the life of a device.
In addition, one commenter asserted that this criterion could prevent
follow up care. Similarly, other commenters argued that the new waiver
criteria would be likely to confuse IRBs and may impair researchers'
ability to go back to IRBs to request extensions of time for which
samples or data can be stored if researchers are unable to anticipate
future uses of the data
*Response:* We do not agree with the comment that there is a conflict
between either the FDA or the ISO regulations and the proposed waiver
criteria in the rule. We believe that compliance with such recordkeeping
requirements would be "consistent with the conduct of research" which is
subject to such requirements. Nonetheless, to avoid any confusion, in
the final rule we have added the phrase "or such retention is otherwise
required by law" to this waiver criterion.
We also disagree with the comments that this criterion would prevent
follow up care to individuals or unduly impair researchers from
retaining identifiers on data for future research. We believe that
patient care would qualify as a "health\...justification for retaining
identifiers." In addition, we understand that researchers may not always
be able to anticipate that the protected health information they receive
from a covered health care provider or health plan for one research
project may be useful for the conduct of future research studies.
However, we believe that the concomitant risk to patient privacy of
permitting researchers to retain identifiers they obtained without
authorization would undermine patient trust, unless researchers could
identify a health or research justification for retaining the
identifiers. In the final rule, an IRB or privacy board is not required
to establish a time limit on a researcher's retention of identifiers.
ADDITIONAL WAIVER CRITERIA
*Comment:* A few comments recommended that there be a additional waiver
criterion to safeguard or limit subsequent use or disclosure of
protected health information by the researcher.
*Response:* We agree with these comments. In the final rule, we include
a waiver criterion requiring "there are adequate written assurances that
the protected health information will not be re-used or disclosed to any
other person or entity, except as required by law, for authorized
oversight of the research project, or for other research for which the
use or disclosure of protected health information would be permitted by
this subpart."
*Waiving Authorization, in Whole or in Part*
*Comment:* A few commenters requested that the final rule clarify what
"in whole or in part" means if authorization is waived or altered.
*Response:* In the proposed rule, it was HHS' intent to permit IRBs and
privacy boards to either waive *all* of the elements for authorization,
or alternatively, waive only *some* of the elements of authorization.
Furthermore, we also intended to permit IRBs and privacy boards to alter
the authorization requirements. Therefore, in the final rule, we clarify
that the alteration to and waiver of authorization, in whole or in part,
are permitted as stipulated in § 164.512(i).
*Expedited Review*
*Comment:* One commenter asserted that the proposed rule would prohibit
expedited review as permitted under the Common Rule. Many commenters
supported the proposal in the rule to incorporate the Common Rule's
provision for expedited review, and strongly recommended that this
provision be retained in the final rule. Several of these commenters
argued that the expedited review mechanism provides IRBs with the
much-needed flexibility to focus volunteer-IRB members' limited
resources.
*Response:* We agree that expedited review should be available, and
included a provision permitting expedited review under specified
conditions. We understand that the National Bioethics Advisory
Commission is currently developing a report on the federal oversight of
human subjects research, which is expected to address the Common Rule's
requirements for expedited review. HHS looks forward to receiving the
National Bioethics Advisory Commission's report, and will modify the
provisions for expedited review in the privacy rule if changes are
warranted by the Commission's findings and recommendations.
*Required Signature*
*Comment:* A few commenters asserted that the proposed requirement that
the written documentation of IRB or privacy board approval be signed by
the chair of the IRB or the privacy board was too restrictive. Some
commenters recommended that the final rule permit the documentation of
IRB or privacy board approval to be signed by persons other than the IRB
or privacy board chair, including: (1) any person authorized to exercise
executive authority under IRB's or privacy board's written procedures;
(2) the IRB's or privacy board's acting chair or vice chair in the
absence of the chair, if permitted by IRB procedures; and (3) the
covered entity's privacy official.
*Response:* We agree with the commenters who argued that the final rule
should permit the documentation of IRB or privacy board approval to be
signed by someone other than the chair of the board. In the final rule,
we permit the documentation of alteration or waiver of authorization to
be signed by the chair or other member, as designated by the chair of
the IRB or privacy board, as applicable.
***Research Use and Disclosure with Authorization***
*Comment:* Some commenters, including several industry and consumer
groups, argued that the proposed rule would establish a two-tiered
system for public and private research. Privately funded research
conducted with an authorization for the use or disclosure of protected
health information would not require IRB or privacy board review, while
publically funded research conducted with authorization would require
IRB review as required by the Common Rule. Many of these commenters
argued that authorization is insufficient to protect patients involved
in research studies and recommended that IRB or privacy board review
should be required for all research regardless of sponsor. These
commenters asserted that it is not sufficient to obtain authorization,
and that IRBs and privacy boards should review the authorization
document, and assess the risks and benefits to individuals posed by the
research.
*Response:* For the reasons we rejected the recommendation that we
eliminate the option for privacy board review and require IRB review for
the waiver of authorization, we also decided against requiring
documentation of IRB or privacy board approval for research conducted
with authorization. HHS strongly agrees that IRB review is essential for
the adequate protection of human subjects involved in research,
regardless of whether informed consent and/or individuals' authorization
is obtained. In fact, IRB review may be even more important for research
conducted with subjects' informed consent and authorization since such
research may present greater than minimal risk to participants. However,
HHS' authority under HIPAA is limited to safeguarding the privacy of
protected health information, and does not extend to protecting human
subjects more broadly. Therefore, in the final rule we have not required
documentation of IRB or privacy board review for the research use or
disclosure of protected health information conducted with individuals'
authorization. As mentioned above, HHS looks forward to receiving the
recommendations of the National Bioethics Advisory Commission, which is
currently examining the current scope of federal regulatory protections
for protecting human subjects in research as part of its overarching
report on the federal oversight of human subjects protections.
*Comment:* Due to concern about several of the elements of
authorization, many commenters recommended that the final rule stipulate
that "informed consent" obtained pursuant to the Common Rule be deemed
to meet the requirements for "authorization." These commenters argued
that the NPRM's additional authorization requirements offered no
additional protection to research participants but would be a
substantive impediment to research.
*Response:* We disagree with the comments asserting that the proposed
requirements for authorization for the use or disclosure of protected
health information would have offered research subjects no additional
privacy protection. Because the purposes of authorization and informed
consent differ, the proposed rule's requirements for authorization
pursuant to a request from a researcher (§ 164.508) and the Common
Rule's requirements for informed consent (Common Rule, § \_\_\_.116)
contain important differences. For example, unlike the Common Rule, the
proposed rule would have required that the authorization include a
description of the information to be used or disclosed that identifies
the information in a specific and meaningful way, an expiration date,
and where, use of disclosure of the requested information will result in
financial gain to the entity, a statement that such gain will result. We
believe that the authorization requirements provide individuals with
information necessary to determine whether to authorize a specific use
or disclosure of protected health information about themselves, that are
not required by the Common Rule.
Therefore, in the final rule, we retain the requirement for
authorization for all uses and disclosures of protected health
information not otherwise permitted without authorization by the rule.
Some of the proposed requirements for authorization were modified in the
final rule as discussed in the preamble on § 164.508. The comments
received on specific proposed elements of authorization as they would
have pertained to research are addressed below.
*Comment:* A number of commenters, including several from industry and
consumer groups, recommended that the final rule require patients'
informed consent as stipulated in the Common Rule. These commenters
asserted that the proposed authorization document was inadequate for
research uses and disclosures of protected health information since it
included fewer elements than required for informed consent under the
Common Rule, including for example, the Common Rule's requirement that
the informed consent document include: (1) a description of any
reasonably foreseeable risks or discomforts to the subject; (2) a
description of any benefits to the subject or to others which may
reasonably be expected from the research (Common Rule, § \_\_\_.116(a)).
*Response:* While we agree that the ethical conduct of research requires
the voluntary informed consent of research subjects, as stipulated in
the Common Rule, as we have stated elsewhere, the privacy rule is
limited to protecting the confidentiality of individually identifiable
health information, and not protecting human subjects more broadly.
Therefore, we believe it would not be within the scope of the final rule
to require informed consent as stipulated by the Common Rule for
research uses and disclosures of protected health information.
*Comment:* Several commenters specifically objected to the authorization
requirement for a "expiration date." To remedy this concern, many of
these commenters proposed that the rule exempt research from the
requirement for an expiration date if an IRB has reviewed and approved
the research study. In particular, some commenters asserted that the
requirement for an expiration date would be impracticable in the context
of clinical trials, where the duration of the study depends on several
different factors that cannot be predicted in advance. These commenters
argued that determining an exact date would be impossible due to the
legal requirements that manufactures and the Food and Drug
Administration be able to retrospectively audit the source documents
when patient data are used in clinical trials. In addition, some
commenters asserted that a requirement for an expiration date would
force researchers to designate specific expiration dates so far into the
future as to render them meaningless.
*Response:* We agree with commenters that an expiration date is not
always possible or meaningful. In the final rule, we continue to require
an identifiable expiration, but permit it to be a specific date or an
event directly relevant to the individual or the purpose of the
authorization (e.g., for the duration of a specific research study) in
which the individual is a participant.
*Comment:* A number of commenters, including those from the
pharmaceutical industry, were concerned about the authorization
requirement that gave patients the right to revoke consent for
participation in clinical research. These commenters argued that such a
right to revoke authorization for the use of their protected health
information would require complete elimination of the information from
the record. Some stated that in the conduct of clinical trials, the
retrieval of individually identifiable health information that has
already been blinded and anonymized, is not only burdensome, but should
this become a widespread practice, would render the trial invalid. One
commenter suggested that the Secretary modify the proposed regulation to
allow IRBs or privacy boards to determine the duration of authorizations
and the circumstances under which a research participant should be
permitted to retroactively revoke his or her authorization to use data
already collected by the researcher.
*Response:* We agree with these concerns. In the final rule we have
clarified that an individual cannot revoke an authorization to the
extent that action has been taken in reliance on the authorization.
Therefore, if a covered entity has already used or disclosed protected
health information for a research study pursuant to an authorization
obtained as required by § 164.508, the covered entity is not required
under the rule, unless it agreed otherwise, to destroy protected health
information that was collected, nor retrieve protected health
information that was disclosed under such an authorization. However,
once an individual has revoked an authorization, no additional protected
health information may be used or disclosed unless otherwise permitted
by this rule.
*Comment:* Some commenters were concerned that the authorization
requirement to disclose "financial gain" would be problematic as it
would pertain to research. These commenters asserted that this
requirement could mislead patients and would make it more difficult to
attract volunteers to participate in research. One commenter recommended
that the statement be revised to state "that the clinical investigator
will be compensated for the value of his/her services in administrating
this clinical trial." Another commenter recommended that the
authorization requirement for disclosure of financial gain be defined in
accordance with FDA's financial disclosure rules.
*Response:* We strongly believe that a requirement for the disclosure of
financial gain is imperative to ensure that individuals are informed
about how and why protected health information about themselves will be
used or disclosed. We agree, however that the language of the proposed
requirement could cause confusion, because most activities involve some
type of financial gain. Therefore, in the final rule, we have modified
the language to provide that when the covered entity initiates the
authorization and the covered entity will receive direct or indirect
remuneration (rather than financial gain) from a third party in exchange
for using or disclosing the health information, the authorization must
include a statement that such remuneration will result.
*Comment:* A few commenters asserted that the requirement to include a
statement in which the patient acknowledged that information used or
disclosed to any entity other than a health plan or health care provider
may no longer be protected by federal privacy law would be inconsistent
with existing protections implemented by IRBs under the Common Rule. In
particular they stated that this inconsistency exists because IRBs are
required to consider the protections in place to protect patients'
confidential information and that IRBs are charged with ensuring that
researchers comply with the confidentiality provisions of the informed
consent document.
*Response:* We disagree that this proposed requirement would pose a
conflict with the Common Rule since the requirement was for a statement
that the "information may no longer be protected by the federal privacy
law." This statement does not pertain to the protections provided under
the Common Rule. In addition, while we anticipate that IRBs and privacy
boards will most often waive all or none of the authorization
requirements, we clarify an IRB or privacy board could alter this
requirement, among others, if the documentation requirements of §
164.512(i) have been met.
***Reviews Preparatory to Research***
*Comment:* Some industry groups expressed concern that the research
provision would prohibit physicians from using patient information to
recruit subjects into clinical trials. These commenters recommended that
researchers continue to have access to hospitals' and clinics' patient
information in order to recruit patients for studies.
*Response:* Under the proposed rule, even if the researcher only viewed
the medical record at the site of the covered entity and did not record
the protected health information in a manner that patients could be
identified, such an activity would have constituted a use or disclosure
that would have been subject to proposed § 164.508 or proposed §
164.510. Based on the comments received and the fact finding we
conducted with the research community, we concluded that documentation
of IRB or privacy board approval could halt the development of research
hypotheses that require access to protected health information before a
formal protocol can be developed and brought to an IRB or privacy board
for approval. To avoid this unintended result, the final rule permits
covered health care providers and health plans to use or disclose
protected health information for research if the covered entity obtains
from the researcher representations that: (1) use or disclosure is
sought solely to review protected health information as necessary to
prepare a research protocol or for similar purposes preparatory to
research; (2) no protected health information is to be removed from the
covered entity by the researcher in the course of the review; and (3)
the protected health information for which use or access is sought is
necessary for the research purposes.
*Comment:* A few commenters asserted that the final rule should
eliminate the possibility that research requiring access to protected
health information could be determined to be "exempt" from IRB review,
as provided by the Common Rule (§ \_\_\_.101(b)(4)).
*Response:* The rule did not propose nor intend to modify any aspect of
the Common Rule, including the provision that exempts from coverage,
"research involving the collection or study of existing data, documents,
records, pathological specimens, or diagnostic specimens, if these
sources are publically available, or if the information is recorded by
the investigator in such a manner that subjects cannot be identified,
directly or indirectly through identifiers linked to the subjects" (§
\_\_\_.101(b)(4)). For the reasons discussed above, we have included a
provision in the final rule for reviews preparatory to research that was
modeled on this exemption to the Common Rule.
***Deceased Persons Exception for Research***
*Comment:* A few commenters expressed support for the proposal to allow
use and disclosure of protected health information about decedents for
research purposes without the protections afforded to the protected
health information of living individuals. One commenter, for example,
explained that it extensively uses such information in its research, and
any restrictions were likely to impede its efforts. Alternately, a
number of commenters provided arguments for eliminating the research
exception for deceased persons. They commented that the same concerns
regarding use and disclosure of genetic and hereditary information for
other purposes apply in the research context. They believed that in many
cases the risk of identification was greater in the research context
because researchers may attempt to identify genetic and hereditary
conditions of the deceased. Finally, they argued that while information
of the deceased does not necessarily identify living relatives by name,
living relatives could be identified and suffer the same harm as if
their own medical records were used or disclosed for research purposes.
Another commenter stated that the exception was unnecessary, and that
existing research could and should proceed under the requirements in
proposed § 164.510 that dictated the IRB/privacy board approval process
or be conducted using de-identified information. This commenter further
stated that in this way, at least there would be some degree of
assurance that all reasonable steps are taken to protect deceased
persons' and their families' confidentiality.
*Response:* Although we understand the concerns raised by commenters, we
believe those concerns are outweighed by the need to keep the
research-related policies in this rule as consistent as possible with
standard research practice under the Common Rule, which does not
consider deceased persons to be "human subjects." Thus, we retain the
exception in the final rule. With regard to the protected health
information about a deceased individual, therefore, a covered entity is
permitted to use or disclose such information for research purposes
without obtaining authorization from a personal representative and
absent approval by an IRB or privacy board as governed by § 164.512(i).
We note that the National Bioethics Advisory Committee (NBAC) is
currently considering revising the Common Rule's definition of "human
subject" with regard to coverage of the deceased. However, at this time,
NBAC's deliberations on this issue are not yet completed and any
reliance on such discussions would be premature.
The final rule requires at § 164.512(i)(1)(iii) that covered entities
obtain from the researcher (1) representation that the use or disclosure
is sought solely for research on the protected health information of
decedents; (2) documentation, at the request of the covered entity, of
the death of such individuals; and (3) representation that the protected
health information for which use or disclosure is sought is necessary
for the research purposes. It is our intention with this change to
reduce the burden and ambiguity on the part of the covered entity to
determine whether or not the request is for protected health information
of a deceased individual.
*Comment:* Some commenters, in their support of the research exception,
requested that HHS clarify in the final rule that protected health
information obtained during the donation process of eyes and eye tissue
could continue to be used or disclosed to or by eye banks for research
purposes without an authorization and without IRB approval. They
expressed concern over the impediments to this type of research these
approvals would impose, such as added administrative burden and
vulnerabilities to the time sensitive nature of the process.
Another commenter similarly expressed the position that, with regard to
uses and disclosures of protected health information for tissue, fluid,
or organ donation, the regulation should not present an obstacle to the
transfer of donations unsuitable for transplant to the research
community. However, they believed that consent can be obtained for such
purposes since the donor or donor's family must generally consent to any
transplant purposes, it would seem to be a minimal additional obligation
to seek consent for research purposes at the same time, should the
material be unsuitable for transplant.
*Response:* Protected health information about a deceased individual,
including information related to eyes and eye tissue, can be used or
disclosed further for research purposes by a covered entity in
accordance with § 164.512(i)(1)(iii) without authorization or IRB or
privacy board approval. This rule does not address whether organs
unsuitable for transplant may be transferred to researchers with or
without consent.
***Modification of the Common Rule***
*Comment*: We received a number of comments that interpreted the
proposed rule as having unnecessarily and inappropriately amended the
Common Rule. Assuming that the Common Rule was being modified, these
comments argued that the rule was legally deficient under the
Administrative Procedures Act, the Regulatory Flexibility Act, and other
controlling Executive orders or laws.
In addition, one research organization expressed concern that, by
involving IRBs in the process of approving a waiver of authorization for
disclosure purposes and establishing new criteria for such waiver
approvals, the proposed rule would have subjected covered entities whose
IRBs failed to comply with the requirements for reviewing and approving
research to potential sanctions under HIPAA. The comment recommended
that the rule be changed to eliminate such a punitive result.
Specifically, the comment recommended that the existing Common Rule
structure be preserved for IRB‑approved research, and that the waiver of
authorization criteria for privacy purposes be kept separate from the
other the functions of the IRB.
*Response:* We disagree with the comments asserting the proposed rule
attempted to change the Common Rule. It was not our intent to modify or
amend the Common Rule or to regulate the activities of the IRBs with
respect to the underlying research. We therefore reject the comments
about legal deficiencies in the rule which are based on the mistaken
perception that the Common Rule was being amended. The proposed rule
established new requirements for covered entities before they could use
or disclose protected health information for research without
authorization. The proposed rule provided that one method by which a
covered entity could obtain the necessary documentation was to receive
it from an IRB. We did not mandate IRBs to perform such reviews, and we
expressly provided for means other than through IRBs for covered
entities to obtain the required documentation.
In the final rule, we also have clarified our intent not to interfere
with existing requirements for IRBs by amending the language in the
waiver criteria to make clear that these criteria relate to the privacy
interests of the individual and are separate from the criteria that
would be applied by an IRB to any evaluation of the underlying research.
Moreover, we have restructured the final rule to also make clear that we
are regulating only the content and conditions of the documentation upon
which a covered entity may rely in making a disclosure of protected
health information for research purposes.
We cannot and do not purport to regulate IRBs or modify the Common Rule
through this regulation. We cannot under this rule penalize an IRB for
failure to comply with the Common Rule, nor can we sanction an IRB based
on the documentation requirements in the rule. Health plans and covered
health care providers may rely on documentation from an IRB or privacy
board concerning the alteration or waiver of authorization for the
disclosure of protected health information for research purposes,
provided the documentation, on its face, meets the requirements in the
rule. Health plans and covered health care providers will not be
penalized for relying on facially adequate documentation from an IRB.
Health plans and covered health providers will only be penalized for
their own errors or omissions in following the requirements of the rule,
and not those of the IRB.
***Use Versus Disclosure***
*Comment:* Many of the comments supported the proposed rule's provision
that would have imposed the same requirements for both research uses and
research disclosures of protected health information.
*Response:* We agree with these comments. In the final rule we retain
identical use and disclosure requirements for research uses and
disclosures of protected health information by covered entities.
*Comment:* In contrast, a few commenters recommended that there be fewer
requirements on covered entities for internal research uses of protected
health information.
*Response:* For the reasons discussed above in § 164.501 on the
definition of "research," we disagree that an individual's privacy
interest is of less concern when covered entities use protected health
information for research purposes than when covered entities disclose
protected health information for research purposes. Therefore, in the
final rule, the research-related requirements of § 164.512(i) apply to
both uses and disclosures of protected health information for research
purposes without authorization.
***Additional Resources for IRBs***
*Comment:* A few commenters recommended that HHS work to provide
additional resources to IRBs to assist them in meeting their new
responsibilities.
*Response:* This recommendation is beyond our statutory authority under
HIPAA, and therefore, cannot be addressed by the final rule. However, we
fully agree that steps should be taken to moderate the workload of IRBs
and to ensure adequate resources for their activities. Through the
Office for Human Research Protections, the Department is committed to
working with institutions and IRBs to identify efficient ways to
optimize utilization of resources, and is committed to developing
guidelines for appropriate staffing and workload levels for IRBs.
***Additional Suggested Requirements***
*Comment:* One commenter recommended that the documentation of IRB or
privacy board approval also be required to state that, "the health
researcher has fully disclosed which of the protected health information
to be collected or created would be linked to other protected health
information, and that appropriate safeguards be employed to protect
information against re-identification or subsequent unauthorized
linkages."
*Response:* The proposed provision for the use or disclosure of
protected health information for research purposes without authorization
only pertained to individually identifiable health information.
Therefore, since the information to be obtained would be individually
identifiable, we concluded that it was illogical to require IRBs and
privacy boards document that the researcher had "fully disclosed
that\...appropriate safeguards be employed to protect information
against re-identification or subsequent unauthorized linkages."
Therefore, we did not incorporate this recommendation into the final
rule.
**Section 164.512(j)---Uses and Disclosures to Avert a Serious Threat to
Health or Safety**
*Comment:* Several commenters generally stated support for proposed §
164.510(k), which was titled "Uses and Disclosures in Emergency
Circumstances." One commenter said that "narrow exceptions to
confidentiality should be permitted for emergency situations such as
duty to warn, duty to protect, and urgent law enforcement needs."
Another commented that the standard "\...based on a reasonable belief
that the disclosures are necessary to prevent or lessen a serious and
imminent threat to the health or safety of an individual" would apply in
only narrow treatment circumstances. Some commenters suggested that the
provision be further narrowed, for example, with language specifically
identifying "imminent threats" and a "chain-of-command clearance
process," or by limiting permissible disclosures under this provision to
"public health emergencies," or "national emergencies." Others proposed
procedural requirements, such as specifying that such determinations may
only be made by the patient's treating physician, a licensed mental
health care professional, or as validated by three physicians. One
commenter recommended stating that the rule is not intended to create a
duty to warn or to disclose protected health information but rather
permits such disclosure in emergency circumstances, consistent with
other applicable legal or ethical standards.
*Response:* We agree with the commenters who noted that the proposed
provision would apply in rare circumstances. We clarify, however, that
we did not intend for the proposed provision to apply to emergency
*treatment* scenarios as discussed below. In the final rule, to avoid
confusion over the circumstances in which we intend this section to
apply, we retitle it "Uses and Disclosures to Avert a Serious Threat to
Health or Safety."
We do not believe it would be appropriate to narrow further the scope of
permissible disclosures under this section to respond to specifically
identified "imminent threats," a "public health emergency," or a
"national emergency." We believe it would be impossible to enumerate all
of the scenarios that may warrant disclosure of protected health
information pursuant to this section. Such cases may involve a small
number of people and may not necessarily involve a public health
emergency or a national emergency.
Furthermore, in response to comments arguing that the proposed provision
was too broad, we note that under both the NPRM and the final rule, we
allow but do not require disclosures in situations involving serious and
imminent threats to health or safety. Health plans and covered health
care providers may make the disclosures allowed under § 164.512(j)
consistent with applicable law and standards of ethical conduct.
As indicated in the preamble to the NPRM, the proposed approach is
consistent with statutory and case law addressing this issue. The most
well-known case on the topic is *Tarasoff v. Regents of the University
of California,* 17 Cal. 3d 425 (1976), which established a duty to warn
those at risk of harm when a therapist's patient made credible threats
against the physical safety of a specific person. The Supreme Court of
California found that the therapist involved in the case had an
obligation to use reasonable care to protect the intended victim of his
patient against danger, including warning the victim of the peril. Many
states have adopted, in statute or through case law, versions of the
*Tarasoff* duty to warn or protect. Although *Tarasoff* involved a
psychiatrist, this provision is not limited to disclosures by
psychiatrists or other mental health professionals. As stated in the
preamble of the NPRM, we clarify that § 164.512(j) is not intended to
create a duty to warn or disclose protected health information.
*Comment:* Several comments addressed the portion of proposed §
164.510(k) that would have provided a presumption of reasonable belief
to covered entities that disclosed protected health information pursuant
to this provision, when such disclosures were made in good faith, based
on credible representation by a person with apparent knowledge or
authority. Some commenters recommended that this standard be applied to
all permissible disclosures without consent or to such disclosures to
law enforcement officials.
Alternatively, a group representing health care provider management
firms believed that the proposed presumption of reasonable belief would
not have provided covered entities with sufficient protection from
liability exposure associated with improper uses or disclosures. This
commenter recommended that a general good-faith standard apply to
covered entities' decisions to disclose protected health information to
law enforcement officials. A health plan said that HHS should consider
applying the standard of reasonable belief to all uses and disclosures
that would have been allowed under proposed § 164.510. Another commenter
questioned how the good-faith presumption would apply if the information
came from a confidential informant or from a person rather than a
doctor, law enforcement official, or government official. (The NPRM
listed doctors, law enforcement officials, and other government
officials as examples of persons who may make credible representations
pursuant to this section.)
*Response:* As discussed above, this provision is intended to apply in
rare circumstances---circumstances that occur much less frequently than
those described in other parts of the rule. Due to the importance of
averting serious and imminent threats to health and safety, we believe
it is appropriate to apply a presumption of good faith to covered
entities disclosing protected health information under this section. We
believe that the extremely time-sensitive and urgent conditions
surrounding the need to avert a serious and imminent threat to the
health or safety are fundamentally different from those involved in
disclosures that may be made pursuant to other sections of the rule.
Therefore, we do not believe it would be appropriate to apply to other
sections of the rule the presumption of good faith that applies in §
164.512(j). We clarify that we intend for the presumption of good faith
to apply if the disclosure is made in good faith based upon a credible
representation by *any* person with apparent knowledge or
authority---not just by doctors, law enforcement or other government
officials. Our listing of these persons in the NPRM was illustrative
only, and it was not intended to limit the types of persons who could
make such a credible representation to a covered entity.
*Comment:* One commenter questioned under what circumstances proposed §
164.510(k) would apply instead of proposed § 164.510(f)(5), "Urgent
Circumstances," which permitted covered entities to disclose protected
health information to law enforcement officials about individuals who
are or are suspected to be victims of a crime, abuse, or other harm, if
the law enforcement official represents that the information is needed
to determine whether a violation of law by a person other than the
victim has occurred and immediate law enforcement activity that depends
upon obtaining such information may be necessary.
*Response*: First, we note that inclusion of this provision as §
164.510(f)(5)(5) was a drafting error which subsequently was clarified
in technical corrections to the NPRM. In fact, proposed § 164.510(f)(3)
addressed the identical circumstances, which in this subsection were
titled "Information about a Victim of Crime or Abuse." The scenarios
described under § 164.510(f)(3) may or may not involve serious and
imminent threats to health or safety.
Second, as discussed in the main section of the preamble to §
164.512(j), we recognize that in some situations, more than one section
of this rule potentially could apply with respect to a covered entity's
potential disclosure of protected health information. We clarify that if
a situation fits one section of the rule (e.g., § 164.512(j) on serious
and imminent threats to health or safety), health plans and covered
health care providers may disclose protected health information pursuant
to that section, regardless of whether the disclosure also could be made
pursuant to another section (e.g., §§ 164.512(f)(2) or 164.512(f)(3),
regarding disclosure of protected health information about suspects or
victims to law enforcement officials), except as otherwise stated in the
rule.
*Comment:* A state health department indicated that the disclosures
permitted under this section may be seen as conflicting with existing
law in many states.
*Response:* As indicated in the regulation text for § 164.512(j), this
section allows disclosure consistent with applicable law and standards
of ethical conduct. We do not preempt any state law that would prohibit
disclosure of protected health information in the circumstances to which
this section applies. (See Part 160, Subpart B.)
*Comment:* Many commenters stated that the rule should require that any
disclosures should not modify "duty to warn" case law or statutes.
*Response:* The rule does not affect case law or statutes regarding
"duty to warn." In § 164.512(j), we specifically permit covered entities
to disclose protected health information without authorization for the
purpose of protecting individuals from imminent threats to health and
safety, consistent with state laws and ethical obligations.
**Section 164.512(k)---Uses and Disclosures for Specialized Government
Functions**
***Military Purposes***
*Armed Forces Personnel and Veterans*
*Comment:* A few comments opposed the proposed rule's provisions on the
military, believing that they were too broad. Although acknowledging
that the Armed Forces may have legitimate needs for access to protected
health data, the commenters believed that the rule failed to provide
adequate procedural protections to individuals. A few comments said
that, except in limited circumstances or emergencies, covered entities
should be required to obtain authorization before using or disclosing
protected health information. A few comments also expressed concern over
the proposed rule's lack of specific safeguards to protect the health
information of victims of domestic violence and abuse. While the
commenters said they understood why the military needed access to health
information, they did not believe the rule would impede such access by
providing safeguards for victims of domestic violence or abuse.
*Response:* We note that the military comprises a unique society and
that members of the Armed Forces do not have the same freedoms as do
civilians. The Supreme Court held in *Goldman v. Weinberger*, 475 US 503
(1986), that the military must be able to command its members to
sacrifice a great many freedoms enjoyed by civilians and to endure
certain limits on the freedoms they do enjoy. The Supreme Court also
held in *Parker v. Levy*, 417 US 733 (1974), that the different
character of the military community and its mission required a different
application of Constitutional protections. What is permissible in the
civilian world may be impermissible in the military. We also note that
individuals entering military service are aware that they will not have,
and enjoy, the same rights as others.
The proposed rule would have authorized covered entities to use and
disclose protected health information about armed forces personnel only
for activities considered necessary by appropriate military command
authorities to assure the proper execution of the military mission. In
order for the military mission to be achieved and maintained, military
command authorities need protected health information to make
determinations regarding individuals' medical fitness to perform
assigned military duties.
The proposed rule required the Department of Defense (DoD) to publish a
notice in the *Federal Register* identifying its intended uses and
disclosures of protected health information, and we have retained this
approach in the final rule. This notice will serve to limit command
authorities' access to protected health information to circumstances in
which disclosure of protected health information is necessary to assure
proper execution of the military mission.
With respect to comments regarding the lack of procedural safeguards for
individuals, including those who are victims of domestic violence and
abuse, we note that the rule does not provide new authority for covered
entities providing health care to individuals who are Armed Forces
personnel to use and disclose protected health information. Rather, the
rule allows the Armed Forces to use and disclose such information only
for those military mission purposes which will be published separately
in the *Federal Register*. In addition, we note that the Privacy Act of
1974, as implemented by the DoD, provides numerous protections to
individuals.
We modify the proposal to publish privacy rules for the military in the
*Federal Register*. The NPRM would have required this notice to include
information on the activities for which use or disclosure of protected
health information would occur in order to assure proper execution of
the military mission. We believe that this proposed portion of the
notice is redundant and thus unnecessary in light the rule's application
to military services. In the final rule, we eliminate this proposed
section of the notice, and we state that health plans and covered health
care providers may use and disclose protected health information of
Armed Forces personnel for activities considered necessary by
appropriate military command authorities to assure the proper execution
of a military mission, where the appropriate military authority has
published a *Federal Register* notice identifying: (1) the appropriate
military command authorities; and (2) the purposes for which protected
health information may be used or disclosed.
*Comment:* A few commenters, members of the affected beneficiary class,
which numbers approximately 2.6 million (active duty and reserve
military personnel), opposed proposed § 164.510(m) because it would have
allowed a non-governmental covered entity to provide protected health
information without authorization to the military. These commenters were
concerned that military officials could use the information as the basis
for taking action against individuals.
*Response:* The Secretary does not have the authority under HIPAA to
regulate the military's re-use or re-disclosure of protected health
information obtained from health plans and covered health care
providers. This provision's primary intent is to ensure that proper
military command authorities can obtain needed medical information held
by covered entities so that they can make appropriate determinations
regarding the individual\'s medical fitness or suitability for military
service. Determination that an individual is not medically qualified for
military service would lead to his or her discharge from or rejection
for service in the military. Such actions are necessary in order for the
Armed Forces to have medically qualified personnel, ready to perform
assigned duties. Medically unqualified personnel not only jeopardize the
possible success of a mission, but also pose an unacceptable risk or
danger to others. We have allowed such uses and disclosures for military
activities because it is in the Nation's interest.
*Separation or Discharge from Military Service*
*Comment:* The preamble to the NPRM solicited comments on the proposal
to permit the DoD to transfer, without authorization, a service
member\'s military medical record to the Department of Veterans Affairs
(DVA) when the individual completed his or her term of military service.
A few commenters opposed the proposal, believing that authorization
should be obtained. Both the DoD and the DVA supported the proposal,
noting that transfer allows the DVA to make timely determinations as to
whether a veteran is eligible for benefits under programs administered
by the DVA.
*Response:* We note that the transfer program was established based on
recommendations by Congress, veterans groups, and veterans; that it has
existed for many years; and that there has been no objection to, or
problems associated with, the program. We also note that the Department
of Transportation (DoT) and the Department of Veterans Affairs operate
an analogous transfer program with respect to United States Coast Guard
personnel, who comprise part of the U.S. Armed Forces. The protected
health information involved the DoD/DVA transfer program is being
disclosed and used for a limited purpose that directly benefits the
individual. This information is covered by, and thus subject to the
protections of, the Privacy Act. For these reasons, the final rule
retains the DoD/DVA transfer program proposed in the NPRM. In addition,
we expand the NPRM's proposed provisions regarding the Department of
Veterans Affairs to include the DoT/DVA program, to authorize the
continued transfer of these records.
*Comment:* The Department of Veterans Affairs supported the NPRM's
proposal to allow it to use and disclose protected health information
among components of the Department so that it could make determinations
on whether an individual was entitled to benefits under laws
administered by the Department. Some commenters said that the
permissible disclosure pursuant to this section appeared to be
sufficiently narrow in scope, to respond to an apparent need. Some
commenters also said that the DVA's ability to make benefit
determinations would be hampered if an individual declined to authorize
release of his or her protected health information. A few commenters,
however, questioned whether such an exchange of information currently
occurs between the components. A few commenters also believed the
proposed rule should be expanded to permit sharing of information with
other agencies that administer benefit programs.
*Response:* The final rule retains the NPRM's approach regarding use and
disclosure of protected health information without authorization among
components of the DVA for the purpose of making eligibility
determinations based on commenters' assessment that the provision was
narrow in scope and that an alternative approach could negatively affect
benefit determinations for veterans. We modify the NPRM language
slightly, to clarify that it refers to a health plan or covered health
care provider that is a component of the DVA. These component entities
may use or disclose protected health information without authorization
among various components of the Department to determine eligibility for
or entitlement to veterans' benefits. The final rule does not expand the
scope of permissible disclosures under this provision to allow the DVA
to share such information with other agencies. Other agencies may obtain
this information only with authorization, subject to the requirements of
§ 164.508.
*Foreign Military Personnel*
*Comments:* A few comments opposed the exclusion of foreign diplomatic
and military personnel from coverage under the rule. These commenters
said that the mechanisms that would be necessary to identify these
personnel for the purpose of exempting them from the rule's standards
would create significant administrative difficulties. In addition, they
believed that this provision would have prohibited covered entities from
making disclosures allowed under the rule. Some commenters were
concerned that implementation of the proposed provision would result in
disparate treatment of foreign military and diplomatic personnel with
regard to other laws, and that it would allow exploitation of these
individuals' health information. These commenters believed that the
proposed rule's exclusion of foreign military and diplomatic personnel
was unnecessarily broad and that it should be narrowed to meet a
perceived need. Finally, they noted that the proposed exclusion could be
affected by the European Union\'s Data Protection Directive.
*Response:* We agree with the commenters' statement that the NPRM's
exclusion of foreign military and diplomatic personnel from the rule's
provisions was overly broad. Thus, the final rule's protections apply to
these personnel. The rule covers foreign military personnel under the
same provisions that apply to all other members of the U.S. Armed
Forces, as described above. Foreign military authorities need access to
protected health information for the same reason as must United States
military authorities: to ensure that members of the armed services are
medically qualified to perform their assigned duties. Under the final
rule, foreign diplomatic personnel have the same protections as other
individuals.
*Intelligence Community*
*Comments:* A few commenters opposed the NPRM's provisions regarding
protected health information of intelligence community employees and
their dependents being considered for postings overseas, on the grounds
that the scope of permissible disclosure without authorization was too
broad. While acknowledging that the intelligence community may have
legitimate needs for its employees' protected health information, the
commenters believed that the NPRM failed to provide adequate procedural
protections for the employees' information. A few comments also said
that the intelligence community should be able to obtain their
employees' health information only with authorization. In addition,
commenters said that the intelligence community should make disclosure
of protected health information a condition of employment.
*Response:* Again, we agree that the NPRM's provision allowing
disclosure of the protected health information of intelligence community
employees without authorization was overly broad. Thus we eliminate it
in the final rule. The intelligence community can obtain this
information with authorization (pursuant to § 164.508), for example,
when employees or their family members are being considered for an
oversees assignment and when individuals are applying for employment
with or seeking a contract from an intelligence community agency.
***National Security and Intelligence Activities and Protective Services
for the President and Others***
*Comment:* A number of comments opposed the proposed \"intelligence and
national security activities\" provision of the law enforcement section
(§ 164.510(f)(4)), suggesting that it was overly broad. These commenters
were concerned that the provision lacked sufficient procedural
safeguards to prevent abuse of protected health information. The Central
Intelligence Agency (CIA) and the Department of Defense (DoD) also
expressed concern over the provision's scope. The agencies said that if
implemented as written, the provision would have failed to accomplish
fully its intended purpose of allowing the disclosure of protected
health information to officials carrying out intelligence and national
security activities other than law enforcement activities. The CIA and
DoD believed that the provision should be moved to another section of
the rule, possibly to proposed § 164.510(m) on specialized classes, so
that authorized intelligence and national security officials could
obtain individuals' protected health information without authorization
when lawfully engaged in intelligence and national security activities.
*Response:* In the final rule, we clarify that this provision does not
provide new authority for intelligence and national security officials
to acquire health information that they otherwise would not be able to
obtain. Furthermore, the rule does not confer new authority for
intelligence, national security, or Presidential protective service
activities. Rather, the activities permissible under this section are
limited to those authorized under current law and regulation (e.g., for
intelligence activities, 50 U.S.C. 401, *et seq.*, Executive Order
12333, and agency implementing regulatory authorities). For example, the
provision regarding national security activities pertains only to
foreign persons that are the subjects of legitimate and lawful
intelligence, counterintelligence, or other national security
activities. In addition, the provision regarding protective services
pertains only to those persons who are the subjects of legitimate
investigations for threatening or otherwise exhibiting an inappropriate
direction of interest toward U.S. Secret Service protectees pursuant to
18 U.S.C. 871, 879, and 3056. Finally, the rule leaves intact the
existing State Department regulations that strictly limit the disclosure
of health information pertaining to employees (e.g., Privacy Issuances
at State-24 Medical Records).
We believe that because intelligence/national security activities and
Presidential/other protective service activities are discrete functions
serving different purposes, they should be treated consistently but
separately under the rule. For example, medical information is used as a
complement to other investigative data that are pertinent to conducting
comprehensive threat assessment and risk prevention activities pursuant
to 18 U.S.C. 3056. In addition, information on the health of world
leaders is important for the provision of protective services and other
functions. Thus, § 164.512(k) of the final rule includes separate
subsections for national security/intelligence activities and for
disclosures related to protective services to the President and others.
We note that the rule does not require or compel a health plan or
covered health care provider to disclose protected health information.
Rather, two subsections of § 164.512(k) allow covered entities to
disclose information for intelligence and national security activities
and for protective services to the President and others only to
authorized federal officials conducting these activities, when such
officials are performing functions authorized by law.
We agree with DoD and CIA that the NPRM, by including these provisions
in the law enforcement section (proposed § 164.510(f)), would have
allowed covered entities to disclose protected health information for
national security, intelligence, and Presidential protective activities
only to law enforcement officials. We recognize that many officials
authorized by law to carry out intelligence, national security, and
Presidential protective functions are not law enforcement officials.
Therefore, the final rule allows covered entities to disclose protected
health information pursuant to this provision not only to law
enforcement officials, but to all federal officials authorized by law to
carry out the relevant activities. In addition, we remove this provision
from the law enforcement section and include it in § 164.512(k) on uses
and disclosures for specialized government functions
***Medical Suitability Determinations***
*Comment:* A few comments opposed the NPRM's provision allowing the
Department of State to use protected health information for medical
clearance determinations. These commenters believed that the scope of
permissible disclosures under the proposed provision was too broad.
While acknowledging that the Department may have legitimate needs for
access to protected health data, the commenters believed that
implementation of the proposed provision would not have provided
adequate procedural safeguards for the affected State Department
employees. A few comments said that the State Department should be able
to obtain protected health information for medical clearance
determinations only with authorization. A few comments also said that
the Department should be able to disclose such information only when
required for national security purposes. Some commenters believed that
the State Department should be subject to the *Federal Register* notice
requirement that the NPRM would have applied to the Department of
Defense. A few comments also opposed the proposed provision on the basis
that it would conflict with the Rehabilitation Act of 1973 or that it
appeared to represent an invitation to discriminate against individuals
with mental disorders.
*Response*: We agree with commenters who believed that the NPRM's
provision regarding the State Department's use of protected health
information without authorization was unnecessarily broad. Therefore, in
the final rule, we restrict significantly the scope of protected health
information that the State Department may use and disclose without
authorization. First, we allow health plans and covered health care
providers that are a component of the State Department to use and
disclose protected health information without authorization when making
medical suitability determinations for security clearance purposes. For
the purposes of a security investigation, these components may disclose
to authorized State Department officials whether or not the individual
was determined to be medically suitable. Furthermore, we note that the
rule does not confer authority on the Department to disclose such
information that it did not previously possess. The Department remains
subject to applicable law regarding such disclosures, including the
Rehabilitation Act of 1973.
The preamble to the NPRM solicited comment on whether there was a need
to add national security determinations under Executive Order 10450 to
the rule's provision on State Department uses and disclosures of
protected health information for security determinations. While we did
not receive comment on this issue, we believe that a limited addition is
warranted and appropriate. Executive Orders 10450 and 12968 direct
Executive branch agencies to make certain determinations regarding
whether their employees' access to classified information is consistent
with the national security interests of the United States. Specifically,
the Executive Orders state that access to classified information shall
be granted only to those individuals whose personal and professional
history affirmatively indicates, *inter alia*, strength of character,
trustworthiness, reliability, and sound judgment. In reviewing the
personal history of an individual, Executive branch agencies may
investigate and consider any matter, including a mental health issue or
other medical condition, that relates directly to any of the enumerated
factors.
In the vast majority of cases, Executive agencies require their security
clearance investigators to obtain the individual's express consent in
the form of a medical release, pursuant to which the agency can conduct
its background investigation and obtain any necessary health
information. This rule does not interfere with agencies' ability to
require medical releases for purposes of security clearances under these
Executive Orders.
In the case of the Department of State, however, it may be impracticable
or infeasible to obtain an employee's authorization when exigent
circumstances arise overseas. For example, when a Foreign Service
Officer is serving at an overseas post and he or she develops a critical
medical problem which may or may not require a medical evacuation or
other equally severe response, the Department's medical staff have
access to the employee's medical records for the purpose of making a
medical suitability determination under Executive Orders 10450 and
12968. To restrict the Department's access to information at such a
crucial time due to a lack of employee authorization leaves the
Department no option but to suspend the employee's security clearance.
This action automatically would result in an immediate forced departure
from post, which negatively would affect both the Department, due to the
unexpected loss of personnel, and the individual, due to the fact that a
forced departure can have a long-term impact on his or her career in the
Foreign Service.
For this reason, the rule contains a limited security clearance
exemption for the Department of State. The exemption allows the
Department's own medical staff to continue to have access to an
employee's medical file for the purpose of making a medical suitability
determination for security purposes. The medical staff can convey a
simple "yes" or "no" response to those individuals conducting the
security investigation within the Department. In this way, the
Department is able to make security determinations in exigent
circumstances without disclosing any specific medical information to any
employees other than the medical personnel who otherwise have routine
access to these same medical records in an everyday non-security
context.
Second, and similarly, the final rule establishes a similar system for
disclosures of protected health information necessary to determine
worldwide availability or availability for mandatory service abroad
under Sections 101(a)(4) and 504 of the Foreign Service Act. The Act
requires that Foreign Service members be suitable for posting throughout
the world and for certain specific assignments. For this reason, we
permit a limited exemption to serve the purposes of the statute. Again,
the medical staff can convey availability determinations to State
Department officials who need to know if certain Foreign Service members
are available to serve at post.
Third, and finally, the final rule recognizes the special statutory
obligations that the State Department has regarding family members of
Foreign Service members under Sections 101(b)(5) and 904 of the Foreign
Service Act. Section 101(b)(5) of the Foreign Service Act requires the
Department of State to mitigate the impact of hardships, disruptions,
and other unusual conditions on families of Foreign Service Officers.
Section 904 requires the Department to establish a health care program
to promote and maintain the physical and mental health of Foreign
Service member family members. The final rule permits disclosure of
protected health information to officials who need protected health
information to determine whether a family member can accompany a Foreign
Service member abroad.
Given the limited applicability of the rule, we believe it is not
necessary for the State Department to publish a notice in the *Federal
Register* to identify the purposes for which the information may be used
or disclosed. The final rule identifies these purposes, as described
above.
***Correctional Institutions***
Comments about the rule's application to correctional institutions are
addressed in § 164.501, under the definition of "individual."
**Section 164.512(l)---Disclosures for Workers' Compensation**
*Comment*: Several commenters stated that workers' compensation carriers
are excepted under the HIPAA definition of group health plan and
therefore we have no authority to regulate them in this rule. These
commenters suggested clarifying that the provisions of the proposed rule
did not apply to certain types of insurance entities, such as workers'
compensation carriers, and that such non-covered entities should have
full access to protected health information without meeting the
requirements of the rule. Other commenters argued that a complete
exemption for workers' compensation carriers was inappropriate.
*Response*: We agree with commenters that the proposed rule did not
intend to regulate workers' compensation carriers. In the final rule we
have incorporated a provision that clarifies that the term "health plan"
excludes "any policy, plan, or program to the extent that it provides,
or pays for the cost of, excepted benefits as defined in section
2791(c)(1) of the PHS Act." See discussion above under the definition of
"health plan" in § 164.501.
*Comment*: Some commenters argued that the privacy rule should defer to
other laws that regulate the disclosure of information to employers and
workers' compensation carriers. They commented that many states have
laws that require sharing of information - without consent - between
providers and employers or workers' compensation carriers.
*Response*: We agree that the privacy rule should permit disclosures
necessary for the administration of state and other workers'
compensation systems. To assure that workers' compensations systems are
not disrupted, we have added a new provisions to the final rule. The new
§ 164.512(l) permits covered entities to disclose protected health
information as authorized by and to the extent necessary to comply with
workers' compensation or other similar programs established by law that
provide benefits for work-related injuries or illnesses without regard
to fault. We also note that where a state or other law requires a use or
disclosure of protected health information under a workers' compensation
or similar scheme, the disclosure would be permitted under § 164.512(a).
*Comment*: Several commenters stated that if workers' compensation
carriers are to receive protected health information, they should only
receive the minimum necessary as required in § 164.514. The commenters
argued that employers and workers' compensation carriers should not have
access to the entire medical history or portions of the medical history
that have nothing to do with the injury in question. Further, the
covered provider and not the employer or carrier should determine
minimum necessary since the provider is a covered entity and only
covered entities are subject to sanctions for violations of the rule.
These commenters stated that the rule should clearly indicate the
ability of covered entities to refuse to disclose protected health
information if it went beyond the scope of the injury. Workers'
compensation carriers, on the other hand, argued that permitting
providers to determine the minimum necessary was inappropriate because
determining eligibility for benefits is an insurance function, not a
medical function. They stated that workers' compensation carriers need
access to the full range of information regarding treatment for the
injury underlying the claim, the claimants' current condition, and any
preexisting conditions that can either mitigate the claim or aggravate
the impact of the injury.
*Response*: Under the final rule, covered entities must comply with the
minimum necessary provisions unless the disclosure is required by law.
Our review of state workers' compensation laws suggests that many of
these laws address the issue of the scope of information that is
available to carriers and employers. The rule permits a provider to
disclose information that is authorized by such a law to the extent
necessary to comply with such law. Where the law is silent, the workers'
compensation carrier and covered health care provider will need to
discuss what information is necessary for the carrier to administer the
claim, and the health care provider may disclose that information. We
note that if the workers' compensation insurer has secured an
authorization from the individual for the release of protected health
information, the covered entity may release the protected health
information described in the authorization.
**SECTION 164.514 REQUIREMENTS FOR USES AND DISCLOSURES**
**Section 164.514(a)-(c)---De-identification**
***General Approach***
*Comments:* The comments on this topic almost unanimously supported the
concept of de-identification and efforts to expand its use. Although a
few comments suggested deleting one of the proposed methods or the
other, most appeared to support the two method approach for entities
with differing levels of statistical expertise.
Many of the comments argued that the standard for creation of
de-identified information should be whether there is a \"reasonable
basis to believe\" that the information has been de-identified. Others
suggested that the "reasonable basis" standard was too vague.
A few commenters suggested that we consider information to be
de-identified if all personal identifiers that directly reveal the
identity of the individual or provide a direct means of identifying
individuals have been removed, encrypted or replaced with a code.
Essentially, this recommendation would require only removal of "direct"
identifiers (e.g., name, address, and ID numbers) and allow retention of
all \"indirect\" identifiers (e.g., zip code and birth date) in
"de-identified" information. These comments did not suggest a list or
further definition of what identifiers should be considered \"direct\"
identifiers.
Some commenters suggested that the standard be modified to reflect a
single standard that applies to all covered entities in the interest of
reducing uncertainty and complexity. According to these comments, the
standard for covered entities to meet for de-identification of protected
health information should be generally accepted standards in the
scientific and statistical community, rather than focusing on a
specified list of identifiers that must be removed.
A few commenters believed that no record of information about an
individual can be truly de-identified and that all such information
should be treated and protected as identifiable because more and more
information about individuals is being made available to the public,
such as voter registration lists and motor vehicle and driver\'s license
lists, that would enable someone to match (and identify) records that
otherwise appear to be not identifiable.
*Response:* In the final rule, we reformulate the method for
de-identification to more explicitly use the statutory standard of \"a
reasonable basis to believe that the information can be used to identify
the individual\"-- just as information is "individually identifiable" if
there is a reasonable basis to believe that it can be used to identify
the individual, it is "de-identified" if there is no reasonable basis to
believe it can be so used. We also define more precisely how the
standard should be applied.
We did not accept comments that suggested that we allow only one method
of de-identifying information. We find support for both methods in the
comments but find no compelling logic for how the competing interests
could be met cost-effectively with only one method.
We also disagree with the comments that advocated using a standard which
required removing only the direct identifiers. Although such an approach
may be more convenient for covered entities, we judged that the
resulting information would often remain identifiable, and its
dissemination could result in significant violations of privacy. While
we encourage covered entities to remove direct identifiers whenever
possible as a method of enhancing privacy, we do not believe that the
resulting information is sufficiently blinded as to permit its general
dissemination without the protections provided by this rule.
We agree with the comments that said that records of information about
individuals cannot be truly de-identified, if that means that the
probability of attribution to an individual must be absolutely zero.
However, the statutory standard does not allow us to take such a
position, but envisions a reasonable balance between risk of
identification and usefulness of the information.
We disagree with those comments that advocated releasing only truly
anonymous information (which has been changed sufficiently so that it no
longer represents actual information about real individuals) and those
that supported using only sophisticated statistical analysis before
allowing uncontrolled disclosures. Although these approaches would
provide a marginally higher level of privacy protection, they would
preclude many of the laudable and valuable uses discussed in the NPRM
(in § 164.506(d)) and would impose too great a burden on less
sophisticated covered entities to be justified by the small decrease in
an already small risk of identification.
We conclude that compared to the alternatives advanced by the comments,
the approach
proposed in the NPRM, as refined and modified below in response to the
comments, most closely meets the intent of the statute.
*Comments:* A few comments complained that the proposed standards were
so strict that they would expose covered entities to liability because
arguably no information could ever be de-identified.
*Response:* In the final rule we have modified the mechanisms by which a
covered entity may demonstrate that it has complied with the standard in
ways that provide greater certainty. In the standard method for
de-identification, we have clarified the professional standard to be
used, and anticipate issuing further guidance for covered entities to
use in applying the standard. In the safe harbor method, we reduced the
amount of judgment that a covered entity must apply. We believe that
these mechanisms for de-identification are sufficiently well-defined to
protect covered entities that follow them from undue liability.
*Comments:* Several comments suggested that the rule prohibit any
linking of de-identified data, regardless of the probability of
identification.
*Response:* Since our methods of de-identification include consideration
of how the information might be used in combination with other
information, we believe that linking de-identified information does not
pose a significantly increased risk of privacy violations. In addition,
since our authority extends only to the regulation of individually
identifiable health information, we cannot regulate de-identified
information because it no longer meets the definition of individually
identifiable health information. We also have no authority to regulate
entities that might receive and desire to link such information yet that
are not covered entities; thus such a prohibition would have little
protective effect.
*Comments:* Several commenters suggested that we create incentives for
covered entities to use de-identified information. One commenter
suggested that we mandate an assessment to see if de-identified
information could be used before the use or disclosure of identified
information would be allowed.
*Response*: We believe that this final rule establishes a reasonable
mechanism for the creation of de-identified information and the fact
that this de-identified information can be used without having to follow
the policies, procedures, and documentation required to use individually
identifiable health information should provide an incentive to encourage
its use where appropriate. We disagree with the comment suggesting that
we require an assessment of whether de-identified information could be
used for each use or disclosure. We believe that such a requirement
would be too burdensome on covered entities, particularly with respect
to internal uses, where entire records are often used by medical and
other personnel. For disclosures, we believe that such an assessment
would add little to the protection provided by the minimum necessary
requirements in this final rule.
*Comments:* One commenter asked if de-identification was equivalent to
destruction of the protected health information (as required under
several of the provisions of this final rule).
*Response*: The process of de-identification creates a new dataset in
addition to the source dataset containing the protected health
information. This process does not substitute for actual destruction of
the source data.
***Modifications to the Proposed Standard for De-identification***
*Comments:* Several commenters called for clarification of proposed
language in the NPRM that would have permitted a covered entity to treat
information as de-identified, even if specified identifiers were
retained, as long as the probability of identifying subject individuals
would be very low. Commenters expressed concern that the "very low"
standard was vague. These comments expressed concern that covered
entities would not have a clear and easy way to know when information
meets this part of the standard.
*Response*: We agree with the comments that covered entities may need
additional guidance on the types of analyses that they should perform in
determining when the probability of re-identification of information is
very low. We note that in the final rule, we reformulate the standard
somewhat to require that a person with appropriate knowledge and
experience apply generally accepted statistical and scientific methods
relevant to the task to make a determination that the risk of
re-identification is very small. In this context, we do not view the
difference between a very low probability and a very small risk to be
substantive. After consulting representatives of the federal agencies
that routinely de-identify and anonymize information for public
release[^16], we attempt here to provide some guidance for the method of
de-identification.
As requested by some commenters, we include in the final rule a
requirement that covered entities (not following the safe harbor
approach) apply generally accepted statistical and scientific principles
and methods for rendering information not individually identifiable when
determining if information is de-identified. Although such guidance will
change over time to keep up with technology and the current availability
of public information from other sources, as a starting point the
Secretary approves the use of the following as guidance to such
generally accepted statistical and scientific principles and methods:
\(1\) *Statistical Policy Working Paper 22 ‑ Report on Statistical
Disclosure Limitation Methodology*
([http://www.fcsm.gov/working‑papers/wp22.html]{.underline}) (prepared
by the Subcommittee on Disclosure Limitation Methodology, Federal
Committee on Statistical Methodology, Office of Management and Budget)
and
\(2\) the *Checklist on Disclosure Potential of Proposed Data Releases*
([http://www.fcsm.gov/docs/checklist_799.doc]{.underline}) (prepared by
the Confidentiality and Data Access Committee, Federal Committee on
Statistical Methodology, Office of Management and Budget).
We agree with commenters that such guidance will need to be updated over
time and we will provide such guidance in the future.
According to the *Statistical Policy Working Paper 22*, the two main
sources of disclosure risk for de-identified records about individuals
are the existence of records with very unique characteristics (e.g.,
unusual occupation or very high salary or age) and the existence of
external sources of records with matching data elements which can be
used to link with the de-identified information and identify individuals
(e.g., voter registration records or driver\'s license records). The
risk of disclosure increases as the number of variables common to both
types of records increases, as the accuracy or resolution of the data
increases, and as the number of external sources increases. As outlined
in *Statistical Policy Working Paper 22*, an expert disclosure analysis
would also consider the probability that an individual who is the target
of an attempt at re-identification is represented on both files, the
probability that the matching variables are recorded identically on the
two types of records, the probability that the target individual is
unique in the population for the matching variables, and the degree of
confidence that a match would correctly identify a unique person.
*Statistical Policy Working Paper 22* also describes many techniques
that can be used to reduce the risk of disclosure that should be
considered by an expert when de-identifying health information. In
addition to removing all direct identifiers, these include the obvious
choices based on the above causes of the risk; namely, reducing the
number of variables on which a match might be made and limiting the
distribution of the records through a \"data use agreement\" or
\"restricted access agreement\" in which the recipient agrees to limits
on who can use/receive the data. The techniques also include more
sophisticated manipulations: recoding variables into fewer categories to
provide less precise detail (including rounding of continuous
variables); setting top-codes and bottom-codes to limit details for
extreme values; disturbing the data by adding noise by swapping certain
variables between records, replacing some variables in random records
with mathematically imputed values or averages across small random
groups of records, or randomly deleting or duplicating a small sample of
records; and replacing actual records with synthetic records that
preserve certain statistical properties of the original data.
***Modifications to the "Safe Harbor"***
*Comments:* Many commenters argued that stripping all 19 identifiers is
unnecessary for purposes of de-identification. They felt that such items
as zip code, city (or county), and birth date, for example, do not
identify the individual and only such identifiers as name, street
address, phone numbers, fax numbers, email, Social Security number,
driver's license number, voter registration number, motor vehicle
registration, identifiable photographs, finger prints, voice prints, web
universal resource locator, and Internet protocol address number need to
be removed to reasonably believe that data has been de-identified.
Other commenters felt that removing the full list of identifiers would
significantly reduce the usefulness of the data. Many of these comments
focused on research and, to a lesser extent, marketing and undefined
"statistical analysis." Commenters who represented various industries
and research institutions expressed concern that they would not be able
to continue current activities such as development of service provider
networks, conducting "analysis" on behalf of the plan, studying use of
medication and medical devices, community studies, marketing and
strategic planning, childhood immunization initiatives, patient
satisfaction surveys, and solicitation of contributions. The
requirements in the NPRM to strip off zip code and date of birth were of
particular concern. These commenters stated that their ability to do
research and quality analysis with this data would be compromised
without access to some level of information about patient age and/or
geographic location.
*Response:* While we understand that removing the specified identifiers
may reduce the usefulness of the resulting data to third parties, we
remain convinced by the evidence found in the MIT study that we referred
to in the preamble to the proposed rule[^17] and the analyses discussed
below that there remains a significant risk of identification of the
subjects of health information from the inclusion of indirect
identifiers such as birth date and zip code and that in many cases there
will be a reasonable basis to believe that such information remains
identifiable. We note that a covered entity not relying on the safe
harbor may determine that information from which sufficient other
identifiers have been removed but which retains birth date or zip code
is not reasonably identifiable. As discussed above, such a determination
must be made by a person with appropriate knowledge and expertise
applying generally accepted statistical and scientific methods for
rendering information not identifiable.
Although we have determined that all of the specified identifiers must
be removed before a covered entity meets the safe harbor requirements,
we made modifications in the final rule to the specified identifiers on
the list to permit some information about age and geographic area to be
retained in de-identified information.
For age, we specify that, in most cases, year of birth may be retained,
which can be combined with the age of the subject to provide sufficient
information about age for most uses. After considering current and
evolving practices and consulting with federal experts on this topic,
including members of the Confidentiality and Data Access Committee of
the Federal Committee on Statistical Methodology, Office of Management
and Budget, we concluded that in general, age is sufficiently broad to
be allowed in de-identified information, although all dates that might
be directly related to the subject of the information must be removed or
aggregated to the level of year to prevent deduction of birth dates.
Extreme ages \-- 90 and over \-- must be aggregated further (to a
category of 90+, for example) to avoid identification of very old
individuals (because they are relatively rare). This reflects the
minimum requirement of the current recommendations of the Bureau of the
Census.[^18] For research or other studies relating to young children or
infants, we note that the rule would not prohibit age of an individual
from being expressed as an age in months, days, or hours.
For geographic area, we specify that the initial three digits of zip
codes may be retained for any three-digit zip code that contains more
than 20,000 people as determined by the Bureau of the Census. As
discussed more below, there are currently only 18 three-digit zip codes
containing fewer than 20,000 people. We note that this number may change
when information from the 2000 Decennial Census is analyzed.
In response to concerns expressed in the comments about the need for
information on geographic area, we investigated the potential of
allowing 5-digit zip codes or 3-digit zip codes to remain in the
de-identified information. According to 1990 Census data, the
populations in geographical areas delineated by 3-digit zip codes vary a
great deal, from a low of 394 to a high of 3,006,997, with an average
size of 282,304. There are two 3-digit zip codes containing fewer than
500 people and six 3-digit zip codes containing fewer than 10,000 people
each.[^19] Of the total of 881 3-digit zip codes, there are 18 with
fewer than 20,000 people, 71 with fewer than 50,000 people, and 215
containing fewer than 100,000 population. We also looked at two-digit
zip codes (the first 2 digits of the 5-digit zip code) and found that
the smallest of the 98 2-digit zip codes contains 188,638 people.
We also investigated the practices of several other federal agencies
which are mandated by Congress to release data from national surveys
while preserving confidentiality and which have been dealing with these
issues for decades. The problems and solutions being used by these
agencies are laid out in detail in the *Statistical Policy Working Paper
22* cited earlier.
To protect the privacy of individuals providing information to the
Bureau of Census, the Bureau has determined that a geographical region
must contain at least 100,000 people.[^20] This standard has been used
by the Bureau of the Census for many years and is supported by
simulation studies using Census data.[^21] These studies showed that
after a certain point, increasing the size of a geographic area does not
significantly decrease the percentage of unique records (i.e., those
that could be identified if sampled), but that the point of diminishing
returns is dependent on the number and type of demographic variables on
which matching might occur. For a small number of demographic variables
(6), this point was quite low (about 20,000 population), but it rose
quickly to about 50,000 for 10 variables and to about 80,000 for 15
variables. The Bureau of the Census releases sets of data to the public
that it considers safe from re-identification because it limits
geographical areas to those containing at least 100,000 people and
limits the number and detail of the demographic variables in the data.
At the point of approximately 100,000 population, 7.3% of records were
unique (and therefore potentially identifiable) on 6 demographic
variables from the 1990 Census Short Form: age in years (90 categories),
race (up to 180 categories), sex (2 categories), relationship to
householder (14 categories), Hispanic (2 categories), and tenure (owner
vs. renter in 5 categories). Using 6 variables derived from the Long
Form data, age (10 categories), race (6 categories), sex (2 categories),
marital status (5 categories), occupation (54 categories), and personal
income (10 categories), raised the percentage to 9.8%.
We also examined the results of an NCHS simulation study using national
survey data[^22] to see if some scientific support could be found for a
compromise. The study took random samples from populations of different
sizes and then compared the samples to the whole population to see how
many records were identifiable, that is, matched uniquely to a unique
person in the whole population on the basis of 9 demographic variables:
age (85 categories), race (4 categories), gender (2 categories),
ethnicity (2 categories), marital status (3 categories), income (3
categories), employment status (2 categories), working class (4
categories), and occupation (42 categories). Even when some of the
variables are aggregated or coded, from the perspective of a large
statistical agency desiring to release data to the public, the study
concluded that a population size of 500,000 was not sufficient to
provide a reasonable guarantee that certain individuals could not be
identified. About 2.5 % of the sample from the population of 500,000 was
uniquely identifiable, regardless of sample size. This percentage rose
as the size of the population decreased, to about 14% for a population
of 100,000 and to about 25% for a population of 25,000. Eliminating the
occupation variable (which is less likely to be found in health data)
reduced this percentage significantly to about 0.4 %, 3%, and 10%
respectively. These percentages of unique records (and thus the
potentials for re-identification) are highly dependent on the number of
variables (which must also be available in other databases which are
identified to be considered in a disclosure risk analysis), the
categorical breakdowns of those variables, and the level of geographic
detail included.
With respect to how we might clarify the requirement to achieve a \"low
probability\" that information could be identified, the *Statistical
Policy Working Paper 22* referenced above discusses the attempts of
several researchers to define mathematical measures of disclosure risk
only to conclude that \"more research into defining a computable measure
of risk is necessary.\" When we considered whether we could specify a
maximum level of risk of disclosure with some precision (such as a
probability or risk of identification of \< 0.01), we concluded that it
is premature to assign mathematical precision to the \"art\" of
de-identification.
After evaluating current practices and recognizing the expressed need
for some geographic indicators in otherwise de-identified databases, we
concluded that permitting geographic identifiers that define populations
of greater than 20,000 individuals is an appropriate standard that
balances privacy interests against desirable uses of de-identified data.
In making this determination, we focused on the studies by the Bureau of
Census cited above which seemed to indicate that a population size of
20,000 was an appropriate cut off if there were relatively few (6)
demographic variables in the database. Our belief is that, after
removing the required identifiers to meet the safe harbor standards, the
number of demographic variables retained in the databases will be
relatively small, so that it is appropriate to accept a relatively low
number as a minimum geographic size.
In applying this provision, covered entities must replace the (currently
18) forbidden 3-digit zip codes with zeros and thus treat them as a
single geographic area (with \> 20,000 population). The list of the
forbidden 3-digit zip codes will be maintained as part of the updated
Secretarial guidance referred to above. Currently, they are: 022, 036,
059, 102, 203, 555, 556, 692, 821, 823, 830, 831, 878, 879, 884, 893,
987, and 994. This will result in an average 3-digit zip code area
population of 287,858 which should result in an average of about 4%
unique records using the 6 variables described above from the Census
Short Form. Although this level of unique records will be much higher in
the smaller geographic areas, the actual risk of identification will be
much lower because of the limited availability of comparable data in
publically available, identified databases, and will be further reduced
by the low probability that someone will expend the resources to try to
identify records when the chance of success is so small and uncertain.
We think this compromise will meet the current need for an easy method
to identify geographic area while providing adequate protection from
re-identification. If a greater level of geographical detail is required
for a particular use, the information will have to be obtained through
another permitted mechanism or be subjected to a specific
de-identification determination as described above. We will monitor the
availability of identified public data and the concomitant
re-identification risks, both theoretical and actual, and adjust this
safe harbor in the future as necessary.
As we stated above, we understand that many commenters would prefer a
looser standard for determining when information is de-identified, both
generally and with respect to the standards for identifying geographic
area. However, because public databases (such as voter records or
driver's license records) that include demographic information about a
geographically defined population are available, a surprisingly large
percentage of records of health information that contain similar
demographic information can be identified. Although the number of these
databases seems to be increasing, the number of demographic variables
within them still appears to be fairly limited. The number of cases of
privacy violation from health records which have been identified in this
way is small to date. However, the risk of identification increases with
decreasing population size, with increasing amounts of demographic
information (both in level of detail and number of variables), and with
the uniqueness of the combination of such information in the population.
That is, an 18 year old single white male student is not at risk of
identification in a database from a large city such as New York.
However, if the database were about a small town where most of the
inhabitants were older, retired people of a specific minority race or
ethnic group, that same person might be unique in that community and
easily identified. We believe that the policy that we have articulated
reaches the appropriate balance between reasonably protecting privacy
and providing a sufficient level of information to make de-identified
databases useful.
*Comments:* Some comments noted that identifiers that accompany
photographic images are often needed to interpret the image and that it
would be difficult to use the image alone to identify the individual.
*Response:* We agree that our proposed requirement to remove all
photographic images was more than necessary. Many photographs of
lesions, for example, which cannot usually be used alone to identify an
individual, are included in health records . In this final rule, the
only absolute requirement is the removal of full-face photographs, and
we depend on the "catch-all" of "any other unique \... characteristic
\..." to pick up the unusual case where another type of photographic
image might be used to identify an individual.
*Comments:* A number of commenters felt that the proposed bar for
removal had been set too high; that the removal of these 19 identifiers
created a difficult standard, since some identifiers may be buried in
lengthy text fields.
*Response:* We understand that some of the identifiers on our list for
removal may be buried in text fields, but we see no alternative that
protects privacy. In addition, we believe that such unstructured text
fields have little or no value in a de-identified information set and
would be removed in any case. With time, we expect that such identifiers
will be kept out of places where they are hard to locate and expunge.
*Comments:* Some commenters asserted that this requirement creates a
disincentive for covered entities to de-identify data and would
compromise the Secretary's desire to see de-identified data used for a
multitude of purposes. Others stated that the 'no reason to believe'
test creates an unreasonable burden on covered entities, and would
actually chill the release of de-identified information, and set an
impossible standard.
*Response:* We recognize that the proposed standards might have imposed
a burden that could have prevented the widespread use of de-identified
information. We believe that our modifications to the final rule
discussed above will make the process less burdensome and remove some of
the disincentive. However, we could not loosen the standards as far as
many commenters wanted without seriously jeopardizing the privacy of the
subjects of the information. As discussed above, we modify the "no
reason to know" standard that was part of the safe harbor provision and
replace it in the final rule with an "actual knowledge" standard. We
believe that this change provides additional certainty to covered
entities using the safe harbor and should eliminate any chilling effect.
*Comments:* Although most commenters wanted to see data elements taken
off the list, there were a small number of commenters that wanted to see
data items added to the list. They believed that it is also necessary to
remove clinical trial record numbers, device model serial numbers, and
all proper nouns from the records.
*Response:* In response to these requests, we have slightly revised the
list of identifiers that must be removed under the safe harbor
provision. Clinical trial record numbers are included in the general
category of \"any other unique identifying number, characteristic, or
code.\" These record numbers cannot be included with de-identified
information because, although the availability of clinical trial numbers
may be limited, they are used for other purposes besides
de-identification/re-identification, such as identifying clinical trial
records, and may be disclosed under certain circumstances. Thus, they do
not meet the criteria in the rule for use as a unique record identifier
for de-identified records. Device model serial numbers are included in
\"any device identifier or serial number\" and must be removed. We
considered the request to remove all proper nouns to be very burdensome
to implement for very little increase in privacy and likely to be
arbitrary in operation, and so it is not included in the final rule.
***Re-identification***
*Comments:* One commenter wanted to know if the rule requires that
covered entities retain the ability to re-identify de-identified
information.
*Response:* The rule does not require covered entities to retain the
ability to re-identify de-identified information, but it does allow them
to retain this ability.
*Comments:* A few commenters asked us to prohibit anyone from
re-identifying de-identified health information.
*Response:* We do not have the authority to regulate persons other than
covered entities, so we cannot affect attempts by entities outside of
this rule to re-identify information. Under the rule, we permit the
covered entity that created the de-identified information to re-identify
it. However, we include a requirement that, when a unique record
identifier is included in the de-identified information, such identifier
must not be such that someone other than the covered entity could use it
to identify the individual (such as when a derivative of the
individual's name is used as the unique record identifier).
**Section 164.514(d)---Minimum Necessary**
*Comment:* A large number of commenters objected to the application of
the proposed "minimum necessary" standard for uses and disclosures of
protected health information to uses and disclosures for treatment
purposes. Some suggested that the final regulation should establish a
good faith exception or safe harbor for disclosures made for treatment.
The overwhelming majority of commenters, generally from the medical
community, argued that application of the proposed standard would be
contrary to sound medical practice, increase medical errors, and lead to
an increase in liability. Some likened the standard to a 'gag clause' in
that it limited the exchange of information critical for quality patient
care. They found the standard unworkable in daily treatment situations.
They argued that this standard would be potentially dangerous in that it
could cause practitioners to withhold information that could be
essential for later care. Commenters asserted that caregivers need to be
able to give and receive a complete picture of the patient\'s health to
make a diagnosis and develop a treatment plan.
Other commenters noted that the complexity of medicine is such that it
is unreasonable to think that anyone will know the exact parameters of
the information another caregiver will need for proper diagnosis and
treatment or that a plan will need to support quality assurance and
improvement activities. They therefore suggested that the minimum
necessary standard be applied instead as an administrative requirement.
Providers also emphasized that they already have an ethical duty to
limit the sharing of unnecessary medical information, and most already
have well-developed guidelines and practice standards in place. Concerns
were also voiced that attempts to provide the minimum necessary
information in the treatment setting would lead to multiple editions of
a record or creation of summaries that turn out to omit crucial
information resulting in confusion and error.
*Response:* In response to these concerns, we substantially revise the
minimum necessary requirements. As suggested by certain commenters, we
provide, in § 164.502(b), that disclosures of protected health
information to or requests by health care providers for treatment are
not subject to the minimum necessary standard. We also modify the
requirements for uses of protected health information. This final rule
requires covered entities to make determinations of minimum necessary
use, including use for treatment purposes, based on the role of the
person or class of workforce members rather than at the level of
specific uses. A covered entity must establish policies and procedures
that identify the types of persons who are to have access to designated
categories of information and the conditions, if any, of that access. We
establish no requirements specific to a particular use of information.
Covered entities are responsible for establishing and documenting these
policies and procedures. This approach is consistent with the argument
of many commenters that guidelines and practice standards are
appropriate means for protecting the privacy of patient information.
*Comment:* Some commenters argued that the standard should be retained
in the treatment setting for uses and disclosures pertaining to mental
health information. Some of these commenters asserted that other
providers do not need to know the mental status of a patient for
treatment purposes.
*Response:* We agree that the standard should be retained for uses of
mental health information in the treatment setting. However, we believe
that the arguments for excepting disclosures of protected health
information for treatment purposes from application of the minimum
necessary standard are also persuasive with respect to mental health
information. An individual's mental health can interact with proper
treatment for other conditions in many ways. Psychoactive medications
may have harmful interactions with drugs routinely prescribed for other
purposes; an individual's mental health history may help another health
care provider understand the individual's ability to abide by a
complicated treatment regimen. For these reasons, it is also not
reasonable to presume that, in every case, a health care provider will
not need to know an individual's mental health status to provide
appropriate treatment.
Providers' comments noted existing ethical duties to limit the sharing
of unnecessary medical information, and well-developed guidelines and
practice standards for this purpose. Under this rule, providers may use
these tools to guide their discretion in disclosing health information
for treatment.
*Comment:* Several commenters urged that covered entities should be
required to conspicuously label records to show that they are not
complete. They argued that absent such labeling, patient care could be
compromised.
*Response:* We believe that the final policy to except disclosures of
protected health information for treatment purposes from application of
the minimum necessary standard addresses these commenters' concerns.
*Comment:* Some commenters argued that the audit exception to the
minimum necessary requirements needs to be clarified or expanded,
because "audit" and "payment" are essentially the same thing.
*Response:* We eliminate this exception. The proposed exclusion of
disclosures to health plans for audit purposes is replaced with a
general requirement that covered entities must limit requests to other
covered entities for individually identifiable health information to
what is reasonably necessary for the purpose intended.
*Comment:* Many commenters argued that the proposed standard was
unworkable as applied to \"uses\" by a covered entity\'s employees,
because the proposal appeared not to allow providers to create general
policy as to the types of records that particular employees may have
access to but instead required that each decision be made
\"individually,\" which providers interpret as "case-by-case."
Commenters argued that the standard with regard to \"uses\" would be
impossible to implement and prohibitively expensive, requiring both
medical and legal input to each disclosure decision.
Some commenters recommended deletion of the minimum necessary standard
with regard to "uses." Other commenters specifically recommended
deletion of the requirement that the standard be applied on an
individual, case-by-case basis. Rather, they suggested that the covered
entity be allowed to establish general policies to meet the requirement.
Another commenter similarly urged that the standard not apply to
internal disclosures or for internal health care operations such as
quality improvement/assurance activities. The commenter recommended that
medical groups be allowed to develop their own standards to ensure that
these activities are carried out in a manner that best helps the group
and its patients.
Other commenters expressed confusion and requested clarification as to
how the standard as proposed would actually work in day-to-day
operations within an entity.
*Response:* Commenters' arguments regarding the workability of this
standard as proposed were persuasive, and we therefore make significant
modification to address these comments and improve the workability of
the standard. For all uses and many disclosures, we require covered
entities to include in their policies and procedures (see § 164.530),
which may be standard protocols, for 'minimum necessary' uses and
disclosures. We require implementation of such policies in lieu of
making the 'minimum necessary' determination for each separate use and
disclosure.
For uses, covered entities must implement policies and procedures that
restrict access to and use of protected health information based on the
specific professional roles of members of the covered entity's
workforce. The policies and procedures must identify the persons or
classes of persons in the entity's workforce who need access to
protected health information to carry out their duties and the category
or categories of protected health information to which such persons or
classes need access. These role-based access rules must also identify
the conditions, as appropriate, that would apply to such access. For
example, an institutional health care provider could allow physicians
access to all records under the condition that the viewing of medical
records of patients not under their care is recorded and reviewed. Other
health professionals' access could be limited to time periods when they
are on duty. Information available to staff who are responsible for
scheduling surgical procedures could be limited to certain data. In many
instances, use of order forms or selective copying of relevant portions
of a record may be appropriate policies to meet this requirement.
Routine disclosures also are not subject to individual review; instead,
covered entities must implement policies and procedures (which may be
standard protocols) to limit the protected health information in routine
disclosures to the minimum information reasonably necessary to achieve
the purpose of that type of disclosure. For non-routine disclosures, a
covered entity must develop reasonable criteria to limit the protected
health information disclosed to the minimum necessary to accomplish the
purpose for which disclosure is sought, and to implement procedures for
review of disclosures on an individual basis.
We modify the proposed standard to require the covered entity to make
"reasonable efforts" to meet the minimum necessary standard (not
"all"reasonable efforts, as proposed). What is reasonable will vary with
the circumstances. When it is practical to use order forms or selective
copying of relevant portions of the record, the covered entity is
required to do so. Similarly, this flexibility in the standard takes
into account the ability of the covered entity to configure its record
system to allow selective access to only certain fields, and the
practicality of organizing systems to allow this capacity. It might be
reasonable for a covered entity with a highly computerized information
system to implement a system under which employees with certain
functions have access to only limited fields in a patient records, while
other employees have access to the complete records. Such a system might
not be reasonable for a covered entity with a largely paper records
system.
Covered entities' policies and procedures must provide that disclosure
of an entire medical record will not be made except pursuant to policies
which specifically justify why the entire medical record is needed.
We believe that these modifications significantly improve the
workability of this standard. At the same time, we believe that asking
covered entities to assess their practices and establish rules for
themselves will lead to significant improvements in the privacy of
health information. See the preamble for § 164.514 for a more detailed
discussion.
*Comment:* The minimum necessary standard should not be applied to uses
and disclosures for payment or health care operations.
*Response:* Commenter's arguments for exempting these uses and
disclosures from the minimum necessary standard were not compelling. We
believe that our modifications to application of the minimum necessary
standard to internal uses of protected health information, and to
routine disclosures, address many of the concerns raised, particularly
the concerns about administrative burdens and the concerns about having
the information necessary for day-to-day operations. We do not eliminate
this standard in part because we also remain concerned that covered
entities may be tempted to disclose an entire medical record when only a
few items of information are necessary, to avoid the administrative step
of extracting the necessary information (or redacting the unnecessary
information). We also believe this standard will cause covered entities
to assess their privacy practices, give the privacy interests of their
patients and enrollees greater attention, and make improvements that
might otherwise not have been made. For this reason, the privacy
benefits of retaining the minimum necessary standard for these purposes
outweigh the burdens involved. We note that the minimum necessary
standard is tied to the purpose of the disclosure; thus, providers may
disclose protected health information as necessary to obtain payment.
*Comment*: Other commenters urged us to apply a "good faith" provision
to all disclosures subject to the minimum necessary standard. Commenters
presented a range of options to modify the proposed provisions which, in
their view, would have mitigated their liability if they failed to
comply with minimum necessary standard.
*Response:* We believe that the modifications to this standard,
described above, substantially address these commenters' concerns. In
addition to allowing the covered entity to use standard protocols for
routine disclosures, we modify the standard to require a covered entity
to make "reasonable efforts," not "all" reasonable efforts as proposed,
in making the "minimum necessary" disclosure.
*Comments:* Some commenters complained that language in the proposed
rule was vague and provided little guidance, and should be abandoned.
*Response:* In the preamble for § 164.504 and these responses to
comments, we provide further guidance on how a covered entity can
develop its policies for the minimum necessary use and disclosure of
protected health information. We do not abandon this standard for the
reasons described above. We remain concerned about the number of persons
who have access to identifiable health information, and believe that
causing covered entities to examine their practices will have
significant privacy benefits.
*Comment:* Some commenters asked that the minimum necessary standard
should not be applied to disclosures to business partners. Many of these
commenters articulated the burdens they would bear if every disclosure
to a business partner was required to meet the minimum necessary
standard.
*Response:* We do not agree. In this final rule, we minimize the burden
on covered entities in the following ways: in circumstances where
disclosures are made on a routine, recurring basis, such as in on-going
relationships between covered entities and their business associates,
individual review of each routine disclosure has been eliminated;
covered entities are required only to develop standard protocols to
apply to such routine disclosures made to business associates (or types
of business associates). In addition, we allow covered entities to rely
on the representation of a professional hired to provide professional
services as to what information is the minimum necessary for that
purpose.
*Comment:* Some commenters were concerned that applying the standard in
research settings will result in providers declining to participate in
research protocols.
*Response:* We have modified the proposal to reduce the burden on
covered entities that wish to disclose protected health information for
research purposes. The final rule requires covered entities to obtain
documentation or statements from persons requesting protected health
information for research that, among other things, describe the
information necessary for the research. We allow covered entities to
reasonably rely on the documentation or statements as describing the
minimum necessary disclosure.
*Comment:* Some commenters argued that government requests should not be
subject to the minimum necessary standard, whether or not they are
"authorized by law."
*Response:* We found no compelling reason to exempt government requests
from this standard, other than when a disclosure is required by law.
(See preamble to § 164.512(a) for the rationale behind this policy).
When a disclosure is required by law, the minimum necessary standard
does not apply, whether the recipient of the information is a government
official or a private individual.
At the same time, we understand that when certain government officials
make requests for protected health information, some covered entities
might feel pressure to comply that might not be present when the request
is from a private individuals. For this reason, we allow (but do not
require) covered entities to reasonably rely on the representations of
public officials as to the minimum necessary information for the
purpose.
*Comment:* Some commenters argued that requests under proposed § 164.510
should not be subject to the minimum necessary standard, whether or not
they are "authorized by law." Others argued that for disclosures made
for administrative proceedings pursuant to proposed § 164.510, the
minimum necessary standard should apply unless they are subject to a
court order.
*Response:* We found no compelling reason to exempt disclosures for
purposes listed in the regulation from this standard, other than for
disclosures required by law. When there is no such legal mandate, the
disclosure is voluntary on the part of the covered entity, and it is
therefore reasonable to expect the covered entity to make some effort to
protect privacy before making such a disclosure. If the covered entity
finds that redacting unnecessary information, or extracting the
requested information, prior to making the disclosure, is too
burdensome, it need not make the disclosure. Where there is ambiguity
regarding what information is needed, some effort on the part of the
covered entity can be expected in these circumstances.
We also found no compelling reason to limit the exemption for
disclosures "required by law" to those made pursuant to a court order.
The judgment of a state legislature or regulatory body that a disclosure
is required is entitled to no less deference than the same decision made
by a court. For further rationale for this policy, see the preamble to §
164.512(a).
*Comment:* Some commenters argued that, in cases where a request for
disclosure is not required by law, covered entities should be permitted
to rely on the representations by public officials, that they have
requested no more than the minimum amount necessary.
*Response:* We agree, and retain the proposed provision which allows
reasonable reliance on the representations of public officials.
*Comment*: Some commenters argued that it is inappropriate to require
covered entities to distinguish between disclosures that are "required
by law" and those that are merely "authorized by law," for the purposes
of determining when the standard applies.
*Response:* We do not agree. Covered entities have an independent duty
to be aware of their legal obligations to federal, state, local and
territorial or tribal authorities. In addition, § 164.514(h) allows
covered entities to reasonably rely on the oral or written
representation of public officials that a disclosure is required by law.
*Comment:* The minimum necessary standard should not be applied to
pharmacists, or to emergency services.
*Response:* We believe that the final rule's exemption of disclosures of
protected health information to health care providers for treatment
purposes from the minimum necessary standard addresses these commenters
concerns about emergency services. Together with the other changes we
make to the proposed standard, we believe we have also addressed most of
the commenters' concerns about pharmacists. With respect to pharmacists,
the comments offered no persuasive reasons to treat pharmacists
differently from other health care providers. Our reasons for retaining
this standard for other uses and disclosures of protected health
information are explained above.
*Comment*: A number of commenters argued that the standard should not
apply to disclosures to attorneys, because it would interfere with the
professional duties and judgment of attorneys in their representation of
covered entities. Commenters stated that if a layperson within a covered
entity makes an improper decision as to what the minimum necessary
information is in regard to a request by the entity\'s attorney, the
attorney may end up lacking information that is vital to representation.
These commenters stated that attorneys are usually going to be in a
better position to determine what information is truly the minimum
necessary for effective counsel and representation of the client.
*Response:* We found no compelling reason to treat attorneys differently
from other business associates. However, to ensure that this rule does
not inadvertently cause covered entities to second-guess the
professional judgment of the attorneys and other professionals they
hire, we modify the proposed policies to explicitly allow covered
entities to rely on the representation of a professional hired to
provide professional services as to what information is the minimum
necessary for that purpose.
*Comment:* Commenters from the law enforcement community expressed
concern that providers may attempt to misuse the minimum necessary
standard as a means to restrict access to information, particularly with
regard to disclosures for health oversight or to law enforcement
officials.
*Response:* The minimum necessary standard does not apply to disclosures
required by law. Since the disclosures to law enforcement officials to
which this standard applies are all voluntary, there would be no need
for a covered entity to "manipulate" the standard; it could decline to
make the disclosure.
*Comment:* Some commenters argued that the only exception to the
application of the standard should be when an individual requests access
to his or her own information. Many of these commenters expressed
specific concerns about victims of domestic violence and other forms of
abuse.
*Response:* We do not agree with the general assertion that disclosure
to the individual is the only appropriate exception to the minimum
necessary standard. There are other, limited, circumstances in which
application of the minimum necessary standard could cause significant
harm. For reasons described above, disclosures of protected health
information for treatment purposes are not subject to this standard.
Similarly, as described in detail in the preamble to § 164.512(a), where
another public body has mandated the disclosure of health information,
upsetting that judgment in this regulation would not be appropriate.
The more specific concerns expressed about victims of domestic violence
and other forms of abuse are addressed in a new provision regarding
disclosure of protected health information related to domestic violence
and abuse (see § 164.512(c)), and in new limitations on disclosures to
persons involved in the individual's care (see § 164.510(b)). We believe
that the limitations we place on disclosure of health information in
those circumstances address the concerns of these commenters.
*Comment:* Some commenters argued that disclosures to next of kin should
be restricted to minimum necessary protected health information, and to
protected health information about only the current medical condition.
*Response:* In the final regulation, we change the proposed provision
regarding "next of kin" to more clearly focus on the disclosures we
intended to target: disclosures to persons involved in the individual's
care. We allow such disclosure only with the agreement of the
individual, or where the covered entity has offered the individual the
opportunity to object to the disclosure and the individual did not
object. If the opportunity to object cannot practicably be provided
because of the incapacity of the individual or other emergency, we
require covered entities to exercise professional judgment in the best
interest of the patient in deciding whether to disclose information. In
such cases, we permit disclosure only of that information directly
relevant to the person's involvement with the individual's health care.
(This provision also includes limited disclosure to certain persons
seeking to identify or locate an individual.) See § 164.510(b).
Some additional concerns expressed about victims of domestic violence
and other forms of abuse are also addressed in a new section on
disclosure of protected health information related to domestic violence
and abuse. See § 164.512(c). We believe that the limitations we place on
disclosure of health information in these provisions address the
concerns of these commenters.
*Comment:* Some commenters argued that covered entities should be
required to determine whether de-identified information could be used
before disclosing information under the minimum necessary standard.
*Response:* We believe that requiring covered entities' policies and
procedures for minimum necessary disclosures to address whether
de-identified information could be used in all instances would impose
burdens on some covered entities that could outweigh the benefits of
such a requirement. There is significant variation in the sophistication
of covered entities' information systems. Some covered entities can
reasonably implement policies and procedures that make significant use
of de-identified information; other covered entities would find such a
requirement excessively burdensome. For this reason, we chose instead to
require "reasonable efforts," which can vary according to the situation
of each covered entity.
In addition, we believe that the fact that we allow de-identified
information to be disclosed without regard to the policies, procedures,
and documentation required for disclosure of identifiable health
information will provide an incentive to encourage its use where
appropriate.
*Comment:* Several commenters argued that standard transactions should
not be subject to the standard.
*Response:* We agree that data elements that are required or
situationally required in the standard transactions should not be, and
are not, subject to this standard. However, in many cases, covered
entities have significant discretion as to the information included in
these transactions. Therefore, this standard does apply to those
optional data elements.
*Comment*: Some commenters asked for clarification to understand how the
minimum necessary standard is intended to interact with the security
NPRM.
*Response:* The proposed Security Rule included requirements for
electronic health information systems to include access management
controls. Under this regulation, the covered entity's privacy policies
will determine who has access to what protected health information. We
will make every effort to ensure consistency prior to publishing the
final Security Rule.
*Comment*: Many commenters, representing health care providers, argued
that if the request was being made by a health plan, the health plan
should be required to request only the minimum protected health
information necessary. Some of these commenters stated that the
requestor is in a better position to know the minimum amount of
information needed for their purposes. Some of these commenters argued
that the minimum necessary standard should be imposed only on the
requesting entity. A few of these commenters argued that both the
disclosing and the requesting entity should be subject to the minimum
necessary standard, to create "internal tension" to assure the standard
is honored.
*Response:* We agree, and in the final rule we require that a request
for protected health information made by one covered entity to another
covered entity must be limited to the minimum amount necessary for the
purpose. As with uses and disclosures of protected health information,
covered entities may have standard protocols for routine requests.
Similarly, this requirement does not apply to requests made to health
care providers for treatment purposes. We modify the rule to balance
this provision; that is, it now applies both to disclosure of and
requests for protected health information. We also allow, but do not
require, the covered entity releasing the information to reasonably rely
on the assertion of a requesting covered entity that it is requesting
only the minimum protected health information necessary.
*Comment*: A few commenters suggested that there should be a process for
resolving disputes between covered entities over what constitutes the
'minimum necessary' information.
*Response:* We do not intend that this rule change the way covered
entities currently handle their differences regarding the disclosure of
health information. We understand that the scope of information
requested from providers by health plans is a source of tension in the
industry today, and we believe it would not be appropriate to use this
regulation to affect that debate. As discussed above, we require both
the requesting and the disclosing covered entity to take privacy
concerns into account, but do not inject additional tension into the
on-going discussions.
**Section 164.514(e)---Marketing**
*Comment*: Many commenters requested clarification of the boundaries
between treatment, payment, health care operations, and marketing. Some
of these commenters requested clarification of the apparent
inconsistency between language in proposed § 164.506(a)(1)(i) (a covered
entity is permitted to use or disclose protected health information
without authorization "to carry out" treatment, payment, or health care
operations) and proposed § 164.508(a)(2)(A) (a covered entity must
obtain an authorization for all uses and disclosures that are not
"compatible with or directly related to" treatment, payment, and health
care operations). They suggested retaining the language in proposed §
164.508(a)(2)(A), which would permit a broader range of uses and
disclosures without authorization, in order to engage in health
promotion activities that might otherwise be considered marketing.
*Response:* In the final rule, we make several changes to the
definitions of treatment, payment, and health care operations that are
intended to clarify the uses and disclosures of protected health
information that may be made for each purpose. See § 164.501 and the
corresponding preamble discussion regarding the definitions of these
terms. We also have added a definition of the term "marketing" to help
establish the boundary between marketing and treatment, payment, and
health care operations. See § 164.501. We also clarify the conditions
under which authorization is or is not required for uses and disclosures
of protected health information for marketing purposes. See §
164.514(e). Due to these changes, we believe it is appropriate to retain
the wording from proposed § 164.506(a)(1)(i).
*Comment:* We received a wide variety of suggestions with respect to
authorization for uses and disclosures of protected health information
for marketing purposes. Some commenters supported requiring
authorization for all such uses and disclosures. Other commenters
suggested permitting all such uses and disclosures without
authorization.
Some commenters suggested we distinguish between marketing to benefit
the covered entity and marketing to benefit a third party. For example,
a few commenters suggested we should prohibit covered entities from
seeking authorization for any use or disclosure for marketing purposes
that benefit a third party. These commenters argued that the third
parties should be required to obtain the individual's authorization
directly from the individual, not through a covered entity, due to the
potential for conflicts of interest.
While a few commenters suggested that we require covered entities to
obtain authorization to use or disclose protected health information for
the purpose of marketing its own products and services, the majority
argued these types of marketing activities are vital to covered entities
and their customers and should therefore be permitted to occur without
authorization. For example, commenters suggested covered entities should
be able to use and disclose protected health information without
authorization in order to provide appointment reminders, newsletters,
information about new initiatives, and program bulletins.
Finally, many commenters argued we should not require authorization for
the use or disclosure of protected health information to market any
health-related goods and services, even if those goods and services are
offered by a third party. Some of these commenters suggested that
individuals should have an opportunity to opt out of these types of
marketing activities rather than requiring authorization.
*Response:* We have modified the final rule in ways that address a
number of the issues raised in the comments. First, the final rule
defines the term marketing, and excepts certain communications from the
definition. See § 164.501. These exceptions include communications made
by covered entities for the purpose of describing network providers or
other available products, services, or benefits and communications made
by covered entities for certain treatment-related purposes. These
exceptions only apply to oral communications or to written
communications for which the covered entity receives no third-party
remuneration. The exceptions to the definition of marketing fall within
the definitions of treatment and/or health care operations, and
therefore uses, or disclosures to a business associate, of protected
health information for these purposes are permissible under the rule
without authorization.
The final rule also permits covered entities to use protected health
information to market health-related products and services, whether they
are the products and services of the covered entity or of a third party,
subject to a number of limitations. See § 164.514(e). We permit these
uses to allow entities in the health sector to inform their patients and
enrollees about products that may benefit them. The final rule contains
significant restrictions, including requirements that the covered entity
disclose itself as the source of a marketing communication, that it
disclose any direct or indirect remuneration from third parties for
making the disclosure, and that, except in the cases of general
communications such as a newsletter, the communication disclose how the
individual can opt-out of receiving additional marketing communications.
Additional requirements are imposed if the communication is targeted
based on the health status or condition of the proposed recipients.
We believe that these modifications address many of the issues raised by
commenters and provide a substantial amount of flexibility as to when a
covered entity may communicate about a health-related product or service
to a patient or enrollee. These communications may include appointment
reminders, newsletters, and information about new health products. These
changes, however, do not permit a covered entity to disclose protected
health information to third parties for marketing (other than to a
business associate to make a marketing communication on behalf of the
covered entity) without authorization under § 164.508.
*Comment:* A few commenters suggested we prohibit health care
clearinghouses from seeking authorization for the use or disclosure of
protected health information for marketing purposes.
*Response:* We do not prohibit clearinghouses from seeking
authorizations for these purposes. We believe, however, that health care
clearinghouses will almost always create or obtain protected health
information in a business associate capacity. Business associates may
only engage in activities involving the use or disclosure of protected
health information, including seeking or acting on an authorization, to
the extent their contracts allow them to do so. When a clearinghouse
creates or receives protected health information other than as a
business associate of a covered entity, it is permitted and required to
obtain authorizations to the same extent as any other covered entity.
*Comment:* A few commenters suggested we require covered entities to
publicly disclose, on the covered entity's website or upon request, all
of their marketing arrangements.
*Response:* While we agree that such a requirement would provide
individuals with additional information about how their information
would be used, we do not feel that such a significant intrusion into the
business practices of the covered entity is warranted.
*Comment*: Some commenters argued that if an activity falls within the
scope of payment, it should not be considered marketing. Commenters
strongly supported an approach which would bar an activity from being
construed as "marketing" even if performing that activity would result
in financial gain to the covered entity. In a similar vein, we were
urged to adopt the position that if an activity was considered payment,
treatment or health care operations, it could not be further evaluated
to determine whether it should be excluded as marketing.
*Response:* We considered the approach offered by commenters but decided
against it. Some activities, such as the marketing of a covered entity's
own health-related products or services, are now included in the
definition of health care operations, provided certain requirements are
met. Other types of activities, such as the sale of a patient list to a
marketing firm, would not be permitted under this rule without
authorization from the individual. We do not believe that we can
envision every possible disclosure of health information that would
violate the privacy of an individual, so any list would be incomplete.
Therefore, whether or not a particular activity is considered marketing,
payment, treatment or health care operations will be a fact-based
determination based on the activity's congruence with the particular
definition.
*Comment:* Some industry groups stated that if an activity involves
selling products, it is not disease management. They suggested we adopt
a definition of disease management that differentiates use of
information for the best interests of patient from uses undertaken for
\"ulterior purposes\" such as advertising, marketing, or promoting
separate products.
*Response:* We agree in general that the sale of unrelated products to
individuals is not a population-based activity that supports treatment
and payment. However, in certain circumstances marketing activities are
permitted as a health care operation; see the definition of "health care
operations" in § 164.501 and the related marketing requirements of §
164.514.
*Comment:* Some commenters complained that the absence of a definition
for disease management created uncertainty, in view of the proposed
rule's requirement to get authorization for marketing. They expressed
concern that the effect would be to require patient consent for many
activities that are desirable, not practicably done if authorization is
required, and otherwise classifiable as treatment, payment, or health
care operations. Examples provided include reminders for appointments,
reminders to get preventive services like mammograms, and information
about home management of chronic illnesses. They also stated that the
proposed rule would prevent many disease management and preventive
health activities.
*Response:* We agree that the distinction in the NPRM between disease
management and marketing was unclear. Rather than provide a definition
of disease management, this final rule defines marketing. We note that
overlap between disease management and marketing exists today in
practice and they cannot be distinguished easily with a definitional
label. However, for purposes of this rule, the revised language makes
clear for what activities an authorization is required. We note that
under this rule many of the activities mentioned by commenters will not
require authorizations under most circumstances. See the discussion of
disease management under the definition of "treatment" in § 164.501.
**Section 164.514(f)---Fundraising**
*Comment*: Many comments objected to the requirement that an
authorization from the individual be obtained for use and disclosure of
protected health information for fundraising purposes. They argued that,
in the case of not-for-profit health care providers, having to obtain
authorization would be time consuming and costly, and that such a
requirement would lead to a decrease in charitable giving. The
commenters also urged that fundraising be included within the definition
of health care operations. Numerous commenters suggested that they did
not need unfettered access to patient information in order to carry out
their fundraising campaigns. They stated that a limited data set
restricted to name, address, and telephone number would be sufficient to
meet their needs. Several commenters suggested that we create a
voluntary opt-out provision so people can avoid solicitations.
*Response:* We agree with commenters that our proposal could have
adversely effected charitable giving, and accordingly make several
modifications to the proposal. First, the final rule allows a covered
entity to use or disclose to a business associate protected health
information without authorization to identify individuals for
fundraising for its own benefit. Permissible fundraising activities
include appeals for money, sponsorship of events, etc. They do not
include royalties or remittances for the sale of products of third
parties (except auctions, rummage sales, etc).
Second, the final rule allows a covered entity to disclose protected
health information without authorization to an institutionally related
foundation that has as its mission to benefit the covered entity. This
special provision is necessary to accommodate tax code provisions which
may not allow such foundations to be business associates of their
associated covered entity.
We also agree that broad access to protected health information is
unnecessary for fundraising and unnecessarily intrudes on individual
privacy. The final rule limits protected health information to be used
or disclosed for fundraising to demographic information and the date
that treatment occurred. Demographic information is not defined in the
rule, but will generally include in this context name, address and other
contact information, age, gender, and insurance status. The term does
not include any information about the illness or treatment.
We also agree that a voluntary opt-out is an appropriate protection, and
require in § 164.520 that covered entities provide information on their
fundraising activities in their "Notice of Information Practices." As
part of the notice and in any fundraising materials, covered entities
must provide information explaining how individuals may opt out of
fundraising communications.
*Comment:* Some commenters stated that use and disclosure of protected
health information for fundraising, without authorization should be
limited to not-for-profit entities. They suggested that not-for-profit
entities were in greater need of charitable contributions and as such,
they should be exempt from the authorization requirement while
for-profit organizations should have to comply with the requirement.
*Response:* We do not agree that the profit status of a covered entity
should determine its allowable use of protected health information for
fundraising. Many for-profit entities provide the same services and have
similar missions to not-for-profit entities. Therefore, the final rule
does not make this distinction.
*Comment:* Several commenters suggested that the final rule should allow
the internal use of protected health information for fundraising,
without authorization, but not disclosure for fundraising. These
commenters suggested that by limiting access of protected health
information to only internal development offices concerns about misuse
would be reduced.
*Response:* We do not agree. A number of commenters noted that they have
related charitable foundations that raise funds for the covered entity,
and we permit disclosures to such foundations to ensure that this rule
does not interfere with charitable giving.
*Comment*: Several commenters asked us to address the content of
fundraising letters. They pointed out that disease or condition-specific
letters requesting contributions, if opened by the wrong person, could
reveal personal information about the intended recipient.
*Response*: We agree that such communications raise privacy concerns. In
the final rule, we limit the information that can be used or disclosed
for fundraising, and exclude information about diagnosis, nature of
services, or treatment.
**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.
**SECTION 164.520---NOTICE OF PRIVACY PRACTICES FOR PROTECTED HEALTH
INFORMATION**
*Comment*: Many commenters supported the proposal to require covered
entities to produce a notice of information practices. They stated that
such notice would improve individuals' understanding of how their
information may be used and disclosed and would help to build trust
between individuals and covered entities. A few comments, however,
argued that the notice requirement would be administratively burdensome
and expensive without providing significant benefit to individuals.
*Response:* We retain the requirement for covered health care providers
and health plans to produce a notice of information practices. We
additionally require health care clearinghouses that create or receive
protected health information other than as a business associate of
another covered entity to produce a notice. We believe the notice will
provide individuals with a clearer understanding of how their
information may be used and disclosed and is essential to inform
individuals of their privacy rights. The notice will focus individuals
on privacy issues, and prompt individuals to have discussions about
privacy issues with their health plans, health care providers, and other
persons.
The importance of providing individuals with notice of the uses and
disclosures of their information and of their rights with respect to
that information is well supported by industry groups, and is recognized
in current state and federal law. The July 1977 Report of the Privacy
Protection Study Commission recommended that "each medical-care provider
be required to notify an individual on whom it maintains a medical
record of the disclosures that may be made of information in the record
without the individual's express authorization."[^23] The Commission
also recommended that "an insurance institution\... notify \[an
applicant or principal insured\] as to: \... the types of parties to
whom and circumstances under which information about the individual may
be disclosed without his authorization, and the types of information
that may be disclosed; \[and\] \... the procedures whereby the
individual may correct, amend, delete, or dispute any resulting record
about himself."[^24] The Privacy Act (5 U.S.C. 552a) requires government
agencies to provide notice of the routine uses of information the agency
collects and the rights individuals have with respect to that
information. In its report "Best Principles for Health Privacy," the
Health Privacy Working Group stated, "Individuals should be given notice
about the use and disclosure of their health information and their
rights with regard to that information."[^25] The National Association
of Insurance Commissioners' Health Information Privacy Model Act
requires carriers to provide a written notice of health information
policies, standards, and procedures, including a description of the uses
and disclosures prohibited and permitted by the Act, the procedures for
authorizing and limiting disclosures and for revoking authorizations,
and the procedures for accessing and amending protected health
information.
Some states require additional notice. For example, Hawaii requires
health care providers and health plans, among others, to produce a
notice of confidentiality practices, including a description of the
individual's privacy rights and a description of the uses and
disclosures of protected health information permitted under state law
without the individual's authorization. (HRS section 323C-13)
Today, health plan hand books and evidences of coverage include some of
what is required to be in the notice. Industry and standard-setting
organizations have also developed notice requirements. The National
Committee for Quality Assurance accreditation guidelines state that an
accredited managed care organization "communicates to prospective
members its policies and practices regarding the collection, use, and
disclosure of medical information \[and\]\... informs members\... of its
policies and procedures on\... allowing members access to their medical
records."[^26] Standards of the American Society for Testing and
Materials state, "Organizations and individuals who collect, process,
handle, or maintain health information should provide individuals and
the public with a notice of information practices." They recommend that
the notice include, among other elements, "a description of the rights
of individuals, including the right to inspect and copy information and
the right to seek amendments \[and\] a description of the types of uses
and disclosures that are permitted or required by law without the
individual's authorization."[^27] We build on this well-established
principle in this final rule.
*Comment*: We received many comments on the model notice provided in the
proposed rule. Some commenters argued that patients seeing similar
documents would be less likely to become disoriented when examining a
new notice. Other commenters, however, opposed the inclusion of a model
notice or expressed concern about particular language included in the
model. They maintained that a uniform model notice would never capture
the varying practices of covered entities. Many commenters opposed
requirements for a particular format or specific language in the notice.
They stated that covered entities should be afforded maximum flexibility
in fashioning their notices. Other commenters requested inclusion of
specific language as a header to indicate the importance of the notice.
A few commenters recommended specific formatting requirements, such as
font size or type.
*Response:* On the whole, we found commenters' arguments for flexibility
in the regulation more persuasive than those arguing for more
standardization. We agree that a uniform notice would not capture the
wide variation in information practices across covered entities. We
therefore do not include a model notice in the final rule, and do not
require inclusion of specific language in the notice (except for a
standard header). We also do not require particular formatting. We do,
however, require the notice to be written in plain language. (See above
for guidance on writing documents in plain language.) We also agree with
commenters that the notice should contain a standard header to draw the
individual's attention to the notice and facilitate the individual's
ability to recognize the notice across covered entities.
We believe that post-publication guidance will be a more effective
mechanism for helping covered entities design their notices than the
regulation itself. After the rule is published, we can provide guidance
on notice content and format tailored to different types of health plans
and providers. We believe such specially designed guidance will be more
useful that a one-size-fits-all model notice we might publish with this
regulation.
*Comment:* Commenters suggested that the rule should require that the
notice regarding privacy practices include specific provisions related
to health information of unemancipated minors.
*Response:* Although we agree that minors and their parents should be
made aware of practices related to confidentiality of protected health
information of unemancipated minors, we do not require covered entities
that treat minors or use their protected health information to include
provisions in their notice that are not required of other covered
entities. In general, the content of notice requirements in § 164.520(b)
do not vary based on the status of the individual being served. We have
decided to maintain consistency by declining to prescribe specific
notice requirements for minors. The rule does permit a covered entity to
provide individuals with notice of its policies and procedures with
respect to anticipated uses and disclosures of protected health
information (§ 164.520(b)(2)), and providers are encouraged to do so.
*Comment:* Some commenters argued that covered entities should not be
required to distinguish between those uses and disclosures that are
required by law and those that are permitted by law without
authorization, because these distinctions may not always be clear and
will vary across jurisdictions. Some commenters maintained that simply
stating that the covered entity would make all disclosures required by
law would be sufficient. Other comments suggested that covered entities
should be able to produce very broadly stated notices so that repeated
revisions and mailings of those revisions would not be necessary.
*Response*: While we believe that covered entities have an independent
duty to understand the laws to which they are subject, we also recognize
that it could be difficult to convey such legal distinctions clearly and
concisely in a notice. We therefore eliminate the proposed requirement
for covered entities to distinguish between those uses and disclosures
that are required by and those that are permitted by law. We instead
require that covered entities describe each purpose for which they are
permitted or required to use or disclose protected health information
under this rule and other applicable law without individual consent or
authorization. Specifically, covered entities must describe the types of
uses and disclosures they are permitted to make for treatment, payment,
and health care operations. They must also describe each of the purposes
for which the covered entity is permitted or required by this subpart to
use or disclose protected health information without the individual's
written consent or authorization (even if they do not plan to make a
permissive use or disclosure). We believe this requirement provides
individuals with sufficient information to understand how information
about them can be used and disclosed and to prompt them to ask for
additional information to obtain a clearer understanding, while
minimizing covered entities' burden.
A notice that stated only that the covered entity would make all
disclosures required by law, as suggested by some of these commenters,
would fail to inform individuals of the uses and disclosures of
information about them that are permitted, but not required, by law. We
clarify that each and every disclosure required by law need not be
listed on the notice. Rather, the covered entity can include a general
statement that disclosures required by law will be made.
*Comment:* Some comments argued that the covered entity should not have
to provide notice about uses and disclosures that are permitted under
the rule without authorization. Other comments suggested that the notice
should inform individuals about all of the uses and disclosures that may
be made, with or without the individual's authorization.
*Response:* When the individual's permission is not required for uses
and disclosures of information, we believe providing the required notice
is the most effective means of ensuring that individuals are aware of
how information about them may be shared. The notice need not describe
uses and disclosures for which the individual's permission is required,
because the individual will be informed of these at the time permission
to use or disclose the information is requested.
We additionally require covered entities, even those required to obtain
the individual's consent for use and disclosure of protected health
information for treatment, payment, and health care operations, to
describe those uses and disclosures in their notice. (See § 164.506 and
the corresponding preamble discussion regarding consent requirements.)
We require these uses and disclosures to be described in the notice in
part in order to reduce the administrative burden on covered providers
that are required to obtain consent. Rather than obtaining a new consent
each time the covered provider's information policies and procedures are
materially revised, covered providers may revise and redistribute their
notice. We also expect that the description of how information may be
used to carry out treatment, payment, and health care operations in the
notice will be more detailed than in the more general consent document.
*Comment:* Some commenters argued that covered entities should not be
required to provide notice of the right to request restrictions, because
doing so would be burdensome to the covered entity and distracting to
the individual; because individuals have the right whether they are
informed of such right or not; and because the requirement would be
unlikely to improve patient care.
*Response:* We disagree. We believe that the ability of an individual to
request restrictions is an important privacy right and that informing
people of their rights improves their ability to exercise those rights.
We do not believe that adding a sentence to the notice is burdensome to
covered entities.
*Comment:* We received comments supporting inclusion of a contact point
in the notice, so that individuals will not be forced to make multiple
calls to find someone who can assist them with the issues in the notice.
*Response:* We retain the requirement, but clarify that the title of the
contact person is sufficient. A person's name is not required.
C*omment:* Some commenters argued that we could facilitate compliance by
requiring the notice to include the proposed requirement that covered
entities use and disclose only the minimum necessary protected health
information.
*Response:* We do not agree that adding such a requirement would
strengthen the notice. The purpose of the notice is to inform
individuals of their privacy rights, and of the purposes for which
protected health information about them may be used or disclosed.
Informing individuals that covered entities may use and disclose only
the minimum necessary protected health information for a purpose would
not increase individuals' understanding of their rights or the purposes
for which information may be used or disclosed.
*Comment:* A few commenters supported allowing covered entities to apply
changes in their information practices to protected health information
obtained prior to the change. They argued that requiring different
protections for information obtained at different times would be
inefficient and extremely difficult to administer. Some comments
supported requiring covered entities to state in the notice that the
information policies and procedures are subject to change.
*Response:* We agree. In the final rule, we provide a mechanism by which
covered entities may revise their privacy practices and apply those
revisions to protected health information they already maintain. We
permit, but do not require, covered entities to reserve the right to
change their practices and apply the revised practices to information
previously created or obtained. If a covered entity wishes to reserve
this right, it must make a statement to that effect in its notice. If it
does not make such a statement, the covered entity may still revise its
privacy practices, but it may apply the revised practices only to
protected health information created or obtained after the effective
date of the notice in which the revised practices are reflected. See §
164.530(i) and the corresponding preamble discussion of requirements
regarding changes to information policies and procedures.
*Comment:* Some commenters requested clarification of the term "material
changes" so that entities will be comfortable that they act properly
after making changes to their information practices. Some comments
stated that entities should notify individuals whenever a new category
of disclosures to be made without authorization is created.
*Response:* The concept of "material change" appears in other notice
laws, such as the ERISA requirements for summary plan descriptions. We
therefore retain the "materiality" condition for revision of notices,
and encourage covered entities to draw on the concept as it has
developed through those other laws. We agree that the addition of a new
category of use or disclosure of health information that may be made
without authorization would likely qualify as a material change.
*Comment:* We proposed to permit covered entities to implement revised
policies and procedures without first revising the notice if a
compelling reason existed to do so. Some commenters objected to this
proposal because they were concerned that the "compelling reason"
exception would give covered entities broad discretion to engage in post
hoc violations of its own information practices.
*Response:* We agree and eliminate this provision. Covered entities may
not implement revised information policies and procedures before
properly documenting the revisions and updating their notice. See §
164.530(i). Because in the final rule we require the notice to include
all disclosures that may be made, not only those the covered entity
intends to make, we no longer need this provision to accommodate
emergencies.
*Comment:* Some comments suggested that we require covered entities to
maintain a log of all past notices, with changes from the previous
notice highlighted. They further suggested we require covered entities
to post this log on their web sites.
*Response:* In accordance with § 164.530(j)(2), a covered entity must
retain for six years a copy of each notice it issues. We do not require
highlighting of changes to the notice or posting of prior notices, due
to the associated administrative burdens and the complexity such a
requirement would build into the notice over time. We encourage covered
entities, however, to make such materials available upon request.
*Comment*: Several commenters requested clarification about when,
relative to the compliance date, covered entities are required to
produce their notice. One commenter suggested that covered entities be
allowed a period not less than 180 days after adoption of the final rule
to develop and distribute the notice. Other comments requested that the
notice compliance date be consistent with other HIPAA regulations.
*Response:* We require covered entities to have a notice available upon
request as of the compliance date of this rule (or the compliance date
of the covered entity if such date is later). See § 164.534 and the
corresponding preamble discussion of the compliance date.
*Comment:* Some commenters suggested that covered entities, particularly
covered health care providers, should be required to discuss the notice
with individuals. They argued that posting a notice or otherwise
providing the notice in writing may not achieve the goal of informing
individuals of how their information will be handled, because some
individuals may not be literate or able to function at the reading level
used in the notice. Others argued that entities should have the
flexibility to choose alternative modes of communicating the information
in the notice, including voice disclosure. In contrast, some commenters
were concerned that requirements to provide the notice in plain language
or in languages other than English would be overly burdensome.
*Response:* We require covered entities to write the notice in plain
language so that the average reader will be able to understand the
notice. We encourage, but do not require, covered entities to consider
alternative means of communicating with certain populations. We note
that any covered entity that is a recipient of federal financial
assistance is generally obligated under Title VI of the Civil Rights Act
of 1964 to provide material ordinarily distributed to the public in the
primary languages of persons with limited English proficiency in the
recipients' service areas. While we believe the notice will prompt
individuals to initiate discussions with their health plans and health
care providers about the use and disclosure of health information, we
believe this should be a matter left to each individual and that
requiring covered entities to initiate discussions with each individual
would be overly burdensome.
*Comment:* Some commenters suggested that covered entities, particularly
health plans, should be permitted to distribute their notice in a
newsletter or other communication with individuals.
*Response:* We agree, so long as the notice is sufficiently separate
from other important documents. We therefore prohibit covered entities
from combining the notice in a single document with either a consent (§
164.506) or an authorization (§ 164.508), but do not otherwise prohibit
covered entities from including the notice in or with other documents
the covered entity shares with individuals.
*Comment:* Some comments suggested that covered entities should not be
required to respond to requests for the notice from the general public.
These comments indicated that the requirement would place an undue
burden on covered entities without benefitting individuals.
*Response:* We proposed that the notice be publicly available so that
individuals may use the notice to compare covered entities' privacy
practices and to select a health plan or health care provider
accordingly. We therefore retain the proposed requirement for covered
entities to provide the notice to any person who requests a copy,
including members of the general public.
*Comment:* Many commenters argued that the distribution requirements for
health plans should be less burdensome. Some suggested requiring
distribution upon material revision, but not every three years. Some
suggested that health plans should only be required to distribute their
notice annually or upon re-enrollment. Some suggested that health plans
should only have to distribute their notice upon initial enrollment, not
re-enrollment. Other commenters supported the proposed approach.
*Response:* We agree that the notice distribution requirements for
health plans can be less burdensome than in the NPRM while still being
effective. In the final rule, we reduce health plans' distribution
burden in several ways. First, we require health plans to remind
individuals every three years of the availability of the notice and of
how to obtain a copy of the notice, rather than requiring the notice to
be distributed every three years as proposed. Second, we clarify that
health plans only have to distribute the notice to new enrollees on
enrollment, not to current members of the health plan upon
re-enrollment. Third, we specifically allow all covered entities to
distribute the notice electronically in accordance with § 164.520(c)(3).
We retain the requirement for health plans to distribute the notice
within 60 days of a material revision. We believe the revised
distribution requirements will ensure that individuals are adequately
informed of health plans' information practices and any changes to those
procedures, without unduly burdening health plans.
*Comment:* Many commenters argued that health plans should not be
required to distribute their notice to every person covered by the plan.
They argued that distributing the notice to every family member would be
unnecessarily duplicative, costly, and difficult to administer. They
suggested that health plans only be required to distribute the notice to
the primary participant or to each household with one or more insured
individuals.
*Response:* We agree, and clarify in the final rule that a health plan
may satisfy the distribution requirement by providing the notice to the
named insured on behalf of the dependents of that named insured. For
example, a group health plan may satisfy its notice requirement by
providing a single notice to each covered employee of the plan sponsor.
We do not require the group health plan to distribute the notice to each
covered employee and to each covered dependent of those employees.
*Comment:* Many comments requested clarification about health plans'
ability to distribute the notice via other entities. Some commenters
suggested that group health plans should be able to satisfy the
distribution requirement by providing copies of the notice to plan
sponsors for delivery to employees. Others requested clarification that
covered health care providers are only required to distribute their own
notice and that health plans should be prohibited from using their
affiliated providers to distribute the health plan's notice.
*Response:* We require health plans to distribute their notice to
individuals covered by the health plan. Health plans may elect to hire
or otherwise arrange for others, including group health plan sponsors
and health care providers affiliated with the health plan, to carry out
this distribution. We require covered providers to distribute only their
own notices, and neither require nor prohibit health plans and health
care providers from devising whatever arrangements they find suitable to
meet the requirements of this rule. However, if a covered entity
arranges for another person or entity to distribute the covered entity's
notice on its behalf and individuals do not receive such notice, the
covered entity would be in violation of the rule.
*Comment:* Some comments stated that covered providers without direct
patient contact, such as clinical laboratories, might not have
sufficient patient contact information to be able to mail the notice.
They suggested we require or allow such providers to form agreements
with referring providers or other entities to distribute notices on
their behalf or to include their practices in the referring entity's own
notice.
*Response:* We agree with commenters' concerns about the potential
administrative and financial burdens of requiring covered providers that
have indirect treatment relationships with individuals, such as clinical
laboratories, to distribute the notice. Therefore, we require these
covered providers to provide the notice only upon request. In addition,
these covered providers may elect to reach agreements with other
entities distribute their notice on their behalf, or to participate in
an organized health care arrangement that produces a joint notice. See §
164.520(d) and the corresponding preamble discussion of joint notice
requirements.
*Comment:* Some commenters requested that covered health care providers
be permitted to distribute their notice prior to an individual's initial
visit so that patients could review the information in advance of the
visit. They suggested that distribution in advance would reduce the
amount of time covered health care providers' staff would have to spend
explaining the notice to patients in the office. Other comments argued
that providers should distribute their notice to patients at the time
the individual visits the provider, because providers lack the
administrative infrastructure necessary to develop and distribute mass
communications and generally have difficulty identifying active
patients.
*Response:* In the final rule, we clarify that covered providers with
direct treatment relationships must provide the notice to patients no
later than the first service delivery to the patient after the
compliance date. For the reasons identified by these commenters, we do
not require covered providers to send their notice to the patient in
advance of the patient's visit. We do not prohibit distribution in
advance, but only require distribution to the patient as of the time of
the visit. We believe this flexibility will allow each covered provider
to develop procedures that best meet its and its patients' needs.
*Comment:* Some comments suggested that covered providers should be
required to distribute the notice as of the compliance date. They noted
that if the covered provider waited to distribute the notice until first
service delivery, it would be possible (pursuant to the rule) for a use
or disclosure to be made without the individual's authorization, but
before the individual receives the notice.
*Response:* Because health care providers generally lack the
administrative infrastructure necessary to develop and distribute mass
communications and generally have difficulty identifying active
patients, we do not require covered providers to distribute the notice
until the first service delivery after the compliance date. We
acknowledge that this policy allows uses and disclosure of health
information without individuals' consent or authorization before the
individual receives the notice. We require covered entities, including
covered providers, to have the notice available upon request as of the
compliance date of the rule. Individuals may request a copy of the
notice from their provider at any time.
*Comment:* Many commenters were concerned with the requirement that
covered providers post their notice. Some commenters suggested that
covered hospital-based providers should be able to satisfy the
distribution requirements by posting their notice in multiple locations
at the hospital, rather than handing the notice to patients -
particularly with respect to distribution after material revisions have
been made. Some additionally suggested that these covered providers
should have copies of the notice available on site. Some commenters
emphasized that the notice must be clear and conspicuous to give
individuals meaningful and effective notice of their rights. Other
commenters noted that posting the notice will not inform former patients
who no longer see the provider.
*Response:* We clarify in the final rule that the requirement to post a
notice does not substitute for the requirement to give individuals a
notice or make notices available upon request. Covered providers with
direct treatment relationships, including covered hospitals, must give a
copy of the notice to the individual as of first service delivery after
the compliance date. After giving the individual a copy of the notice as
of that first visit, the covered provider has no other obligation to
actively distribute the notice. We believe it is unnecessarily
burdensome to require covered providers to mail the notice to all
current and former patients each time the notice is revised, because
unlike health plans, providers may have a difficult time identifying
active patients. All individuals, including those who no longer see the
covered provider, have the right to receive a copy of the notice on
request.
If the covered provider maintains a physical delivery site, it must also
post the notice (including revisions to the notice) in a clear and
prominent location where it is reasonable to expect individuals seeking
service from the covered provider to be able to read the notice. The
covered provider must also have the notice available on site for
individuals to be able to request and take with them.
*Comment:* Some comments requested clarification about the distribution
requirements for a covered entity that is a health plan and a covered
health care provider.
*Response:* Under § 164.504(g), discussed above, covered entities that
conduct multiple types of covered functions, such as the kind of
entities described in the above comments, are required to comply with
the provisions applicable to a particular type of health care function
when acting in that capacity. Thus, in the example described above, the
covered entity is required by § 164.504(g) to follow the requirements
for health plans with respect to its actions as a health plan and to
follow the requirements for health care providers with respect to its
actions as a health care provider.
*Comment:* We received many comments about the ability of covered
entities to distribute their notices electronically. Many commenters
suggested that we permit covered entities to distribute the notice
electronically, either via a web site or e-mail. They argued that
covered entities are increasingly using electronic technology to
communicate with patients and otherwise administer benefits. They also
noted that other regulations permit similar documents, such as
ERISA-required summary plan descriptions, to be delivered
electronically. Some commenters suggested that electronic distribution
should be permitted unless the individual specifically requests a hard
copy or lacks electronic access. Some argued that entities should be
able to choose a least-cost alternative that allows for periodic changes
without excessive mailing costs. A few commenters suggested requiring
covered entities to distribute notices electronically.
*Response:* We clarify in the final rule that covered entities may elect
to distribute their notice electronically, provided the individual
agrees to receiving the notice electronically and has not withdrawn such
agreement. We do not require any particular form of agreement. For
example, a covered provider could ask an individual at the time the
individual requests a copy of the notice whether she prefers to receive
it in hard copy or electronic form. A health plan could ask an
individual applying for coverage to provide an e-mail address where the
health plan can send the individual information. If the individual
provides an e-mail address, the health plan can infer agreement to
obtain information electronically.
An individual who has agreed to receive the notice electronically,
however, retains the right to request a hard copy of the notice. This
right must be described in the notice. In addition, if the covered
entity knows that electronic transmission of the notice has failed, the
covered entity must produce a hard copy of the notice. We believe this
provision allows covered entities flexibility to provide the notice in
the form that best meets their needs without compromising individuals'
right to adequate notice of covered entities' information practices.
We note that covered entities may also be subject to the Electronic
Signatures in Global and National Commerce Act. This rule is not
intended to alter covered entities' requirements under that Act.
*Comment:* Some commenters were concerned that covered providers with
"face-to-face" patient contact would have a competitive disadvantage
against covered internet-based providers, because the face-to-face
providers would be required to distribute the notice in hard copy while
internet-based providers could satisfy the requirement by requiring
review of the notice on the web site before processing an order. They
suggested allowing face-to-face covered providers to satisfy the
distribution requirement by asking patients to review the notice posted
on site.
*Response:* We clarify in the final rule that covered health care
providers that provide services to individuals over the internet have
direct treatment relationships with those individuals. Covered
internet-based providers, therefore, must distribute the notice at the
first service delivery after the compliance date by automatically and
contemporaneously providing the notice electronically in response to the
individual's first request for service, provided the individual agrees
to receiving the notice electronically.
Even though we require all covered entity web sites to post the entity's
notice prominently, we note that such posting is not sufficient to meet
the distribution requirements. A covered internet-based provider must
send the notice electronically at the individual's first request for
service, just as other covered providers with direct treatment
relationships must give individuals a copy of the notice as of the first
service delivery after the compliance date.
We do not intend to create competitive advantages among covered
providers. A web-based and a non-web-based covered provider each have
the same alternatives available for distribution of the notice. Both
types of covered providers may provide either a paper copy or an
electronic copy of the notice.
*Comment:* We received several comments suggesting that some covered
entities should be exempted from the notice requirement or permitted to
combine notices with other covered entities. Many comments argued that
the notice requirement would be burdensome for hospital-based physicians
and result in numerous, duplicative notices that would be meaningless or
confusing to patients. Other comments suggested that multiple health
plans offered through the same employer should be permitted to produce a
single notice.
*Response:* We retain the requirement for all covered health care
providers and health plans to produce a notice of information practices.
Health care clearinghouses are required to produce a notice of
information practices only to the extent the clearinghouse creates or
receives protected health information other than as a business associate
of a covered entity. See § 164.500(b)(2). Two other types of covered
entities are not required to produce a notice: a correctional
institution that is a covered entity and a group health plan that
provides benefits only through one or more contracts of insurance with
health insurance issuers or HMOs.
We clarify in § 164.504(d), however, that affiliated covered entities
under common ownership or control may designate themselves as a single
covered entity for purposes of this rule. An affiliated covered entity
is only required to produce a single notice.
In addition, covered entities that participate in an organized health
care arrangement - which could include hospitals and their associated
physicians - may choose to produce a single, joint notice, if certain
requirements are met. See § 164.501 and the corresponding preamble
discussion of organized health care arrangements.
We clarify that each covered entity included in a joint notice must meet
the applicable distribution requirements. If any one of the covered
entities, however, provides the notice to a given individual, the
distribution requirement with respect to that individual is met for all
of the covered entities included in the joint notice. For example, a
covered hospital and its attending physicians may elect to produce a
joint notice. When an individual is first seen at the hospital, the
hospital must provide the individual with a copy of the joint notice.
Once the hospital has done so, the notice distribution requirement for
all of the attending physicians that provide treatment to the individual
at the hospital and that are included in the joint notice is satisfied.
*Comment:* We solicited and received comments on whether to require
covered entities to obtain the individual's signature on the notice.
Some commenters suggested that requiring a signature would convey the
importance of the notice, would make it more likely that individuals
read the notice, and could have some of the same benefits of a consent.
They noted that at least one state already requires entities to make a
reasonable effort to obtain a signed notice. Other comments noted that
the signature would be useful for compliance and risk management
purposes because it would document that the individual had received the
notice.
The majority of commenters on this topic, however, argued that a signed
acknowledgment would be administratively burdensome, inconsistent with
the intent of the Administrative Simplification requirements of HIPAA,
impossible to achieve for incapacitated individuals, difficult to
achieve for covered entities that do not have direct contact with
patients, inconsistent with other notice requirements under other laws,
misleading to individuals who might interpret their signature as an
agreement, inimical to the concept of permitting uses and disclosures
without authorization, and an insufficient substitute for authorization.
*Response*: We agree with the majority of commenters and do not require
covered entities to obtain the individual's signed acknowledgment of
receipt of the notice. We believe that we satisfied most of the
arguments in support of requiring a signature with the new policy
requiring covered health care providers with direct treatment
relationships to obtain a consent for uses and disclosures of protected
health information to carry out treatment, payment, and health care
operations. See § 164.506 and the corresponding preamble discussion of
consent requirements. We note that this rule does not preempt other
applicable laws that require a signed notice and does not prohibit a
covered entity from requesting an individual to sign the notice.
*Comment:* Some commenters supported requiring covered entities to
adhere to their privacy practices, as described in their notice. They
argued that the notice is meaningless if a covered entity does not
actually have to follow the practices contained in its notice. Other
commenters were concerned that the rule would prevent a covered entity
from using or disclosing protected health information in otherwise
lawful and legitimate ways because of an intentional or inadvertent
omission from its published notice. Some of these commenters suggested
requiring the notice to include a description of some or all disclosures
that are required or permitted by law. Some commenters stated that the
adherence requirement should be eliminated because it would generally
inhibit covered entities' ability to innovate and would be burdensome.
*Response*: We agree that the value of the notice would be significantly
diminished absent a requirement that covered entities adhere to the
statements they make in their notices. We therefore retain the
requirement for covered entities to adhere to the terms of the notice.
See § 164.502(i).
Many of these commenters' concerns regarding a covered entity's
inability to use or disclose protected health information due to an
intentional or inadvertent omission from the notice are addressed in our
revisions to the proposed content requirements for the notice. Rather
than require covered entities to describe only those uses and
disclosures they anticipate making, as proposed, we require covered
entities to describe all uses and disclosures they are required or
permitted to make under the rule without the individual's consent or
authorization. We permit a covered entity to provide a statement that it
will disclose protected health information that is otherwise required by
law, as permitted in § 164.512(a), without requiring them to list all
state laws that may require disclosure. Because the notice must describe
all legally permissible uses and disclosures, the notice will not
generally preclude covered entities from making any uses or disclosures
they could otherwise make without individual consent or authorization.
This change will also ensure that individuals are aware of all possible
uses and disclosures that may occur without their consent or
authorization, regardless of the covered entity's current practices.
We encourage covered entities, however, to additionally describe the
more limited uses and disclosures they actually anticipate making in
order to give individuals a more accurate understanding of how
information about them will be shared. We expect that certain covered
entities will want to distinguish themselves on the basis of their
privacy protections. We note that a covered entity that chooses to
exercise this option must clearly state that, at a minimum, the covered
entity may make disclosures that are required by law and that are
necessary to avert a serious and imminent threat to health or safety.
**SECTION 164.522---RIGHTS TO REQUEST PRIVACY PROTECTION FOR PROTECTED
HEALTH INFORMATION**
**Section 164.522(a)---Right of an Individual to Request Restriction of
Uses and Disclosures**
*Comment:* Several commenters supported the language in the NPRM
regarding the right to request restrictions. One commenter specifically
stated that this is a balanced approach that addresses the needs of the
few who would have reason to restrict disclosures without negatively
affecting the majority of individuals. At least one commenter explained
that if we required consent or authorization for use and disclosure of
protected health information for treatment, payment, and health care
operations that we must also have a right to request restrictions of
such disclosure in order to make the consent meaningful.
Many commenters requested that we delete this provision, claiming it
would interfere with patient care, payment, and data integrity. Most of
the commenters that presented this position asserted that the framework
of giving patients control over the use or disclosure of their
information is contrary to good patient care because incomplete medical
records may lead to medical errors, misdiagnoses, or inappropriate
treatment decisions. Other commenters asserted that covered entities
need complete data sets on the populations they serve to effectively
conduct research and quality improvement projects and that restrictions
would hinder research, skew findings, impede quality improvement, and
compromise accreditation and performance measurement.
*Response:* We acknowledge that widespread restrictions on the use and
disclosure of protected health information could result in some
difficulties related to payment, research, quality assurance, etc.
However, in our efforts to protect the privacy of health information
about individuals, we have sought a balance in determining the
appropriate level of individual control and the smooth operation of the
health care system. In the final rule, we require certain covered
providers and permit all covered entities to obtain consent from
individuals for use and disclosure of protected health information for
treatment, payment, and health care operations (see § 164.506). In order
to give individuals some control over their health information for uses
and disclosures of protected health information for treatment, payment,
and health care operations, we provide individuals with the opportunity
to request restrictions of such uses and disclosures.
Because the right to request restrictions encourages discussions about
how protected health information may be used and disclosed and about an
individual's concerns about such uses and disclosures, it may improve
communications between a provider and patient and thereby improve care.
According to a 1999 survey on the Confidentiality of Medical Records by
the California HealthCare Foundation, one out of every six people engage
in behavior to protect themselves from unwanted disclosures of health
information, such as lying to providers or avoiding seeking care. This
indicates that, without the ability to request restrictions, individuals
would have incentives to remain silent about important health
information that could have an effect on their health and health care,
rather than consulting a health care provider.
Further, this policy is not a dramatic change from the *status quo*.
Today, many state laws restrict disclosures for certain types of health
information without patient's authorization. Even if there is no
mandated requirement to restrict disclosures of health information,
providers may agree to requests for restrictions of disclosures when a
patient expresses particular sensitivity and concern for the disclosure
of health information.
We agree that there may be instances in which a restriction could
negatively affect patient care. Therefore, we include protections
against this occurrence. First, the right to request restrictions is a
right of individuals to make the request. A covered entity may refuse to
restrict uses and disclosures or may agree only to certain aspects of
the individual's request if there is concern for the quality of patient
care in the future. For example, if a covered provider believes that it
is not in the patient's best medical interest to have such a
restriction, the provider may discuss the request for restriction with
the patient and give the patient the opportunity to explain the concern
for disclosure. Also, a covered provider who is concerned about the
implications on future treatment can agree to use and disclose sensitive
protected health information for treatment purposes only and agree not
to disclose information for payment and operation purposes. Second, a
covered provider need not comply with a restriction that has been agreed
to if the individual who requested the restriction is in need of
emergency treatment and the restricted protected health information is
needed to provide the emergency treatment. This exception should limit
the harm to health that may otherwise result from restricting the use or
disclosure of protected health information. We encourage covered
providers to discuss with individuals that the information may be used
or disclosed in emergencies. We require that the covered entity that
discloses restricted protected health information in an emergency
request that the health care provider that receives such information not
further use or re-disclose the information.
*Comment:* Some health plans stated that an institutionalized right to
restrict can interfere with proper payment and can make it easier for
unscrupulous providers or patients to commit fraud on insurance plans.
They were concerned that individuals could enter into restrictions with
providers to withhold information to insurance companies so that the
insurance company would not know about certain conditions when
underwriting a policy.
*Response:* This rule does not enhance the ability of unscrupulous
patients or health care providers to engage in deceptive or fraudulent
withholding of information. This rule grants a right to request a
restriction, not an absolute right to restrict. Individuals can make
such requests today. Other laws criminalize insurance fraud; this
regulation does not change those laws.
*Comment:* One commenter asserted that patients cannot anticipate the
significance that one aspect of their medical information will have on
treatment of other medical conditions, and therefore, allowing them to
restrict use or disclosure of some information is contrary to the
patient's best interest.
*Response:* We agree that patients may find it difficult to make such a
calculus, and that it is incumbent on health care providers to help them
do so. Health care providers may deny requests for or limit the scope of
the restriction requested if they believe the restriction is not in the
patient's best interest.
*Comment:* One commenter asked whether an individual's restriction to
disclosure of information will be a bar to liability for misdiagnosis or
failure to diagnose by a covered entity who can trace its error back to
the lack of information resulting from such restriction.
*Response:* Decisions regarding liability and professional standards are
determined by state and other law. This rule does not establish or limit
liability for covered entities under those laws. We expect that the
individual's request to restrict the disclosure of their protected
health information would be considered in the decision of whether or not
a covered entity is liable.
*Comment:* One commenter requested that we allow health plans to deny
coverage or reimbursement when a covered health care provider's
agreement to restrict use or disclosure prevents the plan from getting
the information that is necessary to determine eligibility or coverage.
*Response:* In this rule, we do not modify insurers' rules regarding
information necessary for payment. We recognize that restricting the
disclosure of information may result in a denial of payment. We expect
covered providers to explain this possibility to individuals when
considering their requests for restrictions and to make alternative
payment arrangements with individuals if necessary.
*Comment:* Some commenters discussed the administrative burden and cost
of the requirement that individuals have the right to request
restrictions and that trying to segregate certain portions of
information for protection may be impossible. Others stated that the
administrative burden would make providers unable to accommodate
restrictions, and would therefore give patients false expectations that
their right to request restrictions may be acted upon. One commenter
expressed concern that large covered providers would have a particularly
difficult time establishing a policy whereby the covered entity could
agree to restrictions and would have an even more difficult time
implementing the restrictions since records may be kept in multiple
locations and accessed by multiple people within the organization. Still
other commenters believed that the right to request restrictions would
invite argument, delay, and litigation.
*Response:* We do not believe that this requirement is a significant
change from current practice. Providers already respond to requests by
patients regarding sensitive information, and are subject to state law
requirements not to disclose certain types of information without
authorization. This right to request is permissive so that covered
entities can balance the needs of particular individuals with the
entity's ability to manage specific accommodations.
*Comment:* Some commenters were concerned that a covered entity would
agree to a restriction and then realize later that the information must
be disclosed to another caregiver for important medical care purposes.
*Response:* Some individuals seek treatment only on the condition that
information about that treatment will not be shared with others. We
believe it is necessary and appropriate, therefore, that when a covered
provider agrees to such a restriction, the individual must be able to
rely on that promise. We strongly encourage covered providers to
consider future treatment implications of agreeing to a restriction. We
encourage covered entities to inform others of the existence of a
restriction when appropriate, provided that such notice does not amount
to a *de facto* disclosure of the restricted information. If the covered
provider subject to the restriction believes that disclosing the
protected health information that was created or obtained subject to the
restriction is necessary to avert harm (and it is not for emergency
treatment), the provider must ask the individual for permission to
terminate or modify the restriction. If the individual agrees to the
termination of the restriction, the provider must document this
termination by noting this agreement in the medical record or by
obtaining a written agreement of termination from the individual and may
use or disclose the information for treatment. If the individual does
not agree to terminate or modify the restriction, however, the provider
must continue to honor the restriction with respect to protected health
information that was created or received subject to the restriction. We
note that if the restricted protected health information is needed to
provide emergency treatment to the individual who requested the
restriction, the covered entity may use or disclose such information for
such treatment.
*Comment:* Commenters asked that we require covered entities to keep an
accounting of the requests for restrictions and to report this
information to the Department in order for the Department to determine
whether covered entities are showing \"good faith\" in dealing with
these requests.
*Response:* We require that covered entities that agree to restrictions
with individuals document such restrictions. A covered entity must
retain such documentation for six years from the date of its creation or
the date when it last was in effect, whichever is later. We do not
require covered entities to keep a record of all requests made,
including those not agreed to, nor that they report such requests to the
Department. The decision to agree to restrictions is that of the covered
entity. Because there is no requirement to agree to a restriction, there
is no reason to impose the burden to document requests that are denied.
Any reporting requirement could undermine the purpose of this provision
by causing the sharing, or appearance of sharing, of information for
which individuals are seeking extra protection.
*Comment:* One commenter asserted that providers that currently allow
such restrictions will choose not to do so under the rule based on the
guidance of legal counsel and loss prevention managers, and suggested
that the Secretary promote competition among providers with respect to
privacy by developing a third-party ranking mechanism.
*Response:* We believe that providers will do what is best for their
patients, in accordance with their ethics codes, and will continue to
find ways to accommodate requested restrictions when they believe that
it is in the patients\' best interests. We anticipate that providers who
find such action to be of commercial benefit will notify consumers of
their willingness to be responsive to such requests. Involving third
parties could undermine the purpose of this provision, by causing the
sharing, or appearance of sharing, of information for which individuals
are seeking extra protection.
*Comment:* One commenter said that any agreement regarding
patient-requested restrictions should be in writing before a covered
provider would be held to standards for compliance.
*Response:* We agree that agreed to restrictions must be documented in
writing, and we require that covered entities that agree to restrictions
document those restrictions in accordance with § 164.530(j). The writing
need not be formal; a notation in the medical record will suffice. We
disagree with the request that an agreed to restriction be reduced to
writing in order to be enforced. If we adopted the requested policy, a
covered entity could agree to a restriction with an individual, but
avoid being held to this agreed to restriction under the rule by failing
to document the restriction. This would give a covered entity the
opportunity to agree to a restriction and then, at its sole discretion,
determine if it is enforceable by deciding whether or not to make a note
of the restriction in the record about the individual. Because the
covered entity has the ability to agree or fail to agree to a
restriction, we believe that once the restriction is agreed to, the
covered entity must honor the agreement. Any other result would be
deceptive to the individual and could lead an individual to disclose
health information under the assumption that the uses and disclosures
will be restricted. Under § 164.522, a covered entity could be found to
be in violation of the rule if it fails to put an agreed-upon
restriction in writing and also if it uses or discloses protected health
information inconsistent with the restriction.
*Comment:* Some commenters said that the right to request restrictions
should be extended to some of the uses and disclosures permitted without
authorization in § 164.510 of the NPRM, such as disclosures to next of
kin, for judicial and administrative proceedings, for law enforcement,
and for governmental health data systems. Other commenters said that
these uses and disclosures should be preserved without an opportunity
for individuals to opt out.
*Response:* We have not extended the right to request restrictions under
this rule to disclosures permitted in § 164.512 of the final rule.
However, we do not preempt other law that would enforce such agreed-upon
restrictions. As discussed in more detail, above, we have extended the
right to request restrictions to disclosures to persons assisting in the
individual's care, such as next of kin, under § 164.510(b). Any
restriction that a covered entity agrees to with respect to persons
assisting in the individual's care in accordance with the rule will be
enforceable under the rule.
*Comment:* A few commenters raised the question of the effect of a
restriction agreed to by one covered entity that is part of a larger
covered entity, particularly a hospital. Commenters were also concerned
about who may speak on behalf of the covered entity.
*Response:* All covered entities are required to establish policies and
procedures for providing individuals the right to request restrictions,
including policies for who may agree to such restrictions on the covered
entity's behalf. Hospitals and other large entities that are concerned
about employees agreeing to restrictions on behalf of the organization
will have to make sure that their policies are communicated
appropriately to those employees. The circumstances under which members
of a covered entity's workforce can bind the covered entity are a
function of other law, not of this regulation.
*Comment:* Commenters expressed confusion about the intended effect of
any agreed-upon restrictions on downstream covered entities. They
asserted that it would be extremely difficult for a requested
restriction to be followed through the health care system and that it
would be unfair to hold covered entities to a restriction when they did
not agree to such restriction. Specifically, commenters asked whether a
covered provider that receives protected health information in
compliance with this rule from a physician or medical group that has
agreed to limit certain uses of the information must comply with the
original restriction. Other commenters expressed concern that not
applying a restriction to downstream covered entities is a loophole and
that all downstream covered providers and health plans should be bound
by the restrictions.
*Response:* Under the final rule, a restriction that is agreed to
between an individual and a covered entity is only binding on the
covered entity that agreed to the restriction and not on downstream
entities. It would also be binding on any business associate of the
covered entity since a business associate can not use or disclose
protected health information in any manner that a covered entity would
not be permitted to use or disclose such information. We realize that
this may limit the ability of an individual to successfully restrict a
use or disclosure under all circumstances, but we take this approach for
two reasons. First, we allow covered entities to refuse individuals'
requests for restrictions. Requiring downstream covered entities to
abide by a restriction would be tantamount to forcing them to agree to a
request to which they otherwise may not have agreed. Second, some
covered entities have information systems which will allow them to
accommodate such requests, while others do not. If the downstream
provider is in the latter category, the administrative burden of such a
requirement would be unmanageable.
We encourage covered entities to explain this limitation to individuals
when they agree to restrictions, so individuals will understand that
they need to ask all their health plans and providers for desired
restrictions. We also require that a covered entity that discloses
protected health information to a health care provider for emergency
treatment, in accordance with § 164.522 (a)(iii), to request that the
recipient not further use or disclose the information.
*Comment:* One commenter requested that agreed-to restrictions of a
covered entity not be applied to business associates.
*Response:* As stated in § 164.504(e)(2), business associates are acting
on behalf of, or performing services for, the covered entity and may
not, with two narrow exceptions, use or disclose protected health
information in a manner that would violate this rule if done by the
covered entity. Business associates are agents of the covered entity
with respect to protected health information they obtain through the
business relationship. If the covered entity agrees to a restriction
and, therefore, is bound to such restriction, the business associate
will also be required to comply with the restriction. If the covered
entity has agreed to a restriction, the satisfactory assurances from the
business associate, as required in § 164.504(e), must include assurances
that protected health information will not be used or disclosed in
violation of an agreed to restriction.
*Comment:* One commenter requested clarification that the right to
request restrictions cannot be used to restrict the creation of
de-identified information.
*Response:* We found no reason to treat the use of protected health
information to create de-identified information different from other
uses of protected health information. The right to request restriction
applies to any use or disclosure of protected health information to
carry out treatment, payment, or health care operations. If the covered
entity uses protected health information to create de-identified
information, the covered entity need not agree to a restriction of this
use.
*Comment:* Some commenters stated that individuals should be given a
true right to restrict uses and disclosures of protected health
information in certain defined circumstances (such as for sensitive
information) rather than a right to request restrictions.
*Response:* We are concerned that a right to restrict could create
conflicts with the professional ethical obligations of providers and
others. We believe it is better policy to allow covered entities to
refuse to honor restrictions that they believe are not appropriate and
leave the individual with the option of seeking service from a different
covered entity. In addition, many covered entities have information
systems that would make it difficult or impossible to accommodate
certain restrictions.
*Comment:* Some commenters requested that self-pay patients have
additional rights to restrict protected health information. Others
believed that this policy would result in *de facto* discrimination
against those patients that could not afford to pay out-of-pocket.
*Response:* Under the final rule, the decision whether to tie an
agreement to restrict to the way the individual pays for services is
left to each covered entity. We have not provided self-pay patients with
any special rights under the rule.
*Comment:* Some commenters suggested that we require restrictions to be
clearly noted so that insurers and other providers would be aware that
they were not being provided with complete information.
*Response:* Under the final rule, we do not require or prohibit a
covered entity to note the existence of an omission of information. We
encourage covered entities to inform others of the existence of a
restriction, in accordance with professional practice and ethics, when
appropriate to do so. In deciding whether or not to disclose the
existence of a restriction, we encourage the covered entity to carefully
consider whether disclosing the existence is tantamount to disclosure of
the restricted protected health information so as to not violate the
agreed to restriction.
*Comment:* A few commenters said that covered entities should have the
right to modify or revoke an agreement to restrict use or disclosure of
protected health information.
*Response:* We agree that, as circumstances change, covered entities
should be able to revisit restrictions to which they had previously
agreed. At the same time, individuals should be able to rely on
agreements to restrict the use or disclosure of information that they
believe is particularly sensitive. If a covered entity would like to
revoke or modify an agreed-upon restriction, the covered entity must
renegotiate the agreement with the individual. If the individual agrees
to modify or terminate the restriction, the covered entity must get
written agreement from the individual or must document the oral
agreement. If the individual does not agree to terminate or modify the
restriction, the covered entity must inform the individual that it is
modifying or terminating its agreement to the restriction and any
modification or termination would apply only with respect to protected
health information created or received after the covered entity informed
the individual of the termination. Any protected health information
created or received during the time between when the restriction was
agreed to and when the covered entity informed the individual or such
modification or termination remains subject to the restriction.
*Comment:* Many commenters advocated for stronger rights to request
restrictions, particularly that victims of domestic violence should have
an absolute right to restrict disclosure of information.
*Response:* We address restrictions for disclosures in two different
ways, the right to request restrictions (§ 164.522(a)) and confidential
communications (§ 164.522(b)). We have provided all individuals with a
right to request restrictions on uses or disclosures of treatment,
payment, and health care operations. This is not an absolute right to
restrict. Covered entities are not required to agree to requested
restrictions; however, if they do, the rule would require them to act in
accordance with the restrictions. (See the preamble regarding § 164.522
for a more comprehensive discussion of the right to request
restrictions.)
In the final rule, we create a new provision that provides individuals
with a right to confidential communications, in response to these
comments. This provision grants individuals with a right to restrict
disclosures of information related to communications made by a covered
entity to the individual, by allowing the individual to request that
such communications be made to the person at an alternative location or
by an alternative means. For example, a woman who lives with an abusive
man and is concerned that his knowledge of her health care treatment may
lead to additional abuse can request that any mail from the provider be
sent to a friend's home or that telephone calls by a covered provider be
made to her at work. Other reasonable accommodations may be requested as
well, such as requesting that a covered provider never contact the
individual by a phone, but only contact her by electronic mail. A
provider must accommodate an individual's request for confidential
communications, under this section, without requiring an explanation as
to the reason for the request as a condition of accommodating the
request. The individual does not need to be in an abusive situation to
make such requests of a covered provider. The only conditions that a
covered provider may place on an individual is that the request be
reasonable with respect to the administrative burden on the provider,
the request to be in writing, the request specify an alternative address
or other method of contact, and that (where relevant) the individual
provide information about how payment will be handled. What is
reasonable may vary by the size or type of covered entity; however,
additional modest cost to the provider would not be unreasonable.
An individual also has a right to restrict communications from a health
plan. The right is the same as with covered providers except it is
limited to cases where the disclosure of information could endanger the
individual. A health plan may require an individual to state this fact
as a condition of accommodating the individual's request for
confidential communications. This would provide victims of domestic
violence the right to control such disclosures.
*Comment:* Commenters opposed the provision of the NPRM (§
164.506(c)(1)(ii)(B)) stating that an individual\'s right to request
restrictions on use or disclosure of protected health information would
not apply in emergency situations as set forth in proposed § 164.510(k).
Commenters asserted that victims who have been harmed by violence may
first turn to emergency services for help and that, in such situations,
the victim should be able to request that the perpetrator not be told of
his or her condition or whereabouts.
*Response:* We agree with some of the commenters' concerns. In the final
rule, the right to request restrictions is available to all individuals
regardless of the circumstance or the setting in which the individual is
obtaining care. For example, an individual that seeks care in an
emergency room has the same right to request a restriction as an
individual seeking care in the office of a covered physician.
However, we continue to permit a covered entity to disclose protected
health information to a health care provider in an emergency treatment
situation if the restricted protected health information is needed to
provide the emergency treatment or if the disclosure is necessary to
avoid serious and imminent threats to public health and safety. Although
we understand the concern of the commenters, we believe that these
exceptions are limited and will not cause a covered entity to disclose
information to a perpetrator of a crime. We are concerned that a covered
provider would be required to delay necessary care if a covered entity
had to determine if a restriction exists at the time of such emergency.
Even if a covered entity knew that there was a restriction, we permitted
this limited exception for emergency situations because, as we had
stated in the preamble for § 164.506 of the NPRM, an emergency situation
may not provide sufficient opportunity for a patient and health care
provider to discuss the potential implications of restricting use and
disclosure of protected health information on that emergency. We also
believe that the importance of avoiding serious and imminent threats to
health and safety and the ethical and legal obligations of covered
health care providers\' to make disclosures for these purposes is so
significant that it is not appropriate to apply the right to request
restrictions on such disclosures.
We note that we have included other provisions in the final rule
intended to avoid or minimize harm to victims of domestic violence.
Specifically, we include provisions in the final rule that allow
individuals to opt out of certain types of disclosures and require
covered entities to use professional judgment to determine whether
disclosure of protected health information is in a patient's best
interest (see § 164.510(a) on use and disclosure for facility
directories and § 164.510(b) on uses and disclosures for assisting in an
individual's care and notification purposes). Although an agreed to
restriction under § 164.522 would apply to uses and disclosures for
assisting in an individual's care, the opt out provision in § 164.510(b)
can be more helpful to a person who is a victim of domestic violence
because the individual can opt out of such disclosure without obtaining
the agreement of the covered provider. We permit a covered entity to
elect not to treat a person as a personal representative (see §
164.502(g)) or to deny access to a personal representative (see §
164.524(a)(3)(iii)) where there are concerns related to abuse. We also
include a new § 164.512(c) which recognizes the unique circumstances
surrounding disclosure of protected health information about victims of
abuse, neglect, and domestic violence.
**Section 164.522(b)---Confidential Communications Requirements**
*Comment:* Several commenters requested that we add a new section to
prevent disclosure of sensitive health care services to members of the
patient's family through communications to the individual's home, such
as appointment notices, confirmation or scheduling of appointments, or
mailing a bill or explanation of benefits, by requiring covered entities
to agree to correspond with the patient in another way. Some commenters
stated that this is necessary in order to protect inadvertent disclosure
of sensitive information and to protect victims of domestic violence
from disclosure to an abuser. A few commenters suggested that a covered
entity should be required to obtain an individual's authorization prior
to communicating with the individual at the individual's home with
respect to health care relating to sensitive subjects such as
reproductive health, sexually transmissible diseases, substance abuse or
mental health.
*Response:* We agree with commenters' concerns regarding covered
entities' communications with individuals. We created a new provision, §
164.522(b), to address confidential communications by covered entities.
This provision gives individuals the right to request that they receive
communications from covered entities at an alternative address or by an
alternative means, regardless of the nature of the protected health
information involved. Covered providers are required to accommodate
reasonable requests by individuals and may not require the individual to
explain the basis for the request as a condition of accommodation.
Health plans are required to accommodate reasonable requests by
individuals as well; however, they may require the individual to provide
a statement that disclosure of the information could endanger the
individual, and they may condition the accommodation on the receipt of
such statement.
Under the rule, we have required covered providers to accommodate
requests for communications to alternative addresses or by alternative
means, regardless of the reason, to limit risk of harm. Providers have
more frequent one-on-one communications with patients, making the safety
concerns from an inadvertent disclosure more substantial and the need
for confidential communications more compelling. We have made the
requirement for covered providers absolute and not contingent on the
reason for the request because we wanted to make it relatively easy for
victims of domestic violence, who face real safety concerns by
disclosures of health information, to limit the potential for such
disclosures.
The standard we created for health plans is different from the
requirement for covered providers, in that we only require health plans
to make requested accommodations for confidential communications when
the individual asserts that disclosure could be dangerous to the
individual. We address health plan requirements in this way because
health plans are often issued to a family member (the employee), rather
than to each individual member of a family, and therefore, health plans
tend to communicate with the named insured rather than with individual
family members. Requiring plans to accommodate a restriction for one
individual could be administratively more difficult than it is for
providers that regularly communicate with individuals. However, in the
case of domestic violence or potential abuse, the level of harm that can
result from a disclosure of protected health information tips the
balance in favor of requiring such restriction to prevent inadvertent
disclosure. We have adopted the policy recommended by the National
Association of Insurance Commissioners in the Health Information Policy
Model Act (1998) as this best reflects the balance of the appropriate
level of regulation of the industry compared with the need to protect
individuals from harm that may result from inadvertent disclosure of
information. This policy is also consistent with recommendations made in
the Family Violence Prevention Fund's publication "Health Privacy
Principles for Protecting Victims of Domestic Violence" (October 2000).
Of course, health plans may accommodate requests for confidential
communications without requiring a statement that the individual would
be in danger from disclosure of protected health information.
*Comment:* One commenter requested that we create a standard that all
information from a health plan be sent to the patient and not the
policyholder or subscriber.
*Response:* We require health plans to accommodate certain requests that
information not be sent to a particular location or by particular means.
A health plan must accommodate reasonable requests by individuals that
protected health information about them be sent directly to them and not
to a policyholder or subscriber, if the individual states that he or she
may be in danger from disclosure of such information. We did not
generally require health plans to send information to the patient and
not the policyholder or subscriber because we believed it would be
administratively burdensome and because the named insured may have a
valid need for such information to manage payment and benefits.
**Sensitive Subjects**
*Comment:* Many commenters requested that additional protections be
placed on sensitive information, including information regarding
HIV/AIDS, sexually transmitted diseases, mental health, substance abuse,
reproductive health, and genetics. Many requested that we ensure the
regulation adequately protects victims of domestic violence. They
asserted that the concern for discrimination or stigma resulting from
disclosure of sensitive health information could dissuade a person from
seeking needed treatment. Some commenters noted that many state laws
provide additional protections for various types of information. They
requested that we develop federal standards to have consistent rules
regarding the protection of sensitive information to achieve the goals
of cost savings and patient protection. Others requested that we require
patient consent or special authorization before certain types of
sensitive information was disclosed, even for treatment, payment, and
health care operations, and some thought we should require a separate
request for each disclosure. Some commenters requested that the right to
request restrictions be replaced with a requirement for an authorization
for specific types of sensitive information. There were recommendations
that we require covered entities to develop internal policies to address
sensitive information.
Other commenters argued that sensitive information should not be
segregated from the record because it may limit a future provider's
access to information necessary for treatment of the individual and it
could further stigmatize a patient by labeling him or her as someone
with sensitive health care issues. These commenters further maintained
that segregation of particular types of information could negatively
affect analysis of community needs, research, and would lead to higher
costs of health care delivery.
*Response:* We generally do not differentiate among types of protected
health information, because all health information is sensitive. The
level of sensitivity varies not only with the type of information, but
also with the individual and the particular situation faced by the
individual. This is demonstrated by the different types of information
that commenters singled out as meriting special protection, and in the
great variation among state laws in defining and protecting sensitive
information. Most states have a law providing heightened protection for
some type of health information. However, even though most states have
considered the issue of sensitive information, the variation among
states in the type of information that is specially protected and the
requirements for permissible disclosure of such information demonstrates
that there is no national consensus.
Where, as in this case, most states have acted and there is no
predominant rule that emerges from the state experience with this issue,
we have decided to let state law predominate. The final rule only
provides a floor of protection for health information and does not
preempt state laws that provider greater protection than the rule. Where
states have decided to treat certain information as more sensitive than
other information, we do not preempt those laws.
To address the variation in the sensitivity of protected health
information without defining specially sensitive information, we
incorporate opportunities for individuals and covered entities to
address specific sensitivities and concerns about uses and disclosures
of certain protected health information that the patient and provider
believe are particularly sensitive, as follows:
- Covered entities are required to provide individuals with notice of
their privacy practices and give individuals the opportunity to
request restrictions of the use and disclosure of protected health
information by the covered entity. (See § 164.522(a) regarding right
to request restrictions.)
- Individuals have the right to request, and in some cases require,
that communications from the covered entity to them be made to an
alternative address or by an alternative means than the covered
entity would otherwise use. (See § 164.522(b) regarding confidential
communications.)
- Covered entities have the opportunity to decide not to treat a
person as a personal representative when the covered entity has a
reasonable belief that an individual has been subjected to domestic
violence, abuse, or neglect by such person or that treating such
person as a personal representative could endanger the individual.
(See § 164.502(g)(5) regarding personal representatives.)
- Covered entities may deny access to protected health information
when there are concerns that the access may result in varying levels
of harm. (See § 164.524(a)(3) regarding denial of access.)
- Covered health care providers may, in some circumstances and
consistent with any known prior preferences of the individual,
exercise professional judgment in the individual's best interest to
not disclose directory information. (See § 164.510(a) regarding
directory information.)
- Covered entities may, in some circumstances, exercise professional
judgment in the individual's best interest to limit disclosure to
persons assisting in the individual's care. (See § 164.510(b)
regarding persons assisting in the individual's care.)
This approach allows for state law and personal variation in this area.
The only type of protected health information that we treat with
heightened protection is psychotherapy notes. We provide a different
level of protection because they are unique types of protected health
information that typically are not used or required for treatment,
payment, or health care operations other than by the mental health
professional that created the notes. (See § 164.508(a)(2) regarding
psychotherapy notes.)
**SECTION 164.524---ACCESS OF INDIVIDUALS TO PROTECTED HEALTH
INFORMATION**
*Comment*: Some commenters recommended that there be no access to
disease registries.
*Response*: Most entities that maintain disease registries are not
covered entities under this regulation; examples of such non-covered
entities are public health agencies and pharmaceutical companies. If,
however, a disease registry is maintained by a covered entity and is
used to make decisions about individuals, this rule requires the covered
entity to provide access to information about a requesting individual
unless one of the rule's conditions for denial of access is met. We
found no persuasive reasons why disease registries should be given
special treatment compared with other information that may be used to
make decisions about an individual.
*Comment*: Some commenters stated that covered entities should be held
accountable for access to information held by business partners so that
individuals would not have the burden of tracking down their protected
health information from a business partner. Many commenters, including
insurers and academic medical centers, recommended that, to reduce
burden and duplication, only the provider who created the protected
health information should be required to provide individuals access to
the information. Commenters also asked that other entities, including
business associates, the Medicare program, and pharmacy benefit
managers, not be required to provide access, in part because they do not
know what information the covered entity already has and they may not
have all the information requested. A few commenters also argued that
billing companies should not have to provide access because they have a
fiduciary responsibility to their physician clients to maintain the
confidentiality of records.
*Response*: A general principle in responding to all of these points is
that a covered entity is required to provide access to protected health
information in accordance with the rule regardless of whether the
covered entity created such information or not. Thus, we agree with the
first point: in order to meet its requirements for providing access, a
covered entity must not only provide access to such protected health
information it holds, but must also provide access to such information
in a designated record set of its business associate, pursuant to its
business associate contract, unless the information is the same as
information maintained directly by the covered entity. We require this
because an individual may not be aware of business associate
relationships. Requiring an individual to track down protected health
information held by a business associate would significantly limit
access. In addition, we do not permit a covered entity to limit its duty
to provide access by giving protected health information to a business
associate.
We disagree with the second point: if the individual directs an access
request to a covered entity that has the protected health information
requested, the covered entity must provide access (unless it may deny
access in accordance with this rule). In order to assure that an
individual can exercise his or her access rights, we do not require the
individual to make a separate request to each originating provider. The
originating provider may no longer be in business or may no longer have
the information, or the non-originating provider may have the
information in a modified or enhanced form.
We disagree with the third point: other entities must provide access
only if they are covered entities or business associates of covered
entities, and they must provide access only to protected health
information that they maintain (or that their business associates
maintain). It would not be efficient to require a covered entity to
compare another entity's information with that of the entity to which
the request was addressed. (See the discussion regarding covered
entities for information about whether a pharmacy benefit manager is a
covered entity.)
We disagree with the fourth point: a billing company will be required by
its business associate contract only to provide the requested protected
health information to its physician client. This action will not violate
any fiduciary responsibility. The physician client would in turn be
required by the rule to provide access to the individual.
*Comment:* Some commenters asked for clarification that the
clearinghouse function of turning non-standardized data into
standardized data does not create non-duplicative data and that
"duplicate" does not mean "identical." A few commenters suggested that
duplicated information in a covered entity's designated record set be
supplied only once per request.
*Response:* We consider as duplicative information the same information
in different formats, media, or presentations, or which have been
standardized. Business associates who have materially altered protected
health information are obligated to provide individuals access to it.
Summary information and reports, including those of lab results, are not
the same as the underlying information on which the summaries or reports
were based. A clean document is not a duplicate of the same document
with notations. If the same information is kept in more than one
location, the covered entity has to produce the information only once
per request for access.
*Comment*: A few commenters suggested requiring covered entities to
disclose to third parties without exception at the requests of
individuals. It was argued that this would facilitate disability
determinations when third parties need information to evaluate
individuals' entitlement to benefits. Commenters argued that since
covered entities may deny access to individuals under certain
circumstances, individuals must have another method of providing third
parties with their protected health information.
*Response*: We allow covered entities to forward protected health
information about an individual to a third party, pursuant to the
individual's authorization under § 164.508. We do not require covered
entities to disclose information pursuant to such authorizations because
the focus of the rule is privacy of protected health information.
Requiring disclosures in all circumstances would be counter to this
goal. In addition, a requirement of disclosing protected health
information to a third party is not a necessary substitute for the right
of access to individuals, because we allow denial of access to
individuals under rare circumstances. However, if the third party is a
personal representative of the individual in accordance with §
164.502(g) and there is no concern regarding abuse or harm to the
individual or another person, we require the covered entity to provide
access to that third party on the individual's behalf, subject to
specific limitations. We note that a personal representative may obtain
access on the individual's behalf in some cases where covered entity may
deny access to the individual. For example, an inmate may be denied a
copy of protected health information, but a personal representative may
be able to obtain a copy on the individual's behalf. See § 164.502(g)
and the corresponding preamble discussion regarding the ability of a
personal representative to act on an individual's behalf.
*Comment*: The majority of commenters supported granting individuals the
right to access protected health information for as long as the covered
entity maintains the protected health information; commenters argued
that to do otherwise would interfere with existing record retention
laws. Some commenters advocated for limiting the right to information
that is less than one or two years old. A few commenters explained that
frequent changes in technology makes it more difficult to access stored
data. The commenters noted that the information obtained prior to the
effective date of the rule should not be required to be accessible.
*Response*: We agree with the majority of commenters and retain the
proposal to require covered entities to provide access for as long as
the entity maintains the protected health information. We do not agree
that information created prior to the effective date of the rule should
not be accessible. The reasons for granting individuals access to
information about them do not vary with the date the information was
created.
*Comment*: A few commenters argued that there should be no grounds for
denying access, stating that individuals should always have the right to
inspect and copy their protected health information.
*Response*: While we agree that in the vast majority of instances
individuals should have access to information about them, we cannot
agree that a blanket rule would be appropriate. For example, where a
professional familiar with the particular circumstances believes that
providing such access is likely to endanger a person's life or physical
safety, or where granting such access would violate the privacy of other
individuals, the benefits of allowing access may not outweigh the harm.
Similarly, we allow denial of access where disclosure would reveal the
source of confidential information because we do not want to interfere
with a covered entity's ability to maintain implicit or explicit
promises of confidence.
We create narrow exceptions to the rule of open access, and we expect
covered entities to employ these exceptions rarely, if at all. Moreover,
we require covered entities to provide access to any protected health
information requested after excluding only the information that is
subject to a denial. The categories of permissible denials are not
mandatory, but are a means of preserving the flexibility and judgment of
covered entities under appropriate circumstances.
*Comment*: Many commenters supported our proposal to allow covered
entities to deny an individual access to protected health information if
a professional determines either that such access is likely to endanger
the life or physical safety of a person or, if the information is about
another person, access is reasonably likely to cause substantial harm to
such person.
Some commenters requested that the rule also permit covered entities to
deny a request if access might be reasonably likely to cause
psychological or mental harm, or emotional distress. Other commenters,
however, were particularly concerned about access to mental health
information, stating that the lack of access creates resentment and
distrust in patients.
*Response*: We disagree with the comments suggesting that we expand the
grounds for denial of access to an individual to include a likelihood of
psychological or mental harm of the individual. We did not find
persuasive evidence that this is a problem sufficient to outweigh the
reasons for providing open access. We do allow a denial for access based
on a likelihood of substantial psychological or mental harm, but only if
the protected health information includes information about another
person and the harm may be inflicted on such other person or if the
person requesting the access is a personal representative of the
individual and the harm may be inflicted on the individual or another
person.
We generally agree with the commenters concerns that denying access
specifically to mental health records could create distrust. To balance
this concern with other commenters' concerns about the potential for
psychological harm, however, we exclude psychotherapy notes from the
right of access. This is the only distinction we make between mental
health information and other types of protected health information in
the access provisions of this rule. Unlike other types of protected
health information, these notes are not widely disseminated through the
health care system. We believe that the individual's privacy interests
in having access to these notes, therefore, are outweighed by the
potential harm caused by such access. We encourage covered entities that
maintain psychotherapy notes, however, to provide individuals access to
these notes when they believe it is appropriate to do so.
*Comment*: Some commenters believed that there is a potential for abuse
of the provision allowing denial of access because of likely harm to
self. They questioned whether there is any experience from the Privacy
Act of 1974 to suggest that patients who requested and received their
records have ever endangered themselves as a result.
*Response*: We are unaware of such problems from access to records that
have been provided under the Privacy Act but, since these are private
matters, such problems might not come to our attention. We believe it is
more prudent to preserve the flexibility and judgment of health care
professionals familiar with the individuals and facts surrounding a
request for records than to impose the blanket rule suggested by these
commenters.
*Comment:* Commenters asserted that the NPRM did not adequately protect
vulnerable individuals who depend on others to exercise their rights
under the rule. They requested that the rule permit a covered entity to
deny access when the information is requested by someone other than the
subject of the information and, in the opinion of a licensed health care
professional, access to the information could harm the individual or
another person.
*Response*: We agree with the commenters that such protection is
warranted and add a provision in § 164.524(a)(3), which permits a
covered health care provider to deny access if a personal representative
of the individual is making the request for access and a licensed health
care professional has determined, in the exercise of professional
judgment, that providing access to such personal representative could
result in substantial harm to the individual or another person. Access
can be denied even if the potential harm may be inflicted by someone
other than the personal representative.
This provision is designed to strike a balance between the competing
interests of ensuring access to protected health information and
protecting the individual or others from harm. The "substantial harm"
standard will ensure that a covered entity cannot deny access in cases
where the harm is de minimus.
The amount of discretion that a covered entity has to deny access to a
personal representative is generally greater than the amount of
discretion that a covered entity has to deny access to an individual.
Under the final rule, a covered entity may deny access to an individual
if a licensed health care professional determines that the access
requested is reasonably likely to endanger the life or physical safety
of the individual or another person. In this case, concerns about
psychological or emotional harm would not be sufficient to justify
denial of access. We establish a relatively high threshold because we
want to assure that individuals have broad access to health information
about them, and due to the potential harm that comes from denial of
access, we believe denials should be permitted only in limited
circumstances.
The final rule grants covered entities greater discretion to deny access
to a personal representative than to an individual in order to provide
protection to those vulnerable people who depend on others to exercise
their rights under the rule and who may be subjected to abuse or
neglect. This provision applies to personal representatives of minors as
well as other individuals. The same standard for denial of access on the
basis of potential harm that applies to personal representatives also
applies when an individual is seeking access to his or her protected
health information, and the information makes reference to another
person. Under these circumstances, a covered entity may deny a request
for access if such access is reasonably likely to cause substantial harm
to such other person. The standard for this provision and for the
provision regarding access by personal representatives is the same
because both circumstances involve one person obtaining information
about another person, and in both cases the covered entity is balancing
the right of access of one person against the right of a second person
not to be harmed by the disclosure.
Under any of these grounds for denial of access to protected health
information, the covered entity is not required to deny access to a
personal representative under these circumstances, but has the
discretion to do so.
In addition to denial of access rights, we also address the concerns
raised by abusive or potentially abusive situations in the section
regarding personal representatives by giving covered entities discretion
to not recognize a person as a personal representative of an individual
if the covered entity has a reasonable belief that the individual has
been subjected to domestic violence, abuse, or neglect by or would be in
danger from a person seeking to act as the personal representative. (See
§ 164.502(g))
*Comment*: A number of commenters were concerned that this provision
would lead to liability for covered entities if the release of
information results in harm to individuals. Commenters requested a "good
faith" standard in this provision to relieve covered entities of
liability if individuals suffer harm as a result of seeing their
protected health information or if the information is found to be
erroneous. A few commenters suggested requiring providers (when
applicable) to include with any disclosure to a third party a statement
that, in the provider's opinion, the information should not be disclosed
to the patient.
*Response*: We do not intend to create a new duty to withhold
information nor to affect other laws on this issue. Some state laws
include policies similar to this rule, and we are not aware of liability
arising as a result.
*Comment*: Some commenters suggested that both the individual's health
care professional and a second professional in the relevant field of
medicine should review each request. Many commenters suggested that
individuals have a right to have an independent review of any denial of
access, e.g., review by a health care professional of the individual's
choice.
*Response*: We agree with the commenters who suggest that denial on
grounds of harm to self or others should be determined by a health
professional, and retain this requirement in the final rule. We
disagree, however, that all denials should be reviewed by a professional
of the individual's choice. We are concerned that the burden such a
requirement would place on covered entities would be significantly
greater than any benefits to the individual. We believe that any health
professional, not just one of the individual's choice, will exercise
appropriate professional judgment. To address some of these concerns,
however, we add a provision for the review of denials requiring the
exercise of professional judgment. If a covered entity denies access
based on harm to self or others, the individual has the right to have
the denial reviewed by another health care professional who did not
participate in the original decision to deny access.
*Comment*: A few commenters objected to the proposal to allow covered
entities to deny a request for access to health information if the
information was obtained from a confidential source that may be revealed
upon the individual's access. They argued that this could be subject to
abuse and the information could be inherently less reliable, making the
patient's access to it even more important.
*Response*: While we acknowledge that information provided by
confidential sources could be inaccurate, we are concerned that allowing
unfettered access to such information could undermine the trust between
a health care provider and patients other than the individual. We retain
the proposed policy because we do not want to interfere with a covered
entity's ability to obtain important information that can assist in the
provision of health care or to maintain implicit or explicit promises of
confidence, which may be necessary to obtain such information. We
believe the concerns raised about abuse are mitigated by the fact that
the provision does not apply to promises of confidentiality made to a
health care provider. We note that a covered entity may provide access
to such information.
*Comment*: Some commenters were concerned that the NPRM did not allow
access to information unrelated to treatment, and thus did not permit
access to research information.
*Response*: In the final rule, we eliminate the proposed special
provision for "research information unrelated to treatment." The only
restriction on access to research information in this rule applies where
the individual agrees in advance to denial of access when consenting to
participate in research that includes treatment. In this circumstance,
the individual\'s right of access to protected health information
created in the course of the research may be suspended for as long as
the research is in progress, but access rights resume after such time.
In other instances, we make no distinction between research information
and other information in the access provisions in this rule.
*Comment*: A few commenters supported the proposed provision temporarily
denying access to information obtained during a clinical trial if
participants agreed to the denial of access when consenting to
participate in the trial. Some commenters believed there should be no
access to any research information. Other commenters believed denial
should occur only if the trial would be compromised. Several recommended
conditioning the provision. Some recommended that access expires upon
completion of the trial unless there is a health risk. A few commenters
suggested that access should be allowed only if it is included in the
informed consent and that the informed consent should note that some
information may not be released to the individual, particularly research
information that has not yet been validated. Other commenters believed
that there should be access if the research is not subject to IRB or
privacy board review or if the information can be disclosed to third
parties.
*Response*: We agree with the commenters that support temporary denial
of access to information from research that includes treatment if the
subject has agreed in advance, and with those who suggested that the
denial of access expire upon completion of the research, and retain
these provisions in the final rule. We disagree with the commenters who
advocate for further denial of this information. These comments did not
explain why an individual's interest in access to health information
used to make decisions about them is less compelling with respect to
research information. Under this rule, all protected health information
for research is subject either to privacy board or IRB review unless a
specific authorization to use protected health information for research
is obtained from the individual. Thus, this is not a criterion we can
use to determine access rights.
*Comment*: A few commenters believed that it would be "extremely
disruptive of and dangerous" to patients to have access to records
regarding their current care and that state law provides sufficient
protection of patients' rights in this regard.
*Response*: We do not agree. Information about current care has
immediate and direct impact on individuals. Where a health care
professional familiar with the circumstances believes that it is
reasonably likely that access to records would endanger the life or
physical safety of the individual or another person, the regulation
allows the professional to withhold access.
*Comment*: Several commenters requested clarification that a patient not
be denied access to protected health information because of failure to
pay a bill. A few commenters requested clarification that entities may
not deny requests simply because producing the information would be too
burdensome.
*Response*: We agree with these comments, and confirm that neither
failure to pay a bill nor burden are lawful reasons to deny access under
this rule. Covered entities may deny access only for the reasons
provided in the rule.
*Comment*: Some commenters requested that the final rule not include
detailed procedural requirements about how to respond to requests for
access. Others made specific recommendations on the procedures for
providing access, including requiring written requests, requiring
specific requests instead of blanket requests, and limiting the
frequency of requests. Commenters generally argued against requiring
covered entities to acknowledge requests, except under certain
circumstances, because of the potential burden on entities.
*Response*: We intend to provide sufficient procedural guidelines to
ensure that individuals have access to their protected health
information, while maintaining the flexibility for covered entities to
implement policies and procedures that are appropriate to their needs
and capabilities. We believe that a limit on the frequency of requests
individuals may make would arbitrarily infringe on the individual's
right of access and have, therefore, not included such a limitation. To
limit covered entities' burden, we do not require covered entities to
acknowledge receipt of the individuals' requests, other than to notify
the individual once a decision on the request has been made. We also
permit a covered entity to require an individual to make a request for
access in writing and to discuss a request with an individual to clarify
which information the individual is actually requesting. If individuals
agree, covered entities may provide access to a subset of information
rather than all protected health information in a designated record set.
We believe these changes provide covered entities with greater
flexibility without compromising individuals' access rights.
*Comment*: Commenters offered varying suggestions for required response
time, ranging from 48 hours because of the convenience of electronic
records to 60 days because of the potential burden. Others argued
against a finite time period, suggesting the response time be based on
mutual convenience of covered entities and individuals, reasonableness,
and exigencies. Commenters also varied on suggested extension periods,
from one 30-day extension to three 30- day extensions to one 90-day
extension, with special provisions for off-site records.
*Response*: We are imposing a time limit because individuals are
entitled to know when to expect a response. Timely access to protected
health information is important because such information may be
necessary for the individual to obtain additional health care services,
insurance coverage, or disability benefits, and the covered entity may
be the only source for such information. To provide additional
flexibility, we eliminate the requirement that access be provided as
soon as possible and we lengthen the deadline for access to off-site
records. For on-site records, covered entities must act on a request
within 30 days of receipt of the request. For off-site records, entities
must complete action within 60 days. We also permit covered entities to
extend the deadline by up to 30 days if they are unable to complete
action on the request within the standard deadline. These time limits
are intended to be an outside deadline rather than an expectation. We
expect covered entities to be attentive to the circumstances surrounding
each request and respond in an appropriate time frame.
*Comment:* A few commenters suggested that, upon individuals' requests,
covered entities should be required to provide protected health
information in a format that would be understandable to a patient,
including explanations of codes or abbreviations. The commenters
suggested that covered entities be permitted to provide summaries of
pertinent information instead of full copies of records; for example, a
summary may be more helpful for the patient's purpose than a series of
indecipherable billing codes.
*Response*: We agree with these commenters' point that some health
information is difficult to interpret. We clarify, therefore, that the
covered entity may provide summary information in lieu of the underlying
records. A summary may only be provided if the covered entity and the
individual agree, in advance, to the summary and to any fees imposed by
the covered entity for providing such summary. We similarly permit a
covered entity to provide an explanation of the information. If the
covered entity charges a fee for providing an explanation, it must
obtain the individual's agreement to the fee in advance.
*Comment*: Though there were recommendations that fees be limited to the
costs of copying, the majority of commenters on this topic requested
that covered entities be able to charge a reasonable, cost-based fee.
Commenters suggested that calculation of access costs involve factors
such as labor costs for verification of requests, labor and software
costs for logging of requests, labor costs for retrieval, labor costs
for copying, expense costs for copying, capital cost for copying,
expense costs for mailing, postal costs for mailing, billing and
bad-debt expenses, and labor costs for refiling. Several commenters
recommended specific fee structures.
*Response*: We agree that covered entities should be able to recoup
their reasonable costs for copying of protected health information, and
include such provision in the regulation. We are not specifying a set
fee because copying costs could vary significantly depending on the size
of the covered entity and the form of such copy (e.g., paper,
electronic, film). Rather, covered entities are permitted to charge a
reasonable, cost-based fee for copying (including the costs of supplies
and labor), postage, and summary or explanation (if requested and agreed
to by the individual) of information supplied. The rule limits the types
of costs that may be imposed for providing access to protected health
information, but does not preempt applicable state laws regarding
specific allowable fees for such costs. The inclusion of a copying fee
is not intended to impede the ability of individuals to copy their
records.
*Comment:* Many commenters stated that if a covered entity denies a
request for access because the entity does not hold the protected health
information requested, the covered entity should provide, if known, the
name and address of the entity that holds the information. Some of these
commenters additionally noted that the Uniform Insurance Information and
Patient Protection Act, adopted by 16 states, already imposes this
notification requirement on insurance entities. Some commenters also
suggested requiring providers who leave practice or move offices to
inform individuals of that fact and of how to obtain their records.
*Response:* We agree that, when covered entities deny requests for
access because they do not hold the protected health information
requested, they should inform individuals of the holder of the
information, if known; we include this provision in the final rule. We
do not require health care providers to notify all patients when they
move or leave practice, because the volume of such notifications would
be unduly burdensome.
**SECTION 164.526---AMENDMENT OF PROTECTED HEALTH INFORMATION**
*Comment:* Many commenters strongly encouraged the Secretary to adopt
"appendment" rather than "amendment and correction" procedures. They
argued that the term "correction" implies a deletion of information and
that the proposed rule would have allowed covered entities to remove
portions of the record at their discretion. Commenters indicated that
appendment rather than correction procedures will ensure the integrity
of the medical record and allow subsequent health care providers access
to the original information as well as the appended information. They
also indicated appendment procedures will protect both individuals and
covered entities since medical records are sometimes needed for
litigation or other legal proceedings.
*Response:* We agree with commenters' concerns about the term
"correction." We have revised the rule and deleted "correction" from
this provision in order to clarify that covered entities are not
required by this rule to delete any information from the designated
record set. We do not intend to alter medical record retention laws or
current practice, except to require covered entities to append
information as requested to ensure that a record is accurate and
complete. If a covered entity prefers to comply with this provision by
deleting the erroneous information, and applicable record retention laws
allow such deletion, the entity may do so. For example, an individual
may inform the entity that someone else's X-rays are in the individual's
medical record. If the entity agrees that the X-ray is inaccurately
filed, the entity may choose to so indicate and note where in the record
the correct X-ray can be found. Alternatively, the entity may choose to
remove the X-ray from the record and replace it with the correct X-ray,
if applicable law allows the entity to do so. We intend the term
"amendment" to encompass either action.
We believe this approach is consistent with well-established privacy
principles, with other law, and with industry standards and ethical
guidelines. The July 1977 Report of the Privacy Protection Study
Commission recommended that health care providers and other
organizations that maintain medical-record information have procedures
for individuals to correct or amend the information.[^28] The Privacy
Act (5 U.S.C. 552a) requires government agencies to permit individuals
to request amendment of any record the individual believes is not
accurate, relevant, timely, or complete. In its report "Best Principles
for Health Privacy," the Health Privacy Working Group recommended, "An
individual should have the right to supplement his or her own medical
record. Supplementation should not be implied to mean 'deletion' or
'alteration' of the medical record."[^29] The National Association of
Insurance Commissioners' Health Information Privacy Model Act
establishes the right of an individual who is the subject of protected
health information to amend protected health information to correct any
inaccuracies. The National Conference of Commissioners on Uniform State
Laws' Uniform Health Care Information Act states, "Because accurate
health-care information is not only important to the delivery of health
care, but for patient applications for life, disability and health
insurance, employment, and a great many other issues that might be
involved in civil litigation, this Act allows a patient to request an
amendment in his record."
Some states also establish a right for individuals to amend health
information about them. For example, Hawaii law (HRS section 323C-12)
states, "An individual or the individual's authorized representative may
request in writing that a health care provider that generated certain
health care information append additional information to the record in
order to improve the accuracy or completeness of the information;
provided that appending this information does not erase or obliterate
any of the original information." Montana law (MCA section 50-16-543)
states, "For purposes of accuracy or completeness, a patient may request
in writing that a health care provider correct or amend its record of
the patient\'s health care information to which he has access."
Connecticut, Georgia, and Maine provide individuals a right to request
correction, amendment, or deletion of recorded personal information
about them maintained by an insurance institution. Many other states
have similar provisions.
Industry and standard-setting organizations have also developed policies
for amendment of health information. The National Committee for Quality
Assurance and the Joint Commission on Accreditation of Healthcare
Organizations issued recommendations stating, "The opportunity for
patients to review their records will enable them to correct any errors
and may provide them with a better understanding of their health status
and treatment. Amending records does not erase the original information.
It inserts the correct information with a notation about the date the
correct information was available and any explanation about the reason
for the error."[^30] Standards of the American Society for Testing and
Materials state, "An individual has a right to amend by adding
information to his or her record or database to correct inaccurate
information in his or her patient record and in secondary records and
databases which contain patient identifiable health information."[^31]
We build on this well-established principle in this final rule.
*Comment:* Some commenters supported the proposal to allow individuals
to request amendment for as long as the covered provider or plan
maintains the information. A few argued that the provision should be
time-limited, e.g., that covered entities should not have to amend
protected health information that is more than two years old. Other
comments suggested that the provision should only be applied to
protected health information created after the compliance date of the
regulation.
*Response:* The purpose of this provision is to create a mechanism
whereby individuals can ensure that information about them is as
accurate as possible as it travels through the health care system and is
used to make decisions, including treatment decisions, about them. To
achieve this result, individuals must have the ability to request
amendment for as long as the information used to make decisions about
them exists. We therefore retain the proposed approach. For these
reasons, we also require covered entities to address requests for
amendment of all protected health information within designated record
sets, including information created or obtained prior to the compliance
date, for as long as the entity maintains the information.
*Comment:* A few commenters were concerned that the proposal implied
that the individual is in control of and may personally change the
medical record. These commenters opposed such an approach.
*Response:* We do not give individuals the right to alter their medical
records. Individuals may request amendment, but they have no authority
to determine the final outcome of the request and may not make actual
changes to the medical record. The covered entity must review the
individual's request and make appropriate decisions. We have clarified
this intent in § 164.526(a)(1) by stating that individuals have a right
to have a covered entity amend protected health information and in §
164.526(b)(2) by stating that covered entities must act on an
individual's request for amendment.
*Comment:* Some comments argued that there is no free-text field in some
current transaction formats that would accommodate the extra text
required to comply with the amendment provisions (e.g., sending
statements of disagreement along with all future disclosures of the
information at issue). Commenters argued that this provision will burden
the efficient transmission of information, contrary to HIPAA
requirements.
*Response:* We believe that most amendments can be incorporated into the
standard transactions as corrections of erroneous data. We agree that
some of the standard transactions cannot currently accommodate
additional material such as statements of disagreement and rebuttals to
such statements. To accommodate these rare situations, we modify the
requirements in § 164.526(d)(iii). The provision now states that if a
standard transaction does not permit the inclusion of the additional
material required by this section, the covered entity may separately
transmit the additional material to the recipient of the standard
transaction. Commenters interested in modifying the standard
transactions to allow the incorporation of additional materials may also
bring the issue up for resolution through the process established by the
Transactions Rule and described in its preamble.
*Comment:* The NPRM proposed to allow amendment of protected health
information in designated record sets. Some commenters supported the
concept of a designated record set and stated that it appropriately
limits the type of information available for amendment to information
directly related to treatment. Other commenters were concerned about the
burden this provision will create due to the volume of information that
will be available for amendment. They were primarily concerned with the
potential for frivolous, minor, or technical requests. They argued that
for purposes of amendment, this definition should be limited to
information used to make medical or treatment decisions about the
individual. A few commenters requested clarification that individuals do
not have a right to seek amendment unless there is verifiable
information to support their claim or they can otherwise convince the
entity that the information is inaccurate or incomplete.
*Response:* We believe that the same information available for
inspection should also be subject to requests for amendment, because the
purpose of these provisions is the same: to give consumers access to and
the chance to correct errors in information that may be used to make
decisions that affect their interests. We thus retain use of the
"designated record set" in this provision. However, we share commenters'
concerns about the potential for minor or technical requests. To address
this concern, we have clarified that covered entities may deny a request
for amendment if the request is not in writing and does not articulate a
reason to support the request, as long as the covered entity informs the
individual of these requirements in advance.
*Comment:* Many commenters noted the potentially negative impact of the
proposal to allow covered entities to deny a request for amendment if
the covered entity did not create the information at issue. Some
commenters pointed out that the originator of the information may no
longer exist or the individual may not know who created the information
in question. Other commenters supported the proposal that only the
originator of the information is responsible for amendments to it. They
argued that any extension of this provision requiring covered entities
to amend information they have not created is administratively and
financially burdensome.
*Response:* In light of the comments, we modify the rule to require the
holder of the information to consider a request for amendment if the
individual requesting amendment provides a reasonable basis to believe
that the originator of the information is no longer available to act on
a request. For example, if a request indicates that the information at
issue was created by a hospital that has closed, and the request is not
denied on other grounds, then the entity must amend the information.
This provision is necessary to preserve an individual's right to amend
protected health information about them in certain circumstances.
*Comment:* Some commenters stated that the written contract between a
covered entity and its business associate should stipulate that the
business associate is required to amend protected health information in
accordance with the amendment provisions. Otherwise, these commenters
argued, there would be a gap in the individual's right to have erroneous
information corrected, because the covered entity could deny a request
for amendment of information created by a business associate.
*Response:* We agree that information created by the covered entity or
by the covered entity's business associates should be subject to
amendment. This requirement is consistent with the requirement to make
information created by a business associate available for inspection and
copying. We have revised the rule to require covered entities to specify
in the business associate contract that the business associate will make
protected health information available for amendment and will
incorporate amendments accordingly. (See § 164.504(e).)
*Comment:* One commenter argued that covered entities should be required
to presume information must be corrected where an individual informs the
entity that an adjudicative process has made a finding of medical
identity theft.
*Response:* Identity theft is one of many reasons why protected health
information may be inaccurate, and is one of many subjects that may
result in an adjudicative process relevant to the accuracy of protective
health information. We believe that this provision accommodates this
situation without a special provision for identity theft.
*Comment:* Some commenters asserted that the proposed rule's requirement
that action must be taken on individuals' requests within 60 days of the
receipt of the request was unreasonable and burdensome. A few commenters
proposed up to three 30-day extensions for "extraordinary" (as defined
by the entity) requests.
*Response:* We agree that 60 days will not always be a sufficient amount
of time to adequately respond to these requests. Therefore, we have
revised this provision to allow covered entities the option of a 30-day
extension to deal with requests that require additional response time.
However, we expect that 60 days will be adequate for most cases.
*Comment:* One commenter questioned whether a covered entity could
appropriately respond to a request by amending the record, without
indicating whether it believes the information at issue is accurate and
complete.
*Response:* An amendment need not include a statement by the covered
entity as to whether the information is or is not accurate and complete.
A covered entity may choose to amend a record even if it believes the
information at issue is accurate and complete. If a request for
amendment is accepted, the covered entity must notify the individual
that the record has been amended. This notification need not include any
explanation as to why the request was accepted. A notification of a
denied request, however, must contain the basis for the denial.
*Comment:* A few commenters suggested that when an amendment is made,
the date should be noted. Some also suggested that the physician should
sign the notation.
*Response:* We believe such a requirement would create a burden that is
not necessary to protect individuals' interests, and so have not
accepted this suggestion. We believe that the requirements of §
164.526(c) regarding actions a covered entity must take when accepting a
request will provide an adequate record of the amendment. A covered
entity may date and sign an amendment at its discretion.
*Comment:* The NPRM proposed that covered entities, upon accepting a
request for amendment, make reasonable efforts to notify those persons
the individual identifies, and other persons whom the covered entity
knows have received the erroneous or incomplete information and who may
have relied, or could foreseeably rely, on such information to the
detriment of the individual. Many commenters argued that this
notification requirement was too burdensome and should be narrowed. They
expressed concern that covered entities would have to notify anyone who
might have received the information, even persons identified by the
individual with whom the covered entity had no contact. Other commenters
also contended that this provision would require covered entities to
determine the reliance another entity might place on the information and
suggested that particular part of the notification requirements be
removed. Another commenter suggested that the notification provision be
eliminated entirely, believing that it was unnecessary.
*Response:* Although there is some associated administrative burden with
this provision, we believe it is a necessary requirement to effectively
communicate amendments of erroneous or incomplete information to other
parties. The negative effects of erroneous or incomplete medical
information can be devastating. This requirement allows individuals to
exercise some control in determining recipients they consider important
to be notified, and requires the covered entity to communicate
amendments to other persons that the covered entity knows have the
erroneous or incomplete information and may take some action in reliance
on the erroneous or incomplete information to the detriment of the
individual. We have added language to clarify that the covered entity
must obtain the individual's agreement to have the amendment shared with
the persons the individual and covered entity identifies. We believe
these notification requirements appropriately balance covered entities'
burden and individuals' interest in protecting the accuracy of medical
information used to make decisions about them. We therefore retain the
notification provisions substantially as proposed.
*Comment:* Some commenters argued against the proposed provision
requiring a covered entity that receives a notice of amendment to notify
its business associates, "as appropriate," of necessary amendments. Some
argued that covered entities should only be required to inform business
associates of these changes if the amendment could affect the
individual's further treatment, citing the administrative and financial
burden of notifying all business associates of changes that may not have
a detrimental effect on the patient. Other commenters suggested that
covered entities should only be required to inform business associates
whom they reasonably know to be in possession of the information.
*Response:* We agree with commenters that clarification is warranted.
Our intent is that covered entities must meet the requirements of this
rule with respect to protected health information they maintain,
including protected health information maintained on their behalf by
their business associates. We clarify this intent by revising the
definition of designated record set (see § 164.501) to include records
maintained "by or for" a covered entity. Section 164.526(e) requires a
covered entity that is informed of an amendment made by another covered
entity to incorporate that amendment into designated record sets,
whether the designated record set is maintained by the covered entity or
for the covered entity by a business associate. If a business associate
maintains the record at issue on the covered entity's behalf, the
covered entity must fulfill its requirement by informing the business
associate of the amendment to the record. The contract with the business
associate must require the business associate to incorporate any such
amendments. (See § 164.504(e).)
*Comment:* Some commenters supported the proposal to require covered
entities to provide notification of the covered entity's statement of
denial and the individual's statement of disagreement in any subsequent
disclosures of the information to which the dispute relates. They argued
that we should extend this provision to prior recipients of disputed
information who have relied on it. These commenters noted an
inconsistency in the proposed approach, since notification of accepted
amendments is provided to certain previous recipients of erroneous
health information and to recipients of future disclosures. They
contended there is not a good justification for the different treatment
and believed that the notification standard should be the same,
regardless of whether the covered entity accepts the request for
amendment.
These commenters also recommended that the individual be notified of the
covered entity's intention to rebut a statement of disagreement. They
suggested requiring covered entities to send a copy of the statement of
rebuttal to the individual.
*Response:* Where a request for amendment is accepted, the covered
entity knows that protected health information about the individual is
inaccurate or incomplete or the amendment is otherwise warranted; in
these circumstances, it is reasonable to ask the covered entity to
notify certain previous recipients of the information that reliance on
such information could be harmful. Where, however, the request for
amendment is denied, the covered entity believes that the relevant
information is accurate and complete or the amendment is otherwise
unacceptable. In this circumstance, the burden of prior notification
outweighs the potential benefits. We therefore do not require
notification of prior recipients.
We agree, however, that individuals should know how a covered entity has
responded to their requests, and therefore add a requirement that
covered entities also provide a copy of any rebuttal statements to the
individual.
**SECTION 164.528---ACCOUNTING OF DISCLOSURES OF PROTECTED HEALTH
INFORMATION**
*Comment:* Many commenters expressed support for the concept of the
right to receive an accounting of disclosures. Others opposed even the
concept. One commenter said that it is likely that some individuals will
request an accounting of disclosures from each of his or her health care
providers and payors merely to challenge the disclosures that the
covered entity made.
Some commenters also questioned the value to the individual of providing
the right to an accounting. One commenter stated that such a provision
would be meaningless because those who deliberately perpetrate an abuse
are unlikely to note their breach in a log.
*Response:* The final rule retains the right of an individual to receive
an accounting of disclosures of protected health information. The
provision serves multiple purposes. It provides a means of informing the
individual as to which information has been sent to which recipients.
This information, in turn, enables individuals to exercise certain other
rights under the rule, such as the rights to inspection and amendment,
with greater precision and ease. The accounting also allows individuals
to monitor how covered entities are complying with the rule. Though
covered entities who deliberately make disclosures in violation of the
rule may be unlikely to note such a breach in the accounting, other
covered entities may document inappropriate disclosures that they make
out of ignorance and not malfeasance. The accounting will enable the
individual to address such concerns with the covered entity.
We believe this approach is consistent with well-established privacy
principles, with other law, and with industry standards and ethical
guidelines. The July 1977 Report of the Privacy Protection Study
Commission recommended that a health care provider should not disclose
individually-identifiable information for certain purposes without the
individual's authorization unless "an accounting of such disclosures is
kept and the individual who is the subject of the information being
disclosed can find out that the disclosure has been made and to
whom."[^32] With certain exceptions, the Privacy Act (5 U.S.C. 552a)
requires government agencies to "keep an accurate accounting of\... the
date, nature, and purpose of each disclosure of a record to any person
or to another agency\... and\... the name and address of the person or
agency to whom the disclosure is made." The National Association of
Insurance Commissioners' Health Information Privacy Model Act requires
carriers to provide to individuals on request "information regarding
disclosure of that individual's protected health information that is
sufficient to exercise the right to amend the information." We build on
these standards in this final rule.
*Comment:* Many commenters disagreed with the NPRM's exception for
treatment, payment, and health care operations. Some commenters wanted
treatment, payment, and health care operations disclosures to be
included in an accounting because they believed that improper
disclosures of protected health information were likely to be committed
by parties within the entity who have access to protected health
information for treatment, payment, and health care operations related
purposes. They suggested that requiring covered entities to record
treatment, payment, and health care operations disclosures would either
prevent improper disclosures or enable transgressions to be tracked.
One commenter reasoned that disclosures for treatment, payment, and
health care operations purposes should be tracked since these
disclosures would be made without the individual's consent. Others
argued that if an individual's authorization is not required for a
disclosure, then the disclosure should not have to be tracked for a
future accounting to the individual.
One commenter requested that the provision be restated so that no
accounting is required for disclosures "compatible with or directly
related to" treatment, payment or health care operations. This comment
indicated that the change would make § 164.515(a)(l) of the NPRM
consistent with § 164.508(a)(2)(i)(A) of the NPRM.
*Response:* We do not accept the comments suggesting removing the
exception for disclosures for treatment, payment, and health care
operations. While including all disclosures within the accounting would
provide more information to individuals about to whom their information
has been disclosed, we believe that documenting all disclosures made for
treatment, payment, and health care operations purposes would be unduly
burdensome on entities and would result in accountings so voluminous as
to be of questionable value. Individuals who seek treatment and payment
expect that their information will be used and disclosed for these
purposes. In many cases, under this final rule, the individual will have
consented to these uses and disclosures. Thus, the additional
information that would be gained from including these disclosures would
not outweigh the added burdens on covered entities. We believe that
retaining the exclusion of disclosures to carry out treatment, payment,
and health care operations makes for a manageable accounting both from
the point of view of entities and of individuals. We have conformed the
language in this section with language in other sections of the rule
regarding uses and disclosures to carry out treatment, payment, and
health care operations. See § 164.508 and the corresponding preamble
discussion regarding our to decision to use this language.
*Comments:* A few commenters called for a record of all disclosures,
including a right of access to a full audit trail where one exists. Some
commenters stated while audit trails for paper records are too expensive
to require, the privacy rule should not discourage audit trails, at
least for computer-based records. They speculated that an important
reason for maintaining a full audit trail is that most abuses are the
result of activity by insiders. On the other hand, other commenters
pointed out that an enormous volume of records would be created if the
rule requires recording all accesses in the manner of a full audit
trail.
One commenter supported the NPRM's reference to the proposed HIPAA
Security Rule, agreeing that access control and disclosure requirements
under this rule should be coordinated with the final HIPAA Security
Rule. The commenter recommended that HHS add a reference to the final
HIPAA Security Rule in this section and keep specific audit log and
reporting requirements generic in the privacy rule.
*Response*: Audit trails and the accounting of disclosures serve
different functions. In the security field, an audit trail is typically
a record of each time a sensitive record is altered, how it was altered
and by whom, but does not usually record each time a record is used or
viewed. The accounting required by this rule provides individuals with
information about to whom a disclosure is made. An accounting, as
described in the this rule, would not capture uses. To the extent that
an audit trail would capture uses, consumers reviewing an audit trail
may not be able to distinguish between accesses of the protected health
information for use and accesses for disclosure. Further, it is not
clear the degree to which the field is technologically poised to provide
audit trails. Some entities could provide audit trails to individuals
upon their request, but we are concerned that many could not.
We agree that it is important to coordinate this provision of the
privacy rule with the Security Rule when it is issued as a final rule.
*Comments:* We received many comments from researchers expressing
concerns about the potential impact of requiring an accounting of
disclosures related to research. The majority feared that the accounting
provision would prove so burdensome that many entities would decline to
participate in research. Many commenters believed that disclosure of
protected health information for research presents little risk to
individual privacy and feared that the accounting requirement could shut
down research.
Some commenters pointed out that often only a few data elements or a
single element is extracted from the patient record and disclosed to a
researcher, and that having to account for so singular a disclosure from
what could potentially be an enormous number of records imposes a
significant burden. Some said that the impact would be particularly
harmful to longitudinal studies, where the disclosures of protected
health information occur over an extended period of time. A number of
commenters suggested that we not require accounting of disclosures for
research, registries, and surveillance systems or other databases unless
the disclosure results in the actual physical release of the patient's
entire medical record, rather than the disclosure of discrete elements
of information contained within the record.
We also were asked by commenters to provide an exclusion for research
subject to IRB oversight or research that has been granted a waiver of
authorization pursuant to proposed § 164.510, to exempt "in-house"
research from the accounting provision, and to allow covered entities to
describe the type of disclosures they have made to research projects,
without specifically listing each disclosure. Commenters suggested that
covered entities could include in an accounting a listing of the various
research projects in which they participated during the time period at
issue, without regard to whether a particular individual's protected
health information was disclosed to the project.
*Response:* We disagree with suggestions from commenters that an
accounting of disclosures is not necessary for research. While it is
possible that informing individuals about the disclosures made of their
health information may on occasion discourage worthwhile activities, we
believe that individuals have a right to know who is using their health
information and for what purposes. This information gives individuals
more control over their health information and a better base of
knowledge from which to make informed decisions.
For the same reasons, we also do not believe that IRB or privacy board
review substitutes for providing individuals the right to know how their
information has been disclosed. We permit IRBs or privacy boards to
determine that a research project would not be feasible if authorization
were required because we understand that it could be virtually
impossible to get authorization for archival research involving large
numbers of individuals or where the location of the individuals is not
easy to ascertain. While providing an accounting of disclosures for
research may entail some burden, it is feasible, and we do not believe
that IRBs or privacy boards would have a basis for waiving such a
requirement. We also note that the majority of comments that we received
from individuals supported including more information in the accounting,
not less.
We understand that requiring covered entities to include disclosures for
research in the accounting of disclosures entails some burden, but we
believe that the benefits described above outweigh the burden.
We do not agree with commenters that we should exempt disclosures where
only a few data elements are released or in the case of data released
without individuals' names. We recognize that information other than
names can identify an individual. We also recognize that even a few data
elements could be clues to an individual's identity. The actual volume
of information released is not an appropriate indicator of whether an
individual could have a concern about privacy.
We disagree with comments that suggested that it would be sufficient to
provide individuals with a general list of research projects to which
information has been disclosed by the covered entity. We believe that
individuals are entitled to a level of specificity about disclosures of
protected health information about them and should know to which
research projects their protected health information has been disclosed,
rather than to which projects protected health information may have been
disclosed. However, we have added a provision allowing for a summary
accounting of recurrent disclosures. For multiple disclosures to the
same recipient pursuant to a single authorization or for a single
purpose permitted under the rule without authorization, the covered
entity may provide a summary accounting addressing the series of
disclosures rather than a detailed accounting of each disclosure in the
series. This change is designed to ease the burden on covered entities
involved in longitudinal projects.
With regard to the suggestion that we exempt "in-house" research from
the accounting provision, we note that only disclosures of protected
health information must appear in an accounting.
*Comments:* Several commenters noted that disclosures for public health
activities may be of interest to individuals, but add to the burden
imposed on entities. Furthermore, some expressed fear that priority
public health activities would be compromised by the accounting
provision. One commenter from a health department said that covered
entities should not be required to provide an accounting to certain
index cases, where such disclosures create other hazards, such as
potential harm to the reporting provider. This commenter also speculated
that knowing protected health information had been disclosed for these
public health purposes might cause people to avoid treatment in order to
avoid being reported to the public health department.
A provider association expressed concern about the effect that the
accounting provision might have on a non-governmental, centralized
disease registry that it operates. The provider organization feared that
individuals might request that their protected health information be
eliminated in the databank, which would make the data less useful.
*Response:* As in the discussion of research above, we reject the
contention that we should withhold information from individuals about
where their information has been disclosed because informing them could
occasionally discourage some worthwhile activities. We also believe
that, on balance, individuals' interest in having broad access to this
information outweighs concerns about the rare instances in which
providing this information might raise concerns about harm to the person
who made the disclosure. As we stated above, we believe that individuals
have a right to know who is using their health information and for what
purposes. This information gives individuals more control over their
health information and a better base of knowledge from which to make
informed decisions.
*Comment:* We received many comments about the proposed time-limited
exclusion for law enforcement and health oversight. Several commenters
noted that it is nearly impossible to accurately project the length of
an investigation, especially during its early stages. Some recommended
we permit a deadline based on the end of an event, such as conclusion of
an investigation. One commenter recommended amending the standard such
that covered entities would never be required to give an accounting of
disclosures to health oversight or law enforcement agencies. The
commenter noted that there are public policy reasons for limiting the
extent to which a criminal investigation is made known publicly,
including the possibility that suspects may destroy or falsify evidence,
hide assets, or flee. The commenter also pointed out that disclosure of
an investigation may unfairly stigmatize a person or entity who is
eventually found to be innocent of any wrongdoing.
On the other hand, many commenters disagreed with the exemption for
recording disclosures related to oversight activities and law
enforcement. Many of these commenters stated that the exclusion would
permit broad exceptions for government purposes while holding
disclosures for private purposes to a more burdensome standard.
Some commenters felt that the NPRM made it too easy for law enforcement
to obtain an exception. They suggested that law enforcement should not
be excepted from the accounting provision unless there is a court order.
One commenter recommended that a written request for exclusion be dated,
signed by a supervisory official, and contain a certification that the
official is personally familiar with the purpose of the request and the
justification for exclusion from accounting.
*Response:* We do not agree with comments suggesting that we permanently
exclude disclosures for oversight or law enforcement from the
accounting. We believe generally that individuals have a right to know
who is obtaining their health information and for what purposes.
At the same time, we agree with commenters that were concerned that an
accounting could tip off subjects of investigations. We have retained a
time-limed exclusion period similar to that proposed in the NPRM. To
protect the integrity of investigations, in the final rule we require
covered entities to exclude disclosures to a health oversight agency or
law enforcement official for the time specified by that agency or
official, if the agency or official states that including the disclosure
in an accounting to the individual would be reasonably likely to impede
the agency or official's activities. We require the statement from the
agency or official to provide a specific time frame for the exclusion.
For example, pursuant to a law enforcement official's statement, a
covered entity could exclude a law enforcement disclosure from the
accounting for a period of three months from the date of the official's
statement or until a date specified in the statement.
In the final rule, we permit the covered entity to exclude the
disclosure from an accounting to an individual if the agency or official
makes the statement orally and the covered entity documents the
statement and the identify of the agency or official that made the
statement. We recognize that in urgent situations, agencies and
officials may not be able to provide statements in writing. If the
agency or official's statement is made orally, however, the disclosure
can be excluded from an accounting to the individual for no longer than
30 days from the oral statement. For exclusions longer than 30 days, a
covered entity must receive a written statement.
We believe these requirements appropriately balance individuals' rights
to be informed of the disclosures of protected health information while
recognizing the public's interest in maintaining the integrity of health
oversight and law enforcement activities.
*Comment:* One commenter stated that under Minnesota law, providers who
are mandated reporters of abuse are limited as to whom they may reveal
the report of abuse (generally law enforcement authorities and other
providers only). This is because certain abusers, such as parents, by
law may have access to a victim's (child's) records. The commenter
requested clarification as to whether these disclosures are exempt from
the accounting requirement or whether preemption would apply.
*Response:* While we do not except mandatory disclosures of abuse from
the accounting for disclosure requirement, we believe the commenter's
concerns are addressed in several ways. First, nothing in this
regulation invalidates or limits the authority or procedures established
under state law providing for the reporting of child abuse. Thus, with
respect to child abuse the Minnesota law's procedures are not preempted
even though they are less stringent with respect to privacy. Second,
with respect to abuse of persons other than children, we allow covered
entities to refuse to treat a person as an individual's personal
representative if the covered entity believes that the individual has
been subjected to domestic violence, abuse, or neglect from the person.
Thus, the abuser would not have access to the accounting. We also note
that a covered entity must exclude a disclosure, including disclosures
to report abuse, from the accounting for specified period of time if the
law enforcement official to whom the report is made requests such
exclusion.
*Comment:* A few comments noted the lack of exception for disclosures
made to intelligence agencies.
*Response:* We agree with the comments and have added an exemption for
disclosures made for national security or intelligence purposes under §
164.512(k)(2). Individuals do not have a right to an accounting of
disclosures for these purposes.
*Comment:* Commenters noted that the burden associated with this
provision would, in part, be determined by other provisions of the rule,
including the definitions of "individually identifiable," "treatment,"
and "health care operations." They expressed concern that the covered
entity would have to be able to organize on a patient by patient basis
thousands of disclosures of information, which they described as
"routine." These commenters point to disclosures for patient directory
information, routine banking and payment processes, uses and disclosures
in emergency circumstances, disclosures to next of kin, and release of
admissions statistics to a health oversight agency.
*Response:* We disagree with the commenters that ambiguity in other
areas of the rule increase the burden associated with maintaining an
accounting. The definitions of treatment, payment, and health operations
are necessarily broad and there is no accounting required for
disclosures for these purposes. These terms cover the vast majority of
routine disclosures for health care purposes. (See § 164.501 and the
associated preamble for a discussion of changes made to these
definitions.)
The disclosures permitted under § 164.512 are for national priority
purposes, and determining whether a disclosure fits within the section
is necessary before the disclosure can be made. There is no additional
burden, once such a determination is made, in determining whether it
must be included in the accounting.
We agree with the commenters that there are areas where we can reduce
burden by removing additional disclosures from the accounting
requirement, without compromising individuals' rights to know how their
information is being disclosed. In the final rule, covered entities are
not required to include the following disclosures in the accounting:
disclosures to the individual, disclosures for facility directories
under § 164.510(a), or disclosures to persons assisting in the
individual's care or for other notification purposes under § 164.510(b).
For each of these types of disclosures, the individual is likely to
already know about the disclosure or to have agreed to the disclosure,
making the inclusion of such disclosures in the accounting less
important to the individual and unnecessarily burdensome to the covered
entity.
*Comment:* Many commenters objected to requiring business partners to
provide an accounting to covered entities upon their request. They cited
the encumbrance associated with re-contracting with the various business
partners, as well as the burden associated with establishing this type
of record keeping.
*Response:* Individuals have a right to know to whom and for what
purpose their protected health information has been disclosed by a
covered entity. The fact that a covered entity uses a business associate
to carry out a function does not diminish an individual's right to know.
*Comments:* One commenter requested clarification as to how far a
covered entity's responsibility would extend, asking whether an entity
had to track only their direct disclosures or subsequent re-disclosures.
*Response:* Covered entities are required to account for their
disclosures, as well as the disclosures of their business associates, of
protected health information. Because business associates act on behalf
of covered entities, it is essential that their disclosures be included
in any accounting that an individual requests from a covered entity.
Covered entities are not responsible, however, for the actions of
persons who are not their business associates. Once a covered entity has
accounted for a disclosure to any person other than a business
associate, it is not responsible for accounting for any further uses or
disclosures of the information by that other person.
*Comments:* Some commenters said that the accounting provision described
in the NPRM was ambiguous and created uncertainty as to whether it
addresses disclosures only, as the title would indicate, or whether it
includes accounting of uses. They urged that the standard address
disclosures only, and not uses, which would make implementation far more
practicable and less burdensome.
*Response:* The final rule requires disclosures, not uses, to be
included in an accounting. See § 164.501 for definitions of "use" and
"disclosure."
*Comments:* We received many comments from providers and other
representatives of various segments of the health care industry,
expressing the view that a centralized system of recording disclosures
was not possible given the complexity of the health care system, in
which disclosures are made by numerous departments within entities. For
example, commenters stated that a hospital medical records department
generally makes notations regarding information it releases, but that
these notations do not include disclosures that the emergency department
may make. Several commenters proposed that the rule provide for patients
to receive only an accounting of disclosures made by medical records
departments or some other central location, which would relieve the
burden of centralizing accounting for those entities who depend on paper
records and tracking systems.
*Response:* We disagree with commenters' arguments that covered entities
should not be held accountable for the actions of their subdivisions or
workforce members. Covered entities are responsible for accounting for
the disclosures of protected health information made by the covered
entity, in accordance with this rule. The particular person or
department within the entity that made the disclosure is immaterial to
the covered entity's obligation. In the final rule, we require covered
entities to document each disclosure that is required to be included in
an accounting. We do not, however, require this documentation to be
maintained in a central registry. A covered hospital, for example, could
maintain separate documentation of disclosures that are made from the
medical records department and the emergency department. At the time an
individual requests an accounting, this documentation could be
integrated to provide a single accounting of disclosures made by the
covered hospital. Alternatively, the covered hospital could centralize
its processes for making and documenting disclosures. We believe this
provision provides covered entities with sufficient flexibility to meet
their business needs without compromising individuals' rights to know
how information about them is disclosed.
*Comments:* Commenters stated that the accounting requirements placed
undue burden on covered entities that use paper, rather than electronic,
records.
*Response:* We do not agree that the current reliance on paper records
makes the accounting provision unduly burdensome. Covered entities must
use the paper records in order to make a disclosure, and have the
opportunity when they do so to make a notation in the record or in a
separate log. We require an accounting only for disclosures for purposes
other than treatment, payment, and health care operations. Such
disclosures are not so numerous that they cannot be accounted for, even
if paper records are involved.
*Comments:* The exception to the accounting provision for disclosures of
protected health information for treatment, payment, and health care
operations purposes was viewed favorably by many respondents. However,
at least one commenter stated that since covered entities must
differentiate between disclosures that require documentation and those
that do not, they will have to document each instance when a patient's
medical record is disclosed to determine the reason for the disclosure.
This commenter also argued that the administrative burden of requiring
customer services representatives to ask in which category the
information falls and then to keep a record that they asked the question
and record the answer would be overwhelming for plans. The commenter
concluded that the burden of documentation on a covered entity would not
be relieved by the stipulation that documentation is not required for
treatment, payment, and health care operations.
*Response:* We disagree. Covered entities are not required to document
every disclosure in order to differentiate those for treatment, payment,
and health care operations from those for purposes for which an
accounting is required. We require that, when a disclosure is made for
which an accounting is required, the covered entity be able to produce
an accounting of those disclosures upon request. We do not require a
covered entity to be able to account for every disclosure. In addition,
we believe that we have addressed many of the commenters' concerns by
clarifying in the final rule that disclosures to the individual,
regardless of the purpose for the disclosure, are not subject to the
accounting requirement.
*Comment*s: An insurer explained that in the context of underwriting, it
may have frequent and multiple disclosures of protected health
information to an agent, third party medical provider, or other entity
or individual. It requested we reduce the burden of accounting for such
disclosures.
*Response:* We add a provision allowing for a summary accounting of
recurrent disclosures. For multiple disclosures to the same recipient
pursuant to a single authorization or for a single purpose permitted
under the rule without authorization, the covered entity may provide a
summary accounting addressing the series of disclosures rather than a
detailed accounting of each disclosure in the series.
*Comment:* Several commenters said that it was unreasonable to expect
covered entities to track disclosures that are requested by the
individual. They believed that consumers should be responsible for
keeping track of their own requests.
Other commenters asked that we specify that entities need not retain and
provide copies of the individual's authorization to disclose protected
health information. Some commenters were particularly concerned that if
they maintain all patient information on a computer system, it would be
impossible to link the paper authorization with the patient's electronic
records.
Another commenter suggested we allow entities to submit copies of
authorizations after the 30-day deadline for responding to the
individual, as long as the accounting itself is furnished within the
30-day window.
*Response:* In the final rule we do not require disclosures to the
individual to be included in the accounting. Other disclosures requested
by the individual must be included in the accounting, unless they are
otherwise excepted from the requirement. We do not agree that
individuals should be required to track these disclosures themselves. In
many cases, an authorization may authorize a disclosure by more than one
entity, or by a class of entities, such as all physicians who have
provided medical treatment to the individual. Absent the accounting, the
individual cannot know whether a particular covered entity has acted on
the authorization.
We agree, however, that it is unnecessarily burdensome to require
covered entities to provide the individual with a copy of the
authorization. We remove the requirement. Instead, we require the
accounting to contain a brief statement describing the purpose for which
the protected health information was disclosed. The statement must be
sufficient to reasonably inform the individual of the basis for the
disclosure. Alternatively, the covered entity may provide a copy of the
authorization or a copy of the written request for disclosure, if any,
under §§ 164.502(a)(2)(ii) or 164.512.
*Comments:* We received many comments regarding the amount of
information required in the accounting. A few commenters requested that
we include additional elements in the accounting, such as the method of
transmittal and identity of the employee who accessed the information.
Other commenters, however, felt that the proposed requirements went
beyond what is necessary to inform the individual of disclosures.
Another commenter stated that if the individual's right to obtain an
accounting extends to disclosures that do not require a signed
authorization, then the accounting should be limited to a disclosure of
the manner and purpose of disclosures, as opposed to an individual
accounting of each entity to whom the protected health information was
disclosed. An insurer stated that this section of the proposed rule
should be revised to provide more general, rather than detailed,
guidelines for accounting of disclosures. The commenter believed that
its type of business should be allowed to provide general information
regarding the disclosure of protected health information to outside
entities, particularly with regard to entities with which the insurer
maintains an ongoing, standard relationship (such as a reinsurer).
*Response:* In general, we have retained the proposed approach, which we
believe strikes an appropriate balance between the individual's right to
know to whom and for what purposes their protected health information
has been disclosed and the burden placed on covered entities. In the
final rule, we clarify that the accounting must include the address of
the recipient only if the address is known to the covered entity. As
noted above, we also add a provision allowing for a summary accounting
of recurrent disclosures. We note that some of the activities of concern
to commenters may fall under the definition of health care operations
(see § 164.501 and the associated preamble).
*Comment:* A commenter asked that we limit the accounting to information
pertaining to the medical record itself, as opposed to protected health
information more generally. Similarly, commenters suggested that the
accounting be limited to release of the medical record only.
*Response:* We disagree. Protected health information exists in many
forms and resides in many sources. An individual's right to know to whom
and for what purposes his or her protected health information has been
disclosed would be severely limited if it pertained only to disclosure
of the medical record, or information taken only from the record.
*Comment:* A commenter asked that we make clear that only disclosures
external to the organization are within the accounting requirement.
*Response:* We agree. The requirement only applies to disclosures of
protected health information, as defined in § 164.501.
*Comment:* Some commenters requested that we establish a limit on the
number of times an individual could request an accounting. One comment
suggested we permit individuals to request one accounting per year;
another suggested two accountings per year, except in "emergency
situations." Others recommended that we enable entities to recoup some
of the costs associated with implementation by allowing the entity to
charge for an accounting.
*Response:* We agree that covered entities should be able to defray
costs of excessive requests. The final rule provides individuals with
the right to receive one accounting without charge in a twelve-month
period. For additional requests by an individual within a twelve-month
period, the covered entity may charge a reasonable, cost-based fee. If
it imposes such a fee, the covered entity must inform the individual of
the fee in advance and provide the individual with an opportunity to
withdraw or modify the request to avoid or reduce the fee.
*Comment:* In the NPRM, we solicited comments on the appropriate
duration of the individual's right to an accounting. Some commenters
supported the NPRM's requirement that the right exist for as long as the
covered entities maintains the protected health information. One
commenter, however, noted that most audit control systems do not retain
data on activity for indefinite periods of time.
Other commenters noted that laws governing the length of retention of
clinical records vary by state and by provider type and suggested that
entities be allowed to adhere to state laws or policies established by
professional organizations or accrediting bodies. Some commenters
suggested that the language be clarified to state that whatever minimum
requirements are in place for the record should also guide covered
entities in retaining their capacity to account for disclosures over
that same time, but no longer.
Several commenters asked us to consider specific time limits. It was
pointed out that proposed § 164.520(f)(6) of the NPRM set a six-year
time limit for retaining certain information including authorization
forms and contracts with business partners. Included in this list was
the accounting of disclosures, but this requirement was inconsistent
with the more open-ended language in § 164.515. Commenters suggested
that deferring to this six-year limit would make this provision
consistent with other record retention provisions of the standard and
might relieve some of the burden associated with implementation. Other
specific time frames suggested were two years, three years, five years,
and seven years.
Another option suggested by commenters was to keep the accounting record
for as long as entities have the information maintained and "active" on
their systems. Information permanently taken off the covered entity's
system and sent to "dead storage" would not be covered. One commenter
further recommended that we not require entities to maintain records or
account for prior disclosures for members who have "disenrolled."
*Response:* We agree with commenters who suggested we establish a
specific period for which an individual may request an accounting. In
the final rule, we provide that individuals have a right to an
accounting of the applicable disclosures that have been made in the
six-year period prior to a request for an accounting. We adopt this time
frame to conform with the other documentation retention requirements in
the rule. We also note that an individual may request, and a covered
entity may then provide, an accounting of disclosures for a period of
time less than six years from the date of the request. For example, an
individual could request an accounting only of disclosures that occurred
during the year prior to the request. In addition, we note that covered
entities do not have to account for disclosures that occurred prior to
the compliance date of this rule.
*Comments:* Commenters asked that we provide more time for entities to
respond to requests for accounting. Suggestions ranged from 60 days to
90 days. Another writer suggested that entities be able to take up to
three 30-day extensions from the original 30-day deadline. Commenters
raised concerns about the proposed requirement that a covered health
care provider or health plan act as soon as possible.
*Response:* We agree with concerns raised by commenters and in the final
rule, covered entities are required to provide a requested accounting no
later than 60 days after receipt of the request. We also provide for one
30 day extension if the covered entity is unable to provide the
accounting within the standard time frame. We eliminate the requirement
for a covered entity to act as soon as possible.
We recognize that circumstances may arise in which an individual will
request an accounting on an expedited basis. We encourage covered
entities to implement procedures for handling such requests. The time
limitation is intended to be an outside deadline, rather than an
expectation. We expect covered entities always to be attentive to the
circumstances surrounding each request and to respond in an appropriate
time frame.
*Comment:* A commenter asked that we provide an exemption for
disclosures related to computer upgrades, when protected health
information is disclosed to another entity solely for the purpose of
establishing or checking a computer system.
*Response:* This activity falls within the definition of health care
operations and is, therefore, excluded from the accounting requirement.
**SECTION 164.530---ADMINISTRATIVE REQUIREMENTS**
**Section 164.530(a)---Designation of a Privacy Official and Contact
Person**
*Comment:* Many of the commenters on this topic objected to the cost of
establishing a privacy official, including the need to hire additional
staff, which might need to include a lawyer or other highly paid
individual.
*Response:* We believe that designation of a privacy official is
essential to ensure a central point of accountability within each
covered entity for privacy-related issues. The privacy official is
charged with developing and implementing the policies and procedures for
the covered entity, as required throughout the regulation, and for
compliance with the regulation generally. While the costs for these
activities are part of the costs of compliance with this rule, not extra
costs associated with the designation of a privacy official, we do
anticipate that there will be some cost associated with this
requirement. The privacy official role may be an additional
responsibility given to an existing employee in the covered entity, such
as an office manager in a small entity or an information officer or
compliance official in a larger institution. Cost estimates for the
privacy official are discussed in detail in the overall cost analysis.
*Comment:* A few commenters argued for more flexibility in meeting the
requirement for accountability. One health care provider maintained that
covered entities should be able to establish their own system of
accountability. For example, most physician offices already have the
patient protections incorporated in the proposed administrative
requirements -- the commenter urged that the regulation should
explicitly promote the application of flexibility and scalability. A
national physician association noted that, in small offices, in
particular, responsibility for the policies and procedures should be
allowed to be shared among several people. A major manufacturing
corporation asserted that mandating a privacy official is unnecessary
and that it would be preferable to ask for the development of policies
that are designed to ensure that processes are maintained to assure
compliance.
*Response:* We believe that a single focal point is needed to achieve
the necessary accountability. At the same time, we recognize that
covered entities are organized differently and have different
information systems. We therefore do not prescribe who within a covered
entity must serve as the privacy official, nor do we prohibit combining
this function with other duties. Duties may be delegated and shared, so
long as there is one point of accountability for the covered entity's
policies and procedures and compliance with this regulation.
*Comment:* Some commenters echoed the proposal of a professional
information management association that the regulation establish formal
qualifications for the privacy official, suggesting that this should be
a credentialed information management professional with specified
minimum training standards. One commenter emphasized that the privacy
official should be sufficiently high in management to have influence.
*Response:* While there may be some advantages to establishing formal
qualifications, we concluded the disadvantages outweigh the advantages.
Since the job of privacy official will differ substantially among
organizations of varying size and function, specifying a single set of
qualifications would sacrifice flexibility and scalability in
implementation.
*Comment:* A few commenters suggested that we provide guidance on the
tasks of the privacy official. One noted that this would reduce the
burden on covered entities to clearly identify those tasks during the
initial HIPAA implementation phase.
*Response:* The regulation itself outlines the tasks of the privacy
official, by specifying the policies and procedures required, and
otherwise explaining the duties of covered entities. Given the wide
variation in the function and size of covered entities, providing
further detail here would unnecessarily reduce flexibility for covered
entities. We will, however, provide technical assistance in the form of
guidance on the various provisions of the regulation before the
compliance date.
*Comment:* Some comments expressed concern that the regulation would
require a company with subsidiaries to appoint a privacy official within
each subsidiary. Instead they argued that the corporate entity should
have the option of designating a single corporate official rather than
one at each subsidiary.
*Response:* In the final regulation, we give covered entities with
multiple subsidiaries that meet the definition of covered entities under
this rule the flexibility to designate whether such subsidiaries are
each a separate covered entity or are together a single covered entity.
(See § 164.504(b) for the rules requiring such designation.) If only one
covered entity is designated for the subsidiaries, only one privacy
officer is needed. Further, we do not prohibit the privacy official of
one covered entity from serving as the privacy official of another
covered entity, so long as all the requirements of this rule are met for
each such covered entity.
**Section 164.530(b)---Training**
*Comment:* A few commenters felt that the proposed provision was too
stringent, and that the content of the training program should be left
to the reasonable discretion of the covered entity.
*Response:* We clarify that we do not prescribe the content of the
required training; the nature of the training program is left to the
discretion of the covered entity. The scenarios in the NPRM preamble of
potential approaches to training for different sized covered entities
were intended as examples of the flexibility and scalability of this
requirement.
*Comment:* Most commenters on this provision asserted that
recertification/retraining every three years is excessive, restrictive,
and costly. Commenters felt that retraining intervals should be left to
the discretion of the covered entity. Some commenters supported
retraining only in the event of a material change. Some commenters
supported the training requirement as specified in the NPRM.
*Response:* For the reasons cited by the commenters, we eliminate the
triennial recertification requirements in the final rule. We also
clarify that retraining is not required every three years. Retraining is
only required in the case of material changes to the privacy policies
and procedures of the covered entity.
*Comment:* Several commenters objected to the burden imposed by required
signatures from employees after they are trained. Many commenters
suggested that electronic signatures be accepted for various reasons.
Some felt that it would be less costly than manually producing,
processing, and retaining the hard copies of the forms. Some suggested
sending out the notice to the personal workstation via email or some
other electronic format and having staff reply via email. One commenter
suggested that the covered entity might opt to give web based training
instead of classroom or some other type. The commenter indicated that
with web based training, the covered entity could record whether or not
an employee had received his or her training through the use of a guest
book or registration form on the web site. Thus, a physical signature
should not be required.
*Response:* We agree that there are many appropriate mechanisms by which
covered entities can implement their training programs, and therefore
remove this requirement for signature. We establish only a general
requirement that covered entities document compliance with the training
requirement.
*Comment:* Some commenters were concerned that there was no proposed
requirement for business associates to receive training and/or to train
their employees. The commenters believed that if the business associate
violated any privacy requirements, the covered entity would be held
accountable. These commenters urged the Secretary to require periodic
training for appropriate management personnel assigned outside of the
component unit of the covered entity, including business associates.
Other commenters felt that it would not be fair to require covered
entities to impose training requirements on business associates.
*Response:* We do not have the statutory authority directly to require
business associates to train their employees. We also believe it would
be unnecessarily burdensome to require covered entities to monitor
business associates' establishment of specific training requirements.
Covered entities' responsibility for breaches of privacy by their
business associates is described in §§ 164.504(e) and 164.530(f). If a
covered entity believes that including a training requirement in one or
more of its business associate contracts is an appropriate means of
protecting the health information provided to the business associate, it
is free to do so.
*Comments:* Many commenters argued that training, as well as all of the
other administrative requirements, are too costly for covered entities
and that small practices would not be able to bear the added costs.
Commenters also suggested that HHS should provide training materials at
little, or no, cost to the covered entity.
*Response:* For the final regulation, we make several changes to the
proposed provisions. We believe that these changes address the issue of
administrative cost and burden to the greatest extent possible,
consistent with protecting the privacy of health information. In
enforcing the privacy rule, we expect to provide general training
materials. We also hope to work with professional associations and other
groups that target classes of providers, plans and patients, in
developing specialized material for these groups.
We note that, under long-standing legal principles, entities are
generally responsible for the actions of their workforce. The
requirement to train workforce members to implement the covered entity's
privacy policies and procedures, and do such things as pass evidence of
potential problems to those responsible, is in line with these
principles. For example, the comments and our fact finding indicate
that, today, many hospitals require their workforce members to sign a
confidentiality agreement, and include confidentiality matters in their
employee handbooks.
**Section 164.530(c)---Safeguards**
*Comments:* A few comments assert that the rule requires some
institutions that do not have adequate resources to develop costly
physical and technical safeguards without providing a funding mechanism
to do so. Another comment said that the vague definitions of adequate
and appropriate safeguards could be interpreted by HHS to require the
purchase of new computer systems and reprogram many old ones. A few
other comments suggested that the safeguards language was vague and
asked for more specifics.
*Response:* We require covered entities to maintain safeguards adequate
for their operations, but do not require that specific technologies be
used to do so. Safeguards need not be expensive or high-tech to be
effective. Sometimes, it is an adequate safeguard to put a lock on a
door and only give the keys to those who need access. As described in
more detail in the preamble discussion of § 164.530, we do not require
covered entities to guarantee the safety of protected health information
against all assaults. This requirement is flexible and scalable to allow
implementation of required safeguards at a reasonable cost.
*Comments:* A few commenters noted that once protected health
information becomes non-electronic, by being printed for example, it
escapes the protection of the safeguards in the proposed Security Rule.
They asked if this safeguards requirement is intended to install similar
security protections for non-electronic information.
*Response:* This provision is not intended to incorporate the provisions
in the proposed Security regulation into this regulation, or to
otherwise require application of those provisions to paper records.
*Comments:* Some commenters said that it was unclear what
\"appropriate\" safeguards were required by the rule and who establishes
the criteria for them. A few noted that the privacy safeguards were not
exactly the same as the security safeguards, or that the \'other
safeguards\' section was too vague to implement. They asked for more
clarification of safeguards requirements and flexible solutions.
*Response:* In the preamble discussion of § 164.530, we provide examples
of types of safeguards that can be appropriate to satisfy this
requirement. Other sections of this regulation require specific
safeguards for specific circumstances. The discussion of the
requirements for "minimum necessary' uses and disclosures of protected
health information includes related guidance for developing role-based
access policies for a covered entity's workforce. The requirements for
"component entities" include requirements for firewalls to prevent
access by unauthorized persons. The proposed Security Rule included
further details on what safeguards would be appropriate for electronic
information systems. The flexibility and scalability of these rules
allows covered entities to analyze their own needs and implement
solutions appropriate for their own environment.
*Comments:* A few comments asked for a requirement for a firewall
between a health care component and the rest of a larger organization as
another appropriate safeguard.
*Response:* We agree, and have incorporated such a requirement in §
164.504.
*Comments:* One commenter agreed with the need for administrative,
physical, and technical safeguards, but took issue with our
specification of the type of documentation or proof that the covered
entity is taking action to safeguard protected health information.
*Response:* This privacy rule does not require specific forms of proof
for safeguards.
*Comments:* A few commenters asked that, for the requirement for a
signed certification of training and the requirements for verification
of identity, we consider the use of electronic signatures that meet the
requirements in the proposed security regulation to meet the
requirements of this rule.
*Response:* In this final rule, we drop the requirements for signed
certifications of training. Signatures are required elsewhere in this
regulation, for example, for a valid authorization. In the relevant
sections we clarify that electronic signatures are sufficient provided
they meet standards to be adopted under HIPAA. In addition, we do not
intend to interfere with the application of the Electronic Signature in
Global and National Commerce Act.
*Comments:* A few commenters requested that the privacy requirements for
appropriate administrative, technical, and physical safeguards be
considered to have been met if the requirements of the proposed Security
Rule have been met. Others requested that the safeguards requirements of
the final Privacy Rule mirror or be harmonized with the final Security
Rule so they do not result in redundant or conflicting requirements.
*Response:* Unlike the proposed regulation, the final regulation covers
all protected health information, not just information that had at some
point been electronic. Thus, these commenters' assumption that the
proposed Privacy Rule and the proposed Security Rule covered the same
information is not the case, and taking the approach suggested by these
comments would leave a significant number of health records unprotected.
The safeguards required by this regulation are appropriate for both
paper and electronic information. We will take care to ensure that the
final Security Rule works in tandem with these requirements.
*Comments:* One commenter requested that the final privacy rule be
published before the final Security Rule, recognizing that the privacy
policies must be in place before the security technology used to
implement them could be worked out. Another commenter asked that the
final Security Rule be published immediately and not wait for an
expected delay while privacy policies are worked out.
*Response:* Now that this final privacy rule has been published in a
timely manner, the final Security Rule can be harmonized with it and
published soon.
*Comments:* Several commenters echoed an association recommendation
that, for those organizations that have implemented a computer based
patient record that is compliant with the requirements of the proposed
Security Rule, the minimum necessary rule should be considered to have
been met by the implementation of role-based access controls.
*Response:* The privacy regulation applies to paper records to which the
proposed Security Rule does not apply. Thus, taking the approach
suggested by these comments would leave a significant number of health
records unprotected. Further, since the final Security Rule is not yet
published and the number of covered entities that have implemented this
type of computer-based patient record systems is still small, we cannot
make a blanket statement. We note that this regulation requires covered
entities to develop role-based access rules, in order to implement the
requirements for "minimum necessary" uses and disclosures of protected
health information. Thus, this regulation provides a foundation for the
type of electronic system to which these comments refer.
**Section 164.530(d)---Complaints to the Covered Entity**
*Comment:* Several commenters felt that some form of due process is
needed when it comes to internal complaints. Specifically, they wanted
to be assured that the covered entity actually hears the complaints made
by the individual and that the covered entity resolves the complaint
within a reasonable time frame. Without due process the commenters felt
that the internal complaint process is open ended. Some commenters
wanted the final rule to include an appeals process for individuals if a
covered entity's determination in regards to the complaint is
unfavorable to the individual.
*Response:* We do not require covered entities to implement any
particular due process or appeals process for complaints, because we are
concerned about the burden this could impose on covered entities. We
provide individuals with an alternative to take their complaints to the
Secretary. We believe that this provides incentives for covered entities
to implement a complaint process that resolves complaints to
individuals' satisfaction.
*Comment:* Some commenters felt that the individual making the complaint
should exhaust all other avenues to resolve their issues before filing a
complaint with the Secretary. A number of commenters felt that any
complaint being filed with the Secretary should include documentation of
the reviews done by the covered entity.
*Response:* We reject these suggestions, for two reasons. First, we want
to avoid establishing particular process requirements for covered
entities' complaint programs. Also, this rule does not require the
covered entity to share any information with the complainant, only to
document the receipt of the complaint and the resolution, if any.
Therefore, we cannot expect the complainant to have this information
available to submit to the Secretary. Second, we believe the individual
making the complaint should have the right to share the complaint with
the Secretary at any point in time. This approach is consistent with
existing civil rights enforcement programs for which the Department is
responsible. Based on that experience, we believe that most complaints
will come first to covered entities for disposition.
*Comment:* Some commenters wanted the Department to prescribe a minimum
amount of time before the covered entity could dispose of the
complaints. They felt that storing these complaints indefinitely would
be cumbersome and expensive.
*Response:* We agree, and in the final rule require covered entities to
keep all items that must be documented, including complaints, for at
least six years from the date of creation.
*Comments:* Some commenters objected to the need for covered entities to
have at least one employee, if not more, to deal with complaints. They
felt that this would be costly and is redundant in light of the
designation of a contact person to receive complaints.
*Response:* We do not require assignment of dedicated staff to handle
complaints. The covered entity can determine staffing based on its needs
and business practices. We believe that consumers need one clear point
of contact for complaints, in order that this provision effectively
inform consumers how to lodge complaints and so that the compliant will
get to someone who knows how to respond. The contact person (or office)
is for receipt of complaints, but need not handle the complaints.
**Section 164.530(e)---Sanctions**
*Comment:* Commenters argued that most covered entities already have
strict sanctions in place for violations of a patient's privacy, either
due to current laws, contractual obligations, or good operating
practices. Requiring covered entities to create a formal sanctioning
process would be superfluous.
*Response:* We believe it is important for the covered entity to have
these sanction policies and procedures documented so that employees are
aware of what actions are prohibited and punishable. For entities that
already have sanctions policies in place, it should not be problematic
to document those policies. We do not define the particular sanctions
that covered entities must impose.
*Comment:* Several commenters agreed that training should be provided
and expectations should be clear so that individuals are not sanctioned
for doing things that they did not know were wrong or inappropriate. A
good faith exception should be included in the final rule to protect
these individuals.
*Response:* We agree that employees should be trained to understand the
covered entity's expectations and understand the consequences of any
violation. This is why we are requiring each covered entity to train its
workforce. However, we disagree that a good faith exception is
explicitly needed in the final rule. We leave the details of sanctions
policies to the discretion of the covered entity. We believe it is more
appropriate to leave this judgment to the covered entity that will be
familiar with the circumstances of the violation, rather than to specify
such requirements in the regulation.
*Comment:* Some commenters felt that the sanctions need to reach
business partners as well, not just employees of the covered entities.
These commenters felt all violators should be sanctioned, including
government officials and agencies.
*Response:* All members of a covered entity's workforce are subject to
sanctions for violations, including government officials who are part of
a covered entity's workforce. Requirements for addressing privacy
violations by business associates are discussed in §§ 164.504(e) and
164.530(f).
*Comments:* Many commenters appreciated the flexibility left to the
covered entities to determine sanctions. However, some were concerned
that the covered entity would need to predict each type of violation and
the associated sanction. They argue that, if the Department could not
determine this in the NPRM, then the covered entities should be allowed
to come up with sanctions as appropriate at the time of the violation.
Some commenters wanted a better explanation and understanding of what
HHS' expectation is of when is it appropriate to apply sanctions. Some
commenters felt that the sanctioning requirement is nebulous and
requires independent judgment of compliance; as a result it is hard to
enforce. Offending individuals may use the vagueness of the standard as
an defense.
*Response:* We agree with the commenters that argue that covered
entities should be allowed to determine the specific sanctions as
appropriate at the time of the violation. We believe it is more
appropriate to leave this judgment to the covered entity, because the
covered entity will be familiar with the circumstances of the violation
and the best way to improve compliance.
*Comment:* A commenter felt that the self-imposition of this requirement
is an inadequate protection, as there is an inherent conflict of
interest when an entity must sanction one of its own.
*Response:* We believe it is in the covered entity's best interests to
appropriately sanction those individuals who do not follow the outlined
policies and procedures. Allowing violations to go unpunished may lead
bigger problems later, and result in complaints being registered with
the Department by aggrieved parties and/or an enforcement action.
*Comment:* This provision should cover all violations, not just repeat
violations.
*Response:* We do not limit this requirement to repeat offenses.
**Section 164.530(f)---Duty to Mitigate**
*Comments:* A few commenters felt that any duty to mitigate would be
onerous, especially for small entities. One commenter supported an
affirmative duty to mitigate for employees of the covered entity , as
long as there is no prescribed mitigation policy. One commenter stated
that a requirement for mitigation is unnecessary because any prudent
entity would do it.
Some practitioner organizations as well as a health plan, expressed
concern about the obligation to mitigate in the context of the business
associate relationship. Arguing that it is unnecessary for the
regulation to explicitly extend the duty to mitigate to business
associates, commenters noted that: any prudent entity would discipline a
vendor or employee that violates a regulation; that the matter is best
left to the terms of the contract, and that it is difficult and
expensive for a business associate to have a separate set of procedures
on mitigation for each client/provider. One commenter suggested that the
federal government should fund the monitoring needed to administer the
requirement.
*Response*: Eliminating the requirement to mitigate harm would undermine
the purposes of this rule by reducing covered entities' accountability
to their patients for failure to protect their confidential data. To
minimize burden, we do not prescribe what mitigation policies and
procedures must be implemented. We require only that the covered entity
mitigate harm. We also assume that violations will be rare, and so the
duty to mitigate harm will rarely be triggered. To the extent a covered
entity already has methods for mitigating harm, this rule will not pose
significant burden, since we don\'t require the covered entity to follow
any prescribed method or set of rules.
We also modify the NPRM to impose the duty to mitigate only where the
covered entity has actual knowledge of harm. Further reducing burden,
the rule requires mitigation \"to the extent practicable.\" It does not
require the covered entity to eliminate the harm unless that is
practicable. For example, if protected health information is advertently
provided to a third party without authorization in a domestic abuse
situation, the covered entity would be expected to promptly contact the
patient as well as appropriate authorities and apprize them of the
potential danger .
The harm to the individual is the same, whether the privacy breach was
caused by a member of the covered entity's workforce, or by a
contractor. We believe the cost of this requirement to be minimal for
covered entities that engage in prudent business practices for
exchanging protected health information with their business associates.
*Comment*: A few commenters noted that it is difficult to determine
whether a violation has resulted in a deleterious effect, especially as
the entity cannot know all places to which information has gone and uses
that have been made of it. Consequently, there should be a duty to
mitigate even if a deleterious effect cannot be shown, because the
individual has no other redress.
*Response*: As noted above, this provision only applies if the covered
entity has actual knowledge of the harm, and requires mitigation \"to
the extent practicable.\" The covered entity is expected to take
reasonable steps based on knowledge of where the information has been
disclosed, how it might be used to cause harm to the patient or another
individual, and what steps can actually have a mitigating effect in that
specific situation.
*Comments*: Commenters stated that the language of the regulation was in
some places vague and imprecise thus providing covered entities with
insufficient guidance and allowing variation in interpretation.
Commenters also noted that this could result in inconsistency in
implementation as well as permitting such inconsistency to be used as a
defense by an offending entity. Particular language for which at least
one commenter requested clarification included \"reasonable steps\" and
what is entailed in the duty to mitigate.
*Response*: We considered ways in which we might increase specificity,
including defining \"to the extent practicable\" and \"reasonable
steps\" and relating the mitigating action to the deleterious impact.
While this approach could remove from the covered entity the burden of
decision-making about actions that need to be taken, we believe that
other factors outweighed this potential benefit. Not only would there be
a loss of desirable flexibility in implementation, but it would not be
possible to define \"to the extent practicable\" in a way that makes
sense for all types of covered entities. We believe that allowing
flexibility and judgment by those familiar with the circumstances to
dictate the approach is the best approach to mitigating harm.
**Section 164.530(g)---Refraining from Intimidating or Retaliatory
Acts**
*Comment:* Several commenters stated that the regulation should prohibit
covered entities from engaging in intimidating or retaliatory acts
against any person, not just against the "individual," as proposed. They
suggested adding "or other person or entity" after "any individual."
*Response:* We agree, and allow any person to file a compliant with the
Secretary. "Person" is not limited to natural persons, but includes any
type of organization, association or group such as other covered
entities, health oversight agencies and advocacy groups.
*Comment:* A few commenters suggested deleting this provision in its
entirety. One commenter indicated that the whistleblower and retaliation
provisions could be inappropriately used against a hospital and that the
whistleblower's ability to report numerous violations will result in a
dangerous expansion of liability. Another commenter stated that covered
entities could not take action against an employee who had violated the
employer's privacy provisions if this employee files a complaint with
the Secretary.
Several commenters suggested deleting "in any manner" and "or opposing
any act or practice made unlawful by this subpart" in § 164.522(d)(4).
The commenters indicated that, as proposed, the rule would make it
difficult to enforce compliance within the workforce. One commenter
stated that the proposed 164.522(d)(4) "is extremely broad and may allow
an employee to reveal protected health information to fellow employees,
the media and others (e.g., an employee may show a medical record to a
friend or relative before filing a complaint with the Department). This
commenter further stated that covered entities will "absolutely be
prevented from prohibiting such conduct." One commenter suggested adding
that a covered entity may take disciplinary action against any member of
its work force or any business partner who uses or discloses
individually identifiable health information in violation of this
subpart in any manner other than through the processes set forth in the
regulation.
*Response:* To respond to these comments, we make several changes to the
proposed provision.
First, where the activity does not involve the filing of a complaint
under § 160.306 of this part or participation in an investigation or
proceeding initiated by the government under the rule, we delete the
phrase "in any manner" and add a requirement that the individual's
opposition to "any act or practice" made unlawful by this subpart be in
good faith, and that the expression of that opposition must be
reasonable. Second, we add a requirement that the individual's
opposition to "any act or practice" made unlawful by this subpart must
not involve a disclosure of protected health information that is in
violation of this subpart. Thus, the employee who discloses protected
health information to the media or friends is not protected. In
providing interpretations of the retaliation provision, we will consider
existing interpretations of similar provisions such as the guidance
issued by EEOC in this regard.
**Section 164.530(h)---Waiver of Rights**
There are no comments directly about this section because it was not
included in the proposed rule.
**Section 164.530(i)---Policies and Procedures and §
164.530(j)---Documentation Requirements**
*Comments:* Many of the comments to this provision addressed the costs
and complexity of the regulation as a whole, not the additional costs of
documenting policies and procedures per se. Some did, either implicitly
or explicitly, object to the need to develop and document policies and
procedures as creating excessive administrative burden. Many of these
commenters also asserted that there is a contradiction between the
administrative burden of this provision and one of the statutory
purposes of this section of the HIPAA to reduce costs through
administrative simplification. Suggested alternatives were generally
reliance on existing regulations and ethical standards, or on current
business practices.
*Response:* A specific discussion of cost and burden is found in the
Regulatory Impact Analysis of this final rule.
We do not believe there is a contradiction between the administrative
costs of this provision and of the goal of administrative
simplification. In the Administrative Simplification provisions of the
HIPAA, Congress combined a mandate to facilitate the efficiencies and
cost savings for the health care industry that the increasing use of
electronic technology affords, with a mandate to improve privacy and
confidentiality protections. Congress recognized, and we agree, that the
benefits of electronic commerce can also cause increased vulnerability
to inappropriate access and use of medical information, and so must be
balanced with increased privacy protections. By including the mandate
for privacy standards in section 264 of the HIPAA, Congress determined
that existing regulations and ethical standards, and current business
practices were insufficient to provide the necessary protections.
Congress mandated that the total benefits associated with administrative
simplification must outweigh its costs, including the costs of
implementing the privacy regulation. We are well within this mandate.
*Comments:* Several commenters suggested that the documentation
requirements not be established as a standard under the regulation,
because standards are subject to penalties. They recommend we delete the
documentation standards and instead provide specific guidance and
technical assistance. Several commenters objected to the suggestion in
the NPRM that professional associations assist their members by
developing appropriate policies for their membership. Several
commentators representing professional associations believed this to be
an onerous and costly burden for the associations, and suggested instead
that we develop specific models which might require only minor
modification. Some of these same associations were also concerned about
liability issues in developing such guidelines. One commenter argued
that sample forms, procedures, and policies should be provided as part
of the Final Rule, so that practitioners would not be overburdened in
meeting the demands of the regulations. They urged us to apply this
provision only to larger entities.
*Response:* The purpose of requiring covered entities to develop
policies and procedures for implementing this regulation is to ensure
that important decisions affecting individuals' rights and privacy
interests are made thoughtfully, not on an ad hoc basis. The purpose of
requiring covered entities to maintain written documentation of these
policies is to facilitate workforce training, and to facilitate creation
of the required notice of information practices. We further believe that
requiring written documentation of key decisions about privacy will
enhance accountability, both within the covered entity and to the
Department, for compliance with this regulation.
We do not include more specific guidance on the content of the required
policies and procedures because of the vast difference in the size of
covered entities and types of covered entities' businesses. We believe
that covered entities should have the flexibility to design the policies
and procedures best suited to their business and information practices.
We do not exempt smaller entities, because the privacy of their patients
is no less important than the privacy of individuals who seek care from
large providers. Rather, to address this concern we ensure that the
requirements of the rule are flexible so that smaller covered entities
need not follow detailed rules that might be appropriate for larger
entities with complex information systems.
We understand that smaller covered entities may require some assistance,
and intend to provide such technical assistance after publication of
this rule. We hope to work with professional associations and other
groups that target classes of providers, plans and patients, in
developing specialized material for these groups. Our discussions with
several such organizations indicate their intent to work on various
aspects of model documentation, including forms. Because the
associations' comments regarding concerns about liability did not
provide sufficient details, we cannot address them here.
*Comment:* Many commenters discussed the need for a recognition of
scalability of the policies and procedures of an entity based on size,
capabilities, and needs of the participants. It was noted that the
actual language of the draft regulations under § 164.520 did not address
scalability, and suggested that some scalability standard be formally
incorporated into the regulatory language and not rely solely on the
NPRM introductory commentary.
*Response:* In § 164.530(i)(1) of the final rule, we specify that we
require covered entities to implement policies and procedures that take
into account the size of the covered entity and the types of activities
that relate to protected health information undertaken by the covered
entity.
*Comment:* One commenter objected to our proposal to allow covered
entities to make uses or disclosures not permitted by their current
notice if a compelling reason exists to make the use or disclosure and
the entity documents the reasons and changes its policies within 30 days
of the use or disclosure. The commenter argued that the subjective
language of the regulation might give entities the ability to engage in
*post hoc* justifications for violations of their own information
practices and policies. The commenter suggested that there should be an
objective standard for reviewing the covered entity's reasons before
allowing the covered entity to amend its policies.
*Response:* We eliminate this provision from the final rule. The final
rule requires each covered entity to include in its notice of
information practices a statement of all permitted uses under this rule,
not just those in which the covered entity actually engages in at the
time of that notice.
*Comment:* Some commenters expressed concern that the required retention
period in the NPRM applied to the retention of medical records.
*Response:* The retention requirement of this regulation only applies to
the documentation required by the rule, for example, keeping a record of
accounting for disclosures or copies of policies and procedures. It does
not apply to medical records.
*Comments:* Comments on the six year retention period were mixed. Some
commenters endorsed the six-year retention period for maintaining
documentation. One of the comments stated this retention period would
assist physicians legally. Other commenters believed that the retention
period would be an undue burden. One commenter noted that most State
Board of Pharmacy regulations require pharmacies to keep records for two
years, so the six year retention period would triple document retention
costs.
*Response:* We established the retention period at six years because
this is the statute of limitations for the civil monetary penalties.
This rule does not apply to all pharmacy records, but only to the
documentation required by this rule.
**Section 164.530(k)---Group Health Plans**
There were no comments directly about this section because it was not
included in the proposed rule.
**SECTION 164.532---TRANSITION PROVISIONS**
*Comment:* Commenters urged the Department to clarify whether the "reach
of the transition requirement" is limited to a particular time frame, to
the provider's activities in a particular job, or work for a particular
employer. For example, one commenter questioned how long a nurse is a
covered entity after she moves from a job reviewing files with protected
health information to an administrative job that does not handle
protected health information; or whether an occupational health nurse
who used to transmit first reports of injury to her company's workers'
compensation carrier last year but no longer does so this year because
of a carrier change still is a covered entity.
*Response:* Because this comment addresses a question of enforcement, we
will address it in the enforcement regulation.
*Comment*: Several commenters sought clarification as to the application
of the privacy rule to research already begun prior to the effective
date or compliance date of the final rule. These commenters argued that
applying the privacy rule to research already begun prior the rule's
effective date would substantially overburden IRBs and that the
resulting research interruptions could harm participants and threaten
the reliability and validity of conclusions based upon clinical trial
data. The commenters recommended that the rule grandfather in any
ongoing research that has been approved by and is under the supervision
of an IRB.
*Response*: We generally agree with the concerns raised by commenters.
In the final rule, we have provided that covered entities may rely upon
consents, authorizations, or other express legal permissions obtained
from an individual for a specific research project that includes the
treatment of individuals to use or disclose protected health information
the covered entity obtained before or after the applicable compliance
date of this rule as long as certain requirements are met. These
consents, authorizations, or other express legal permissions may
specifically permit a use or disclosure of individually identifiable
health information for purposes of the project or be a general consent
of the individual to participate in the project. A covered entity may
use or disclose protected health information it created or received
before or after the applicable compliance date of this rule for purposes
of the project provided that the covered entity complies with all
limitations expressed in the consent, authorization, or permission.
In regard to research projects that include the treatment of
individuals, such as clinical trials, covered entities engaged in these
projects will have obtained at least an informed consent from the
individual to participate in the project. In some cases, the researcher
may also have obtained a consent, authorization, or other express legal
permission to use or disclose individually identifiable health
information in a specific manner. To avoid disrupting ongoing research
and because the participants have already agreed to participate in the
project (which expressly permits or implies the use or disclosure of
their protected health information), we have grandfathered in these
consents, authorizations, and other express legal permissions.
It is unlikely that a research project that includes the treatment of
individuals could proceed under the Common Rule with a waiver of
informed consent. However, to the extent such a waiver has been granted,
we believe individuals participating in the project should be able to
determine how their protected health information is used or disclosed.
Therefore, we require researchers engaged in research projects that
include the treatment of individuals who obtained an IRB waiver of
informed consent under the Common Rule to obtain an authorization or a
waiver of such authorization from an IRB or a privacy board under §
164.512(i) of this rule.
If a covered entity obtained a consent, authorization, or other express
legal permission from the individual who is the subject of the research,
it would be able to rely upon that consent, authorization, or
permission, consistent with any limitations it expressed, to use or
disclose the protected health information it created or received prior
to or after the compliance date of this regulation. If a covered entity
wishes to use or disclose protected health information but no such
consent, authorization, or permission exists, it must obtain an
authorization pursuant to § 164.508 or obtain a waiver of authorization
under § 164.512(i). To the extent such a project is ongoing and the
researchers are unable to locate the individuals whose protected health
information they are using or disclosing, we believe the IRB or privacy
board under the criteria set forth in § 164.512(i) will be able to take
that circumstance into account when conducting its review. In most
instances, we believe this type of research will be able to obtain a
waiver of authorization and be able to continue uninterrupted.
*Comment*: Several comments raised questions about the application of
the rule to individually identifiable information created prior to (1)
the effective date of the rule, and (2) the compliance dates of the
rule. One commenter suggested that the rule should apply only to
information gathered after the effective date of the final rule. A drug
manufacturer asked what would be the effect of the rule on research on
records compiled before the effective date of the rule.
*Response*: We disagree with the commenter's suggestion. The
requirements of this regulation apply to all protected health
information held by a covered entity, regardless of when or how the
covered entity obtained the information. Congress required us to adopted
privacy standards that apply to individually identifiable health
information. While it limited the compliance date for health plans,
covered health care providers, and healthcare clearinghouses, it did not
provide similar limiting language with regard to individually
identifiable health information. Therefore, uses and disclosures of
protected health information made by a covered entity after the
compliance date of this regulation must meet the requirements of these
rules. Uses or disclosures of individually identifiable health
information made prior to the compliance date are not affected; covered
entities will not be sanctioned under this rule based on past uses or
disclosures that are inconsistent with this regulation.
Consistent with the definition of individually identifiable health
information in HIPAA, of which protected health information is a subset,
we do not distinguish between protected health information in research
records and protected health information in other records. Thus, a
covered entity's research records are subject to this regulation to the
extent they contain protected health information.
**SECTION 164.534 - EFFECTIVE DATE AND COMPLIANCE DATE**
Section 1175(b)(1)(A) of the Act requires all covered entities other
than small health plans to comply with a standard or implementation
specification "not later than 24 months after the date on which an
initial standard or implementation specification is adopted or
established"; section 1175(b)(1)(B) provides that small health plans
must comply not later than 36 months after that date. The proposed rule
provided, at proposed § 164.524 (which was titled "Effective date"),
that a covered entity was required to be in compliance with the proposed
subpart E not later than 24 months following the effective date of the
rule, except that small health plans were required to be in compliance
not later than 36 months following the effective date of the rule.
The final rules retain these dates in the text of Subpart E, but
denominate them as "compliance dates," to distinguish the statutory
dates from the date on which the rules become effective. The effective
date of the final rules is 60 days following publication in the [Federal
Register]{.underline}.
***Meaning of Effective Date***
*Comment*: A number of commenters expressed confusion about the
difference between the effective date of the rule and the effective date
on which compliance was required (the statutory compliance dates set out
at section 1175(b)(1), summarized above).
*Response*: The Department agrees that the title of proposed § 164.524
was confusing. Similar comments were received on the Transactions Rule.
Those comments were addressed by treating the "effective date" of the
rule as the date on which adoption takes effect (the "Effective Date"
heading at the beginning of the preamble), while the dates provided for
by section 1175(b)(1) of the statute were denominated as "compliance
dates." These changes are reflected in the definition of "compliance
date" in § 160.103 below (initially published as part of the
Transactions Rule) and are also reflected at § 164.524 below. Section
164.524 below has also been reorganized to follow the organization of
the analogous provisions of the Transactions Rule. The underlying
policy, however, remains as proposed.
***Extend the Compliance Date***
*Comment*: Some commenters recommended that the compliance date be
extended. A number of comments objected that the time frame for
compliance with the proposed standards is unrealistically short. It was
pointed out that providers and others would have to do the following,
among other things, prior to the applicable compliance date: assess
their current systems and departments, determine which state laws were
preempted and which were not, update and reprogram computer systems,
train workers, create and implement the required privacy policies and
procedures, and create or update contracts with business partners. One
comment also noted that the task of coming into compliance during the
same time period with the other regulations being issued under HIPAA
would further complicate the task. These comments generally supported an
extension of the compliance dates by one or more years. Other comments
supported extending the compliance dates on the ground that the
complexity of the tasks involved in implementing the regulation would be
a heavy financial burden for providers and others, and that they should
be given more time to comply, in order to spread the associated capital
and workforce costs over a longer period. It was also suggested that
there be provision for granting extensions of the compliance date, based
on some criteria, such as a good faith effort to comply or that the
compliance dates be extended to two years following completion of a
"state-by-state preemption analysis" by the Department.
*Response:* The Secretary acknowledges that covered entities will have
to make changes to their policies and procedures during the period
between the effective date of the rules below and the applicable
compliance dates. The delayed compliance dates which the statute
provides for constitute a recognition of the fact changes will be
required and are intended to permit covered entities to manage and
implement these changes in an orderly fashion. However, because the time
frames for compliance with the initial standards are established by
statute, the Secretary has no discretion to extend them: compliance is
statutorily required "not later than" the applicable compliance date.
Nor do we believe that it would be advisable to accomplish this result
by delaying the effective date of the final rules beyond 60 days. Since
the Transactions Rule is now in effect, it is imperative to bring the
privacy protections afforded by the rules below into effect as soon as
possible. Retaining the delayed effective date of 60 days, as originally
contemplated, will minimize the gap between transactions covered by
those rules and not also afforded protection under the rules below.
***Phase-in Requirements***
*Comment:* Several comments suggested that the privacy standards be
phased in gradually, to ease the manpower and cost burdens of
compliance. A couple of equipment manufacturing groups suggested that
updating of various types of equipment would be necessary for compliance
purposes, and suggested a phased approach to this \-- for example, an
initial phase consisting of preparation of policies, plans, and risk
assessments, a second phase consisting of bringing new equipment into
compliance, and a final phase consisting of bringing existing equipment
into compliance.
*Response*: As noted in the preceding response, section 1175(b)(1) does
not allow the Secretary discretion to change the time frame within which
compliance must be achieved. Congress appears to have intended the
phasing in of compliance to occur during the two-year compliance period,
not thereafter.
***Compliance Gap Vis-à-Vis State Laws and Small Health Plans***
*Comment:* Several comments stated that, as drafted, the preemption
provisions would be effective as of the rule's effective date (i.e., 60
days following publication), even though covered entities would not be
required to comply with the rules for at least another two years.
According to these comments, the "preempted" state laws would not be in
effect in the interim, so that the actual privacy protection would
decrease during that period. A couple of comments also expressed concern
about how the preemption provisions would work, given the one-year
difference in applicable compliance dates for small health plans and
other covered entities. A state medical society pointed out that this
gap would also be very troublesome for providers who deal with both
"small health plans" and other health plans. One comment asked what
entities that decided to come into compliance early would have to do
with respect to conflicting state laws and suggested that, since all
parties "need to know with confidence which laws govern at the moment,
\... \[t\]here should be uniform effective dates."
*Response:* We agree that clarification is needed with respect to the
applicability of state laws in the interim between the effective date
and the compliance dates. What the comments summarized above appeared to
assume is that the preemption provisions of section 1178 operate to
broadly and generally invalidate any state law that comes within their
ambit. We do not agree that this is the effect of section 1178. Rather,
what section 1178 does - where it acts to preempt - is to preempt the
state law in question with respect to the actions of covered entities to
which the state law applies. Thus, if a provision of state law is
preempted by section 1178, covered entities within that state to which
the state law applies do not have to comply with it, and must instead
comply with the contrary federal standard, requirement, or
implementation specification. However, as compliance with the contrary
federal standard, requirement, or implementation specification is not
required until the applicable compliance date, we do not view the state
law in question as meeting the test of being "contrary." That is, since
compliance with the federal standard, requirement, or implementation
standard is not required prior to the applicable compliance date, it is
possible for covered entities to comply with the state law in question.
See § 160.202 (definition of "contrary"). Thus, since the state law is
not "contrary" to an applicable federal standard, requirement, or
implementation specification in the period before which compliance is
required, it is not preempted.
Several implications of this analysis should be spelled out. First, one
conclusion that flows from this analysis is that preemption is specific
to covered entities and does not represent a general invalidation of
state law, as suggested by many commenters. Second, because preemption
is covered entity-specific, preemption will occur at different times for
small health plans than it will occur for all other covered entities.
That is, the preemption of a given state law for a covered entity, such
as a provider, that is covered by the 24-month compliance date of
section 1175(b)(1)(A) will occur 12 months earlier than the preemption
of the same state law for a small health plan that is covered by the
36-month compliance date of section 1175(b)(1)(B). Third, the preemption
occurs only for covered entities; a state law that is preempted under
section 1178(a)(1) would not be preempted for persons and entities to
which it applies who are not covered entities. Thus, to the extent
covered entities or non-covered entities follow the federal standards on
a voluntary basis (i.e., the covered entity prior to the applicable
compliance date, the non-covered entity at any time), the state law in
question will not be preempted for them.
***Small Health Plans***
*Comment:* Several comments, pointing to the "Small Business" discussion
in the preamble to the proposed rules, applauded the decision to extend
the compliance date to three years for small businesses. It was
requested that the final rules clarify that the three year compliance
date applies to small doctors offices and other small entities, as well
as to small health plans.
*Response:* We recognize that our discussion in the preamble to the
proposed rules may have suggested that more covered entities came within
the 36 month compliance date than is in fact the case. Again, this is an
area in which we are limited by statute. Under section 1175(b) of the
Act, only small health plans have three years to come into compliance
with the standards below. Thus, other "small businesses" that are
covered entities must comply by the two-year compliance date.
***Coordination with the Security Standard***
*Comment:* Several comments suggested that the security standard be
issued either with or after the privacy standards. It was argued that
both sets of standards deal with protecting health information and will
require extensive personnel training and revisions to business
practices, so that coordinating them would make sense. An equipment
manufacturers group also pointed out that it would be logical for
covered entities and their business partners to know what privacy
policies are required in purchasing security systems, and that "the
policies on privacy are implemented through the security standards
rather than having already finalized security standards drive policy."
*Response:* We agree with these comments, and are making every effort to
coordinate the final security standards with the privacy standards
below. The privacy standards below are being published ahead of the
security standards, which is also responsive to the stated concerns.
***Prospective Application***
*Comment*: Several comments raised questions about the application of
the rule to individually identifiable information created prior to (1)
the effective date of the rule, and (2) the compliance dates of the
rule. One provider group suggested that the rule should apply only to
information gathered after the effective date of the final rule. A drug
manufacturer asked what would be the effect of the rule on research on
records compiled before the effective date of the rule.
*Response*: These comments are addressed in connection with the
discussion of § 164.532 above.
**IMPACT ANALYSES**
**Cost/Benefit Analysis**
*Comment:* Many commenters made general statements to the effect that
the cost estimates for implementing the provisions of the proposed
regulation were incomplete or greatly understated.
*Response:* The proposal, including the cost analysis, is, in effect, a
first draft. The purpose of the proposal was to solicit public comment
and to use those comments to refine the final regulation. As a result of
the public comment, the Department has significantly refined our initial
cost estimates for implementing this regulation. The cost analysis below
reflects a much more complete analysis of the major components of the
regulation than was presented in the proposal.
*Comment:* Numerous commenters noted that significant areas of potential
cost had not been estimated and that if they were estimated, they would
greatly increase the total cost of the regulation. Potential cost areas
identified by various respondents as omitted from the analyses include
the minimum disclosure requirements; the requisite monitoring by covered
entities of business partners with whom they share private health
information; creation of de-identified information; internal complaint
processes; sanctions and enforcement; the designation of a privacy
official and creation of a privacy board; new requirements for
research/optional disclosures; and future litigation costs.
*Response:* We noted in the proposed rule that we did not have data from
which to estimate the costs of many provisions, and solicited comments
providing such data. The final analysis below reflects the best estimate
possible for these areas, based on the information available. The data
and the underlying assumptions are explained in the cost analysis
section below.
*Comment:* A number of comments suggested that the final regulation be
delayed until more thorough analyses could be undertaken and completed.
One commenter stated that the Department should refrain from
implementing the regulation until a more realistic assessment of costs
could be made and include local governments in the process. Similarly, a
commenter requested that the Department assemble an outside panel of
health industry experts, including systems analysts, legal counsel, and
management consultants to develop stronger estimates.
*Response:* The Department has engaged in extensive research, data
collection and fact-finding to improve the quality of its economic
analysis. This has included comments from and discussions with the kinds
of experts one commenter suggested. The estimates represent a reasonable
assessment of the policies proposed.
*Comment:* Several commenters indicated that the proposed regulation
would impose significant new costs on providers' practices. Furthermore,
they believe that it runs counter to the explicit statutory intent of
HIPAA's Administrative Simplification provisions which require that "any
standard adopted . . . shall be consistent with the objective of
reducing the administrative costs of providing and paying for health
care."
*Response:* As the Department explained in the Transactions Rule, this
provision applies to the administrative simplification regulations of
HIPAA in the aggregate. The Transactions Rule is estimated to save the
health care system \$29.9 billion in nominal dollars over ten years.
Other regulations published pursuant to the administrative
simplification authority in HIPAA, including the privacy regulation,
will result in costs, but these costs are within the statutory directive
so long as they do not exceed the \$29.9 billion in estimated savings.
Furthermore, as explained in the Transactions Rule, and the preamble to
this rule, assuring privacy is essential to sustaining many of the
advances that computers will provide. If people do not have confidence
that their medical privacy will be protected, they will be much less
likely to allow their records to be used for any purpose or might even
avoid obtaining necessary medical care.
*Comment:* Several commenters criticized the omission of aggregate,
quantifiable benefit estimates in the proposed rule. Some respondents
argued that the analysis in the proposed rule used "de minimus" cost
estimates to argue only that benefits would certainly exceed such a low
barrier. These commenters further characterized the benefits analysis in
the Notice of Proposed Rulemaking as "hand waving" used to divert
attention from the fact that no real cost-benefit comparison is
presented. Another commenter stated that the benefit estimates rely
heavily on anecdotal and unsubstantiated inferences. This respondent
believes that the benefit estimates are based on postulated, but largely
unsubstantiated causal linkages between increased privacy and earlier
diagnosis and medical treatment.
*Response:* The benefits of privacy are diffused and intangible but
real. Medical privacy is not a good people buy or sell in a market;
therefore, it is very difficult to quantify. The benefits discussion in
the proposal reflects this difficulty. The examples presented in the
proposal were meant to be illustrative of the benefits based on a few
areas of medicine where some relevant data was available. Unfortunately,
no commenters provided either a better methodological approach or better
data for assessing the overall benefits of privacy. Therefore, we
believe the analysis in the proposal represents a valid illustration of
the benefits of privacy, and we do not believe it is feasible to provide
an overall dollar estimate of the benefits of privacy in the aggregate.
*Comment:* One commenter criticized the benefit analysis as being
incomplete because it did not consider the potential cost of new
treatments that might be engendered by increased confidence in medical
privacy resulting from the regulation.
*Response:* There is no data or model to reliably assess such long-term
behavioral and scientific changes, nor to determine what portion of the
increasingly rapid evolution of new improved treatments might stem from
improved privacy protections. Moreover, to be complete, such analysis
would have to include the savings that might be realized from earlier
detection and treatment. It is not possible at this time to project the
magnitude or even the direction of the net effects of the response to
privacy that the commenter suggests.
**Scope of the Regulation**
*Comment:* Numerous commenters noted the potential cost and burden of
keeping track in medical records of information which had been
transmitted electronically, which would be subject to the rule, as
opposed to information that had only been maintained in paper form.
*Response:* This argument was found to have considerable merit and was
one of the reasons that the Department concluded that the final
regulation should apply to all medical records maintained by covered
entities, including information that had never been transmitted
electronically. The costs analysis below reflects the change in scope.
**Notice Requirements**
*Comment:* Several commenters expressed their belief that the
administrative and cost burdens associated with the notice requirements
were understated in the proposed rule. While some respondents took issue
with the policy development cost estimates associated with the notice,
more were focused on its projected implementation and production costs.
For example, one respondent stated that determining "first service"
would be an onerous task for many small practices, and that provider
staff will now have to manually review each patient's chart or access a
computer system to determine whether the patient has been seen since
implementation of the rule.
*Response:* The policy in the final rule has been changed to make the
privacy policy notice to patients less burdensome. Providers will be
able to distribute the notice when a patient is seen and will not have
to distribute it to a patient more than once, unless substantive changes
are made in the notice. This change will significantly reduce the cost
of distributing the privacy notices.
*Comment:* Some commenters also took issue with the methodology used to
calculate the cost estimates for notices. These respondents believe that
the survey data used in the proposed rule to estimate the costs (i.e.,
"encounters," "patients," and "episodes" per year) are very different
concepts that, when used together, render the purported total
meaningless. Commenters further stated that they can verify the estimate
of 543 million patients cited as being seen at least once every five
years.
*Response:* In the course of receiving treatment, a patient may go to a
number of medical organizations. For example, a person might see a
doctor in a physician's office, be admitted to a hospital, and later go
to a pharmacy for medication. Each time a person "encounters" a
facility, a medical record may be started or additions made to an
existing record. The concept in the proposal was to identify the number
of record sets that a person might have for purposes of estimating
notice and copying costs. For example, whether a person made one or ten
visits in the course of a year to a specific doctor would, for our
purposes, be one record set because in each visit the doctor would most
likely be adding information to an existing medical record. The comments
demonstrated that we had not explained the concept well. As explained
below we modified the concept to more effectively measure the number of
record sets that exist and explain it more clearly.
*Comment:* Several commenters criticized the lack of supporting evidence
for the cost estimates of notice development and dissemination. Another
opinion voiced in the comments is that the estimated cost for plans of
\$0.75 per insured person is so low that it may cover postage, but it
cannot include labor and capital usage costs.
*Response:* Based on comments and additional fact finding, the
Department was able to gain a better understanding of how covered
entities would develop policies and disseminate information. The cost
analysis below explains more fully how we derived the final cost
estimates for these areas.
*Comment:* A commenter noted that privacy policy costs assume that
national associations will develop privacy policies for members but HHS
analysis does not account for the cost to the national associations. A
provider cost range of \$300-\$3,000 is without justification and seems
low.
*Response:* The cost to the national associations was included in the
proposal estimates, and it is included in the final analysis (see
below).
*Comment:* A commenter states that the notice costs discussion mixes the
terms "patients", "encounters" and "episodes" and 397 million encounter
estimate is unclear.
*Response:* A clearer explanation of the concepts employed in this
analysis is provided below.
**Systems Compliance Costs**
*Comment*: Numerous commenters questioned the methodology used to
estimate the systems compliance cost and stated that the ensuing cost
estimates were grossly understated. Some stated that the regulation will
impose significant information technology costs to comply with
requirement to account for disclosures, additional costs for hiring new
personnel to develop privacy policies, and higher costs for training
personnel.
*Response:* Significant comments were received regarding the cost of
systems compliance. In response, the Department retained the assistance
of consultants with extensive expertise in health care information
technology. We have relied on their work to revise our estimates, as
described below. The analysis does not include "systems compliance" as a
cost item, per se. Rather, in the final analysis we organized estimates
around the major policy provisions so the public could more clearly see
the costs associated with them. To the extent that the policy might
require systems changes (and a number of them do), we have incorporated
those costs in the provision's estimate.
*Comment:* Items explicitly identified by commenters as significantly
adding to systems compliance costs include tracking disclosures of
protected health information and patient authorizations; restricting
access to the data; accommodating minimum disclosure provisions;
installing notices and disclaimers; creating de-identified data;
tracking uses of protected health information by business partners;
tracking amendments and corrections; increased systems capacity; and
annual systems maintenance. The commenters noted that some of the
aforementioned items are acknowledged in the proposed rule as future
costs to covered entities, but several others are singularly ignored.
*Response:* The Department recognizes the validity of much of this
criticism. Unfortunately, other than general criticism, commenters
provided no specific data or methodological information which might be
used to improve the estimates. Therefore, the Department retained
consultants with extensive expertise in these areas to assess the
proposed regulation, which helped the Department refine its policies and
cost estimates.
In addition, it is important to note that the other HIPAA administrative
simplification regulations will require systems changes. As explained
generally in the cost analysis for the electronic Transactions rule, it
is assumed that providers and vendors will undertake systems changes for
these regulations collectively, thereby minimizing the cost of changes.
**Inspection and Copying**
*Comment:* Numerous commenters disagreed with the cost estimates in the
NPRM for inspection and copying of patient records, believing that they
were too low.
*Response:* The Department has investigated the potential costs through
a careful reading of the comments and subsequent factfinding discussions
with a variety of providers. We believe the estimates, explained more
fully below, represent a reasonable estimate in the aggregate. It is
important to note, however, that this analysis is not measuring the cost
of all inspection and copying because a considerable amount of this
already occurs. The Department is only measuring the incremental
increase likely to occur as a result of this regulation.
*Comment:* One commenter speculates that, even at a minimum charge of
\$.50/page, (and not including search and retrieval charges), costs
could run as high as \$450 million annually.
*Response:* The \$0.50 per page in the proposal represent an average of
several data sources. Subsequently, an industry commenter, which
provided extensive medical records copying, stated that this was a
reasonable average cost. Hence, we retained the number for the final
estimate.
*Comment:* One respondent states that, since the proposed rules give
patients the right to inspect and copy their medical records regardless
of storage medium, HHS must make a distinction in its cost estimates
between records stored electronically and those which must be accessed
by manual means, since these costs will differ.
*Response:* The cost estimates made for regulations are not intended to
provide such refined gradations; rather, they are intended to show the
overall costs for the regulation as a whole and its major components.
For inspections and copying (and virtually all other areas for which
estimates are made) estimates are based on averages; particular
providers may experience greater or lesser costs than the average cost
used in this analysis.
*Comment:* Several commenters noted that the Department did not appear
to include the cost of establishing storage systems, retrieval fees and
the cost of searching for records, and that these costs, if included,
would significantly increase the Department's estimate.
*Response:* Currently, providers keep and maintain medical records and
often provide copies to other providers and patients. Therefore, much of
the cost of maintaining records already exists. Indeed, based on public
comments, the Department has concluded that there will be relatively few
additional copies requested as the result of this regulation (see
below). We have measured and attributed to this regulation the
incremental cost, which is the standard for conducting this kind of
analysis.
*Comment:* A federal agency expressed concern over the proposal to allow
covered entities to charge a fee for copying personal health information
based on reasonable costs. The agency requests personal health
information from many covered entities and pays a fee that it
establishes. Allowing covered entities to establish the fee, the agency
fears, may cost them significantly more than the current amounts they
pay and as a result, could adversely affect their program.
*Response:* The proposal and the final rule establish the right to
access and copy records only for individuals, not other entities; the
"reasonable fee" is only applicable to the individual's request. The
Department's expectation is that other existing practices regarding
fees, if any, for the exchange of records not requested by an individual
will not be affected by this rule.
**Appending Records (Amendment and Correction)**
*Comment:* The proposed rule estimated the cost of amending and
correcting patients' records at \$75 per instance and \$260 million per
year for small entities. At least one commenter stated that such
requests will rise significantly upon implementation of the regulations
and increase in direct proportion to the number of patients served.
Another commenter described the more subtle costs associated with record
amendment and correction, which would include a case-by-case clinical
determination by providers on whether to grant such requests, forwarding
the ensuing record changes to business partners, and issuing written
statements to patients on the reasons for denials, including a recourse
for complaints.
*Response:* The comments were considered in revising the proposal, and
the decision was made to clarify in the final regulation that providers
must only append the record (the policy is explained further in the
preamble and the regulation text). The provider is now only required to
note in the medical record any comments from the patient; they may, but
are not required to, correct any errors. This change in policy
significantly reduces the cost from the initial proposal estimate.
*Comment:* Several commenters criticized the proposed rule's lack of
justification for assumptions regarding the percentage of patients who
request inspection and copying, who also request amendment and
correction. Another commenter pointed out that the cost estimate for
amendment and correction is dependent on a base assumption that only 1.5
percent of patients will request inspection of their records. As such,
if this estimate were too low by just one percentage point, then the
estimates for inspection and copying plus the costs for amendment and
correction could rise by 67 percent.
*Response:* Based on information and data received in the public
comments, the estimate for the number of people requesting inspection
and copying has been revised. No commenter provided specific information
on the number of amended record requests that might result, but the
Department subsequently engaged in fact-finding and made appropriate
adjustments in its estimates. The revisions are explained further below.
**Consent and Authorizations**
*Comment:* One respondent indicated that the development, collection,
and data entry of all the authorizations will create a new transaction
type for employers, health plans, and providers, and result in
duplicated efforts among them. This commenter estimates that the costs
of mailing, re-mailing, answering inquiries, making outbound calls and
performing data entry in newly created authorization computer systems
could result in expenses of close to \$2.0 billion nationally. Another
commenter indicated that authorization costs will be at least double the
notice dissemination costs due to the cost of both outbound and return
postage.
*Response:* Public commenters and subsequent factfinding clearly
indicate that most providers with patient contact already obtain
authorizations for release of records, so for them there is virtually no
new cost. Further, this comment does not reflect the actual regulatory
requirement. For example, there is no need to engage in mailing and
re-mailing of forms, and we do not foresee any reason why there should
be any significant calls involved.
*Comment:* A commenter criticized the percentage (1%) that we used to
calculate the number of health care encounters expected to result in
requests to withhold the release of protected information. This
respondent postulates that even if one in six patients who encounter the
U.S. health care system opt to restrict access to their records, the
total expected national cost per year could rise to \$900 million.
*Response:* The final regulation requirements regarding the release of
protected health information has been substantially changed, thereby
greatly reducing the potential cost burden. A fuller explanation of the
cost is provided below in the regulatory impact analysis.
*Comment:* An additional issue raised by commenters was the added cost
of seeking authorizations for health promotion and disease management
activities, health care operations that traditionally did not require
such action.
*Response:* In the final regulation, a covered entity can use medical
information collected for treatment or operations for its own health
promotion and disease management efforts without obtaining additional
authorization. Therefore, there is no additional cost incurred.
**Business Associates**
*Comment:* A number of commenters were concerned about the cost of
monitoring business partners. Specifically, one commenter stated that
the provisions of the proposed regulation pertaining to business
partners would likely force the discontinuation of outsourcing for some
functions, thereby driving up the administrative cost of health care.
*Response:* The final regulation clarifies the obligations of the
business associates in assuring privacy. As explained in the preamble,
business associates must take reasonable steps to assure confidentiality
of health records they may have, and the covered entity must take
appropriate action if they become aware of a violation of the agreement
they have with the business associate. This does not represent an
unreasonable burden; indeed, the provider is required to take the same
kind of precautions and provide the same kind of oversight that they
would in many other kinds of contractual relationships to assure they
obtain the quality and level of performance that they would expect from
a business associate.
*Comment:* HHS failed to consider enforcement costs associated with
monitoring partners and litigation costs arising from covered entities
seeking restitution from business partners whose behavior puts the
covered entity at risk for noncompliance.
*Response:* The Department acknowledged in the proposal that it was not
estimating the cost of compliance with the business associates provision
because of inadequate information. It requested information on this
issue, but no specific information was provided in the comments.
However, based on revisions in the final policy and subsequent
factfinding, the Department has provided an estimate for this
requirement, as explained below.
**Training**
*Comment:* Many of the commenters believe that the Department used
unrealistic assumptions in the development of the estimated cost of the
training provisions and they provided their own estimates.
*Response:* The commenters' estimates varied widely, and could not be
used by the Department in revising its analysis because there was
inadequate explanation of how the estimates were made.
*Comment:* Several commenters argued that if even an hour of time of
each of the entity's employees is spent on training instead of "work"
and they are paid the minimum wage, an entity would incur \$100 of cost
for training no more than 20 employees. The commenters noted that the
provision of health care services is a labor-intensive enterprise, and
many covered entities have thousands of employees, most of whom make
well in excess of minimum wage. They questioned whether the estimates
include time taken from the employee's actual duties (opportunity cost)
and the cost of a trainer and materials.
*Response:* As explained in more detail below, the Department made
extensive revisions in its training estimate, including the number of
workers in the health care sector, the cost of workers in training based
on average industry wages, and training costs (instructors and
materials). The revised estimate is a more complete and accurate
estimate of the costs likely to be borne as a result of the final
regulation.
*Comment:* One commenter estimated that simply training an employee
could have a burdensome impact on his company. He argued, for example, a
10-hour annual requirement takes 0.5% of an employee's time if they work
a 2000-hour year, but factoring in sick and vacation leave, the effects
of industry turnover could significantly increase the effect.
*Response:* In the analysis below, the Department has factored in
turnover rates, employment growth and greater utilization based on data
obtained from broad-based surveys and a public comment.
*Comment:* Some commenters felt that the regulatory training provisions
are overly burdensome. Specific concerns centered around the requirement
to train all individuals who may come in contact with protected health
information and the requirement to have such individuals sign a new
certifying statement at least every three years. Some commenters felt
that the content of the training program should be left to the
discretion of the covered entity.
*Response:* Changes and clarifications in the training requirements are
made in the final regulation, explained below. For example, the
certification requirement has been eliminated. As in the NPRM, the
content of the training program is left to the discretion of the covered
entity. These changes are expected to lessen the training burden and are
reflected in the final cost estimates.
**Compliance and Enforcement**
*Comment:* A Member of Congress and a number of privacy and consumer
groups expressed their concern with whether the Office for Civil Rights
(OCR) in HHS has adequate funding to carry out the major responsibility
of enforcing the complaint process established by this rule. The Member
stated that \"\[d\]ue to the limited enforcement ability allowed for in
this rule by HIPAA, it is essential that OCR have the capacity to
enforce the regulations. Now is the time for The Secretary to begin
building the necessary infrastructure to enforce the regulation
effectively.\"
*Response:* The Secretary agrees with the commenters and is committed to
an effective enforcement program. We will work with Congress to ensure
that the Department has the necessary funds to secure voluntary
compliance through education and technical assistance, to investigate
complaints and conduct compliance reviews, to provide states with
exception determinations and to use civil and criminal penalties when
necessary.
**Economic Effect on Small Entities**
*Comment:* Many commenters stated that the cost estimates on the effect
of the proposed regulation on small businesses were understated or
incomplete.
*Response:* The Department conducted a thorough review of potential data
sources that would improve the quality of the analysis of the effects on
small business. The final regulatory flexibility analysis below is based
on the best data available (much of it from the Small Business
Administration) and represents a reliable estimate for the effects on
small entities in various segments of the health care industry. It is
important to note that the estimates are for small business segments in
the aggregate; the cost to individual firms will vary, perhaps
considerably, based on its particular circumstances.
*Comment:* The cost of implementing privacy regulations, when added to
the cost of other required HIPAA regulations, could increase overhead
significantly. As shown in the 1993 Workgroup on Electronic Data
Interchange (WEDI) Report, providers will bear the larger share of
implementation costs and will save less than payors.
*Response:* The regulatory flexibility analysis below shows generally
the marginal effect of the privacy regulation on small entities.
Collectively, the HIPAA administrative standards will save money in the
health care system. As important, given the rapid expansion of
electronic commerce, it is probable that small entities would need to
comply with standards for electronic commerce in order to complete
effectively, even if the standards were voluntary. The establishment of
uniform standards through regulation help small entities because they
will not have to invest in multiple systems, which is what they would
confront if they system remained voluntary.
*Comment:* One respondent believed that the initial and ongoing costs
for small provider offices could be as much as 11 times higher than the
estimates provided in the proposed rule. Other commenters stated that
the estimates for small entities are "absurdly low".
*Response:* Although there were a number of commenters highly critical
of the small business analysis, none provided alternative estimates or
even provided a rationale for their statements. Many appeared to assume
that *all* costs associated with medical record confidentiality should
be estimated. This represents a misunderstanding of the purpose of the
analysis: to estimate the incremental effects of this regulation, i.e.,
the new costs (and savings) that will result from changes required by
the regulation. The Department has made substantial changes in the final
small entities analysis (below), reflecting policy changes in the final
rule and additional information and data collected by the Department
since the issuance of the proposal last fall. We believe that these
estimates reasonably reflect the costs that various types of small
entities will experience in general, though the actual costs of
particular providers might vary considerably based on their current
practices and technology.
*Comment*: A respondent expressed the belief that small providers would
bear a disproportionate share of the regulation's administrative burden
because of the likelihood of larger companies incurring fewer marginal
costs due to greater in-house resources to aid in the legal and
technical analysis of the proposed rule.
*Response:* As explained below, the Department does not agree with the
assertion that small entities will be disproportionately affected. Based
on discussions with a number of groups, the Department expects many
professional and trade associations to provide their members with
analysis of the regulation, including model policies, statements and
basic training materials. This will minimize the cost for most small
entities. Providers that use protected health information for voluntary
practices, such as marketing or research, are more likely to need
specific legal and technical assistance, but these are likely to be
larger providers.
*Comment:* Several commenters took issue with the "top-down" approach
that we used to estimate costs for small businesses, believing that this
methodology provided only a single point estimate, gave no indication of
the variation around the estimate, and was subject to numerous
methodological errors since the entities to which the numerator
pertained may not have been the same as the denominator. These
respondents further recommended that we prepare a "bottom-up" analysis
using case studies and/or a survey of providers to refine the estimates.
*Response:* The purpose of the regulatory flexibility analysis is to
provide a better insight into the relative burden of small businesses
compared to larger firms in complying with a regulation. There may be
considerable variance around average costs within particular industry
sectors, even among small businesses within them. The estimates are
based on the best data available, including information from the Small
Business Administration, the Census Bureau, and public comments.
*Comment:* A commenter stated that the proposal's cost estimate does not
account for additional administrative costs imposed on physicians, such
as requirements to rewrite contracts with business partners.
*Response:* Such costs are included in the analysis below.
*Comment:* Numerous public comments were directed specifically at the
systems compliance cost estimates for small businesses. One respondent
maintained that the initial upgrade cost alone would range from \$50
thousand to more than \$1 million per covered entity.
*Response:* The cost estimates for systems compliance varied enormously;
unfortunately, none of the commenters provided documentation of how they
made their estimates, preventing us from comparing their data and
assumptions to the Department's. Because of concern about the costs in
this area, however, the Department retained an outside consultant to
provide greater expertise and analysis. The product of this effort has
been incorporated in the analysis below.
*Comment:* One commenter stated that just the development and
documentation of new health information policies and procedures (which
would require an analysis of the federal regulations and state law
privacy provisions), would cost far more than the \$396 cited in the
Notice of Proposed Rulemaking as the average start-up cost for small
businesses.
*Response:* As explained below in the cost analysis, the Department
anticipates that most of the policies and procedures that will be
required under the final rule will be largely standardized, particularly
for small businesses. Thus, much of the work and cost can be done by
trade associations and professional groups, thereby minimizing the costs
and allowing it to be spread over a large membership base.
*Comment:* A number of comments criticized the initial estimates for
notices, inspection and copying, amendments and correction, and training
as they relate to small businesses.
*Response:* The Department has made substantial revisions in its
estimates for all of these areas which is explained below in the
regulatory flexibility analysis.
*Comment:* One commenter noted that there appeared to be a discrepancy
in the number of small entities cited. There is no explanation for the
difference and no explanation for difference between "establishments"
and "entities."
*Response:* There are discrepancies among the data bases on the number
of "establishments" and "entities" or "firms". The problem arises
because most surveys count (or survey) establishments, which are
physical sites. A single firm or entity may have many establishments.
Moreover, although an establishment may have only a few employees, the
firm may have a large number of workers (the total of all its various
establishments) and therefore not be a small entity.
As discussed below, there is some discrepancy between the aggregate
numbers we use for the regulatory impact analysis (RIA) and the
regulatory flexibility analysis (RFA). We concluded that for purposes of
the RFA, which is intended to measure the effects on small entities, we
would use Small Business Administration data, which defines entities
based on revenues rather than physical establishments to count the
number of small entities in various SIC. This provides a more accurate
estimate of small entities affected. For the RIA, which is measuring
total effects, we believe the establishment based surveys provide a more
reliable count.
*Comment:* Because small businesses must notify patients of their
privacy policies on patients' first visit after the effective date of
the regulation, several commenters argued that staff would have to
search records either manually or by computer on a daily basis to
determine if patients had been seen since the regulation was
implemented.
*Response:* Under the final regulation, all covered entities will have
to provide patients copies of their privacy policy at the first visit
after the effective date of the regulation. The Department does not view
this as burdensome. We expect that providers will simply place a note or
marker at the beginning of a file (electronic or paper) when a patient
is given the notice. This is neither time-consuming nor expensive, and
it will not require constant searches of records.
*Comment:* A commenter stated that the definitions of small business,
small entity, and a small health plan are inconsistent because the NPRM
includes firms with annual receipts of \$5 million or less and
non-profits.
*Response:* The Small Business Administration, whose definitions we use
for this analysis, includes firms with \$5 million or less in receipts
and all non-profits as "small businesses." We recognize that some health
plans, though very large in terms of receipts (and insured lives),
nonetheless would be considered "small businesses" under this definition
because they are non-profits. In the final regulatory flexibility
analysis, we generally have maintained the Small Business Administration
definitions because it is the accepted standard for these analyses.
However, we have added several categories, such as IRBs and employer
sponsored group health plans, which are not small entities, per se, but
will be effected by the final rule and we were able to identify costs
imposed by the regulation on them.
*Comment:* The same commenter wanted clarification that all non-profit
organizations are small entities and that the extended effective date
for compliance applies to them.
*Response:* For purposes of the regulatory flexibility analysis, the
Department is utilizing the Small Business Administration guidelines.
However, under HIPAA the Secretary may extend the effective compliance
date from 24 months to 36 months for "small health plans". The Secretary
is given the explicit discretion of defining the term for purposes of
compliance with the regulation. For compliance purposes, the Secretary
has decided to define "small health plans" as those with receipts of \$5
million or less, regardless of their tax status. As noted above, some
non-profit plans are large in terms of revenues (i.e., their revenues
exceed \$5 million annually). The Department determined that such plans
do not need extra time for compliance.
*Comment:* Several commenters requested that "small providers"
\[undefined\] be permitted to take 36 months to come into compliance
with the final regulation, just as small health plans will be permitted
to do so.
*Response:* Congress specified small health plans, but not small
providers, as needing extra time to comply. The majority of providers
affected by the regulation are "small", based on the SBA definitions; in
other words, granting the delay would be tantamount to make the
effective date three years rather than two. In making policy decisions
for the final regulation, extensive consideration was given to
minimizing the cost and administrative burden associated with
implementing the rule. The Department believes that the requirements of
the final rule will not be difficult to fulfill, and therefore, it has
maintained the two year effective date.
**External Studies**
*Comment:* One commenter submitted a detailed analysis of privacy
legislation that was pending and concluded that they might cost over
\$40 billion.
*Response*: The study did not analyze the policies in the proposal, and
therefore, the estimates do not reflect the costs that would have been
imposed by the proposed regulation. In fact, the analysis was prepared
before the Administration's proposed privacy regulation was even
published. As a result, the analysis is of limited relevance to the
regulation actually proposed.
The following are examples of assumptions and costs in the analysis that
do not match privacy policies or requirements stated in the proposed
rule.
1\. Authorizations: The study assumed rules requiring new authorizations
from current subscribers to use their data for treatment, payment of
claims, or other health plan operations. The proposed rule would have
prohibited providers or plans from obtaining patient authorization to
use data for treatment, payment or health care operations, and the final
rule makes obtaining consent for these purposes voluntary for all health
plans and for providers that do not have direct treatment relationships
with individuals.
2\. Disclosure History: The study assumes that providers, health plans,
and clearinghouses would have to track all disclosures of health
information. Under the NPRM and the final rule, plans, providers and
clearinghouses are only required to account for disclosures that are not
for treatment, payment, and health care operations, a small minority of
all disclosures.
3\. Inspection, Copying, and Amendment: The study assumed requirements
to allow patients and their subscribers to inspect, copy, and amend all
information that includes their name, social security number or other
identifying feature (e.g. customer service calls, internal memorandum,
claim runs). However, the study assumed broader access than provided in
the rule, which requires access only to information in records used to
make decisions about individuals, not all records with identifiable
information.
4\. Infrastructure development: The study attributed significant costs
to infrastructure implementation of (computer systems, training, and
other compliance costs). As explained below, the compliance requirements
are much less extensive than assumed in this study. For example, many
providers and plans will not be required to modify their privacy systems
but will only be required to document their practices and notify
patients of these practices, and others will be able to purchase
low-cost, off-the-shelf software that will facilitate the new
requirements. The final regulation will not require massive capital
expenditures; we assumed, based on our consultants' work, that providers
will rely on low-cost incremental adjustments initially, and as their
technology becomes outdated, they will replace it with new systems that
incorporate the HIPAA standard requirements.
Although many of the policy assumptions in the study are fundamentally
different than those in the proposed or final regulation, the study did
provide some assistance to the Department in preparing its final
analysis. The Department compared data, methodologies and model
assumptions, which helped us think more critically about our own
analysis and enhanced the quality of our final work.
*Comment:* One commenter submitted a detailed analysis of the NPRM
Regulatory Impact Analysis and concluded that it might cost over \$64
billion over 5 years. This analysis provided an interesting framework
for analyzing the provision for the rule. More precisely, the analysis
generally attempted to identify the number of entities would be required
to comply with each of the significant provision of the proposed rule,
then estimated the numbers of hours required to comply per entity, and
finally, estimated an hourly wage.
*Response:* HHS adopted this general structure for the final RIA because
it provided a better framework for analysis than what the Department had
done in the NPRM. However, HHS did not agree with many of the specific
assumptions used by in this analysis, for several reasons. First, in
some instances the assumptions were no longer relevant because the
requirements of the NPRM were altered in the final rule. For other
assumptions, HHS found more appropriate data sources for the number of
covered entities, wages rates and trend rates or other factors affecting
costs. In addition, HHS believes that in a few instances, this analysis
over-estimated what is required of covered entities to comply. Based on
public comments and its own factfinding, the Department believes many of
its assumptions used in the final analysis more accurately reflect what
is likely to be the real cost of the regulation.
**IV. FINAL REGULATORY IMPACT ANALYSIS**
5U.S.C. 804(2) (as added by section 251 of Public Law 104-21), specifies
that a "major rule" is any rule that the Office of Management and Budget
finds is likely to result in:
· An annual effect on the economy of \$100 million or more;
· A major increase in costs or prices for consumers, individual
industries, federal, state, or local government agencies, or geographic
regions; or
· Significant adverse effects in competition, employment, investment
productivity, innovation, or on the ability of United States based
enterprises to compete with foreign-based enterprises in domestic and
export markets. The impact of this final rule will be over \$1 billion
in the first year of implementation. Therefore, this rule is a major
rule as defined in 5 U.S.C. 804(2).
Executive Order 12866 directs agencies to assess all costs and benefits
of available regulatory alternatives and, when regulation is necessary,
to select regulatory approaches that maximize net benefits (including
potential economic, environmental, public health and safety effects;
distributive impacts; and equity). According to Executive Order 12866, a
regulatory action is "significant" if it meets any one of a number of
specified conditions, including having an annual effect on the economy
of \$100 million or more adversely affecting in a material way a sector
of the economy, competition, or jobs, or if it raises novel legal or
policy issues. The purpose of the regulatory impact analysis is to
assist decision-makers in understanding the potential ramifications of a
regulation as it is being developed. The analysis is also intended to
assist the public in understanding the general economic ramifications of
a regulation, both in the aggregate as well as the major policy areas of
a regulation and how they are likely to affect the major industries or
sectors of the economy covered by it.
In accordance with the Small Business Regulatory Enforcement and
Fairness Act (Pub. L. 104-121), the Administrator of the Office of
Information and Regulatory Affairs of the Office of Management and
Budget (OMB) has determined that this rule is a major rule for the
purpose of congressional review.
The proposal for the privacy regulation included a preliminary
regulatory impact analysis (RIA) which estimated the cost of the rule at
\$3.8 billion over five years. The preliminary analysis also noted that
a number of significant areas were not included in the estimate due to
inadequate information. The proposal solicited public comment on these
and all other aspects of the analysis. In this preamble, the Department
has summarized the public comments pertinent to the cost analysis and
its response to them. However, because of the extensive policy changes
incorporated in the final regulation, additional data collected from the
public comments and the Department's fact-finding, and changes in the
methodology underlying the estimates, the Department is setting forth in
this section a more complete explanation of its revised estimates and
how they were obtained. This will facilitate a better understanding by
the public of how the estimates were developed and provide more insight
into how the Department believes the regulation will ultimately affect
the health care sector.
The impact analysis measures the effect of the regulation on current
practices. In the case of privacy, as discussed in the preamble, there
already exists considerable, though quite varied, efforts to protect the
confidentiality of medical information. The RIA is measuring the change
in these current practices and the cost of new and additional
responsibilities that are required to conform to the new regulation.
To achieve a reasonable level of privacy protection, the Department
defined three objectives for the final rule: 1) to establish national
baseline standards, implementation specifications, and requirements for
health information privacy protection, 2) to protect the privacy of
individually identifiable health information maintained or transmitted
by covered entities, and 3) to protect the privacy of all individually
identifiable health information within covered entities, regardless of
its form.
Establishing minimum standards, implementation specifications, and
requirements for health information privacy protection creates a level
baseline of privacy protection for patients across states. The Health
Privacy Project's report, [The State of Health Privacy: An Uneven
Terrain]{.underline}[^33] makes it clear that under the current system
of state laws, privacy protection is extremely variable. The
Department's statutory authority under HIPAA which allows the privacy
regulation to preempt any state law if such law is contrary to and not
more stringent than privacy protection pursuant to this regulation. This
sets a floor, but permits a state to create laws that are more
protective of privacy. We discuss preemption in greater detail in other
parts of the preamble.
The second objective is to establish a uniform base of privacy
protection for individually identifiable health information maintained
or transmitted by covered entities. HIPAA restricts the type of entities
covered by the rule to three broad categories: health care providers
that transmit health information in HIPAA standard transactions, health
plans, and health care clearinghouses. However, there are similar public
and private entities that are not within the Department's authority to
regulate under HIPAA. For example, life insurance companies are not
covered by this rule but may have access to a large amount of
individually identifiable health information.
The third objective is to protect the privacy of all individually
identifiable health information held by covered entities, including
their business associates. Health information is currently stored and
transmitted in multiple forms, including electronic, paper, and oral
forms. To provide consistent protection to information, and to avoid
requiring covered entities from distinguishing between health
information that has been transmitted or maintained electronically and
that which has not, this rule covers all individually identifiable
health information in any form maintained or transmitted by a covered
entity.
For purposes of this cost analysis, the Department has assumed all
health care providers will be affected by the rule. This results in an
overestimation of costs because there are providers that do not engage
in any HIPAA standard transactions, and therefore, are not affected. The
Department could not obtain any reliable data on the number of such
providers, but the available data suggest that there are very few such
entities, and given the expected increase in all forms of electronic
health care in the coming decade, the number of paper-only providers is
likely to decrease.
**A. Relationship of this Analysis to Analyses in Other HIPAA
Regulations**
Congress has recognized that privacy standards, implementation
specifications and requirements must accompany the electronic data
interchange standards, implementation specifications and requirements
because the increased ease of transmitting and sharing individually
identifiable health information will result in an increase in concern
regarding privacy and confidentiality of such information. The bulk of
the first Administrative Simplification section that was debated on the
floor of the Senate in 1994 (as part of the Health Security Act) was
made up of privacy provisions. The requirement for the issuance of
concomitant privacy measures remained a part of the HIPAA bill passed by
the House of Representatives in 1996, but the requirement for privacy
measures was removed in conference. Instead, Congress added section 264
to Title II of HIPAA, which directs the Secretary to develop and submit
to Congress recommendations addressing at least the following:
\(1\) The rights that an individual who is a subject of individually
identifiable health information should have.
\(2\) The procedures that should be established for the exercise of such
rights.
\(3\) The uses and disclosures of such information that should be
authorized or required. The Secretary\'s Recommendations were submitted
to Congress on September 11, 1997, and are summarized below. Section
264(c)(1) of HIPAA provides that:
If legislation governing standards with respect to the privacy of
individually identifiable health information transmitted in connection
with the transactions described in section 1173(a) of the Social
Security Act (as added by section 262) is not enacted by \[August 21,
1999\], the Secretary of Health and Human Services shall promulgate
final regulations containing such standards not later than \[February
21, 2000\]. Such regulations shall address at least the subjects
described in subsection \[regarding recommendations\].
Because the Congress did not enact legislation governing standards with
respect to the privacy of individually identifiable health information
prior to August 21, 1999, the Department has, in accordance with this
statutory mandate, developed final rules setting forth standards to
protect the privacy of such information.
Title II of the Health Insurance Portability and Accountability Act
(HIPAA) also provides a statutory framework for the promulgation of
other administrative simplification regulations. On August 17, 2000, the
Transactions Rule was published. Proposals for health care provider
identifier (May 1998), employer identifier (June 1998), and security and
electronic signature standards (August 1998) have also been published.
These regulations are expected to be made final in the foreseeable
future.
HIPAA states that, "any standard adopted under this part shall be
consistent with the objective of reducing the administrative costs of
providing and paying for health care." (Section 1172 (b)). This
provision refers to the administrative simplification regulations in
their totality, including this rule regarding privacy standards. The
savings and costs generated by the various standards should result in a
net savings to the health care system. The Transactions Rule shows a net
savings of \$29.9 billion over ten years (2002-2011), or a net present
value savings of \$19 billion. This estimate does not include the growth
in "e-health" and "e-commerce" that may be spurred by the adoption of
uniform codes and standards.
This final Privacy Rule is estimated to produce net costs of \$18.0
billion, with net present value costs of \$11.8 billion (2003 dollars)
over ten years (2003-2012). This estimate is based on some costs already
having been incurred due to the requirements of the Transactions Rule,
which included an estimate of a net savings to the health care system of
\$29.9 billion over ten years (2002 dollars) and a net present value of
\$19.1 billion. The Department expects that the savings and costs
generated by all administrative simplification standards should result
in a net savings to the health care system.
**B. Summary of Costs and Benefits**
Measuring both the economic costs and benefits of health information
privacy is difficult. Traditionally, privacy has been addressed by state
laws, contracts, and professional practices and guidelines. Moreover,
these practices have been evolving as computers have dramatically
increased the potential use of medical data; the scope and form of
health information is likely to be very different ten years from now
than it is today. This final regulation is both altering current health
information privacy practice and shaping its evolution as electronic
uses expand.
To estimate costs, the Department used information from published
studies, trade groups and associations, public comments to the proposed
regulation, and fact-finding by staff. The analysis focused on the major
policy areas in the regulation that would result in significant costs.
Given the vast array of institutions affected by this regulation and the
considerable variation in practices, the Department sought to identify
the "typical" current practice for each of the major policy areas and
estimate the cost of change resulting from the regulation. Because of
the paucity of data and incomplete information on current practices, the
Department has consistently made conservative assumptions (that is,
given uncertainty, we have made assumptions that, if incorrect, are more
likely to overstate rather than understate the true cost).
Benefits are difficult to measure because people conceive of privacy
primarily as a right, not as a commodity. Furthermore, a wide gap
appears to exist between what people perceive to be the level of privacy
afforded health information about them and what actually occurs with the
use of such information today. Arguably, the "cost" of the privacy
regulation is the amount necessary to bring health information privacy
to these perceived levels.
The benefits of enhanced privacy protections for individually
identifiable health information are significant, even though they are
hard to quantify. The Department solicited comments on this issue, but
no commenters offered a better alternative. Therefore, the Department is
essentially reiterating the analysis it offered in the proposed Privacy
Rule. The illustrative examples set forth below, using existing data on
mental health, cancer screening, and HIV/AIDS patients, suggest the
level of economic and health benefits that might accrue to individuals
and society. Moreover, the benefits of improved privacy protection are
likely to increase in the future as patients gain trust in health care
practitioners' ability to maintain the confidentiality of their health
information.
The estimated cost of compliance with the final rule is \$17.6 billion
over the ten year period, 2003-2012.[^34] This includes the cost of all
the major requirements for the rule, including costs to federal, state
and local governments. The net present value of the final rule, applying
a 11.2 percent discount rate[^35], is \$11.8 billion.[^36]
The first year estimate is \$3.2 billion (this includes expenditures
that may be incurred before the effective date in 2003). This represents
about 0.23 percent of projected national health expenditures for
2003[^37]. By 2008, seven years after the rule's effective date, the
rule is estimated to cost 0.07 percent of projected national health
expenditures.
The largest cost items are the requirement to have a privacy official,
\$5.9 billion over ten years, and the requirement that disclosures of
protected health information only involve the minimum amount necessary,
\$5.8 billion over ten years (see Table 1). These costs reflect the
change that affected organizations will have to undertake to implement
and maintain compliance with the requirements of the rule and achieve
enhanced privacy of protected health information.
**Table 1. The Cost of Complying with the Proposed Privacy Regulation,
in Dollars**
+--------------------+----------------+--------------+-----------------+
| **Provision** | **Initial or | **Average | **Ten Year Cost |
| | First Year | Annual Cost | (2003-2012)** |
| | Cost** | (\$Million, | |
| | | Years | **(\$Million)** |
| | **(2003, | 2-10)** | |
| | \$Million)** | | |
+--------------------+----------------+--------------+-----------------+
| Policy Development | \$597.7 | \$0 | \$597.7 |
+--------------------+----------------+--------------+-----------------+
| Minimum Necessary | 926.2 | 536.7 | 5,756.7 |
+--------------------+----------------+--------------+-----------------+
| Privacy Officials | 723.2 | 575.8 | 5,905.8 |
+--------------------+----------------+--------------+-----------------+
| Disclosure | 261.5 | 95.9 | 1,125.1 |
| Tracking/ | | | |
| | | | |
| History | | | |
+--------------------+----------------+--------------+-----------------+
| Business | 299.7 | 55.6 | 800.3 |
| Associates | | | |
+--------------------+----------------+--------------+-----------------+
| Notice | 50.8 | 37.8 | 391.0 |
| Distribution | | | |
+--------------------+----------------+--------------+-----------------+
| Consent | 166.1 | 6.8 | 227.5 |
+--------------------+----------------+--------------+-----------------+
| Inspection/Copying | 1.3 | 1.7 | 16.8 |
+--------------------+----------------+--------------+-----------------+
| Amendment | 5.0 | 8.2 | 78.8 |
+--------------------+----------------+--------------+-----------------+
| Requirements on | 40.2 | 60.5 | 584.8 |
| Research | | | |
+--------------------+----------------+--------------+-----------------+
| Training | 287.1 | 50.0 | 737.2 |
+--------------------+----------------+--------------+-----------------+
| De-Identification | 124.2 | 117.0 | 1,177.4 |
| of Information | | | |
+--------------------+----------------+--------------+-----------------+
| Employers with | 52.4 | 0 | 52.4 |
| Insured Group | | | |
| Health Plans | | | |
+--------------------+----------------+--------------+-----------------+
| Internal | 6.6 | 10.7 | 103.2 |
| Complaints | | | |
+--------------------+----------------+--------------+-----------------+
| Total\* | 3,242.0 | 1,556.9 | 17,554.7 |
+--------------------+----------------+--------------+-----------------+
| Net Present Value | 3,242.0 | 917.8 | 11,801.8 |
+--------------------+----------------+--------------+-----------------+
^\*^Note: Numbers may not add due to rounding.
**C. Need for the Final Rule**
The need for a national health information privacy framework is
described in detail in Section I of the preamble above. In short,
privacy is a necessary foundation for delivery of high quality health
care \-- the entire health care system is built upon the willingness of
individuals to share the most intimate details of their lives with their
health care providers. At the same time, there is increasing public
concern about loss of privacy generally, and health privacy in
particular. The growing use of interconnected electronic media for
business and personal activities, our increasing ability to know an
individual's genetic make-up, and the increasing complexity of the
health care system each bring the potential for tremendous benefits to
individuals and society, but each also brings new potential for
invasions of our privacy.
Concerns about the lack of attention to information privacy in the
health care industry are not merely theoretical. Section I of the
preamble, above, lists numerous examples of the kinds of deliberate or
accidental privacy violations that call for a national legal framework
of health privacy protections. Disclosure of health information about an
individual can have significant implications well beyond the physical
health of that person, including the loss of a job, alienation of family
and friends, the loss of health insurance, and public humiliation. The
answer to these concerns is not for consumers to withdraw from the
health care system, but for society to establish a clear national legal
framework for privacy.
This section adds to the discussion in Section I, above, a discussion of
the market failures inherent in the current system which create
additional and compelling reasons to establish national health
information privacy standards. Market failures will arise to the extent
that privacy is less well protected than the parties would have agreed
to, if they were fully informed and had the ability to monitor and
enforce contracts. The chief market failures with respect to privacy of
health information concern information, negotiation, and enforcement
costs between the entity and the individual. The information costs arise
because of the information asymmetry between the company and the patient
\-- the company typically knows far more than the patient about how the
protected health information will be used by that company. A health care
provider or plan, for instance, knows many details about how protected
health information may be generated, combined with other databases, or
sold to third parties.
Absent this regulation, patients face at least two layers of cost in
learning about how their information is used. First, as with many
aspects of health care, patients face the challenge of trying to
understand technical medical terminology and practices. A patient
generally will have difficulty understanding medical records and the
implications of transferring health information about them to a third
party. Second, in the absence of consistent national rules, patients may
face significant costs in trying to learn and understand the nature of a
company\'s privacy policies.
The costs of learning about companies\' policies are magnified by the
difficulty patients face in detecting whether companies, in fact, are
complying with those policies. Patients might try to adopt strategies
for monitoring whether companies have complied with their announced
policies. These sorts of strategies, however, are both costly (in time
and effort) and likely to be ineffective. In addition, modern health
care often requires protected health information to flow legitimately
among multiple entities for purposes of treatment, payment, health care
operations, and other necessary uses. Even if the patient could identify
the provider whose data ultimately leaked, the patient could not easily
tell which of those multiple entities had impermissibly transferred her
information. Therefore, the cost and ineffectiveness of monitoring leads
to less than optimal protection of individually identifiable health
information.
The incentives facing a company that acquires individually identifiable
health information also discourage privacy protection. A company gains
the full benefit of using such information, including its own marketing
efforts or its ability to sell the information to third parties. The
company, however, does not suffer the losses from disclosure of
protected health information; the patient does. Because of imperfect
monitoring, customers often will not learn of, and thus not be able to
take efficient action to prevent uses or disclosures of sensitive
information. Because the company internalizes the gains from using the
information, but does not bear a significant share, if any, of the cost
to patients (in terms of lost privacy), it will have a systematic
incentive to over-use individually identifiable health information. In
market failure terms, companies will have an incentive to use
individually identifiable health information where the patient would not
have freely agreed to such use.
These difficulties are exacerbated by the third-party nature of many
health insurance and payment systems. Even where individuals would wish
to bargain for privacy, they may lack the legal standing to do so. For
instance, employers often negotiate the terms of health plans with
insurers. The employee may have no voice in the privacy or other terms
of the plan, facing a take-it-or-leave-it choice of whether to be
covered by insurance. The current system leads to significant market
failures in bargaining privacy protection. Many privacy-protective
agreements that patients would wish to make, absent barriers to
bargaining, will not be reached.
The economic arguments become more compelling as the medical system
shifts from predominantly paper to predominantly electronic records.
Rapid changes in information technology should result in increased
market failures in the markets for individually identifiable health
information. Improvements in computers and networking mean that the
costs of gathering, analyzing, and disseminating electronic data are
plunging. Market forces are leading many health care providers and
health plans to shift from paper to electronic records, due both to
lower cost and the increased functionality provided by having
information in electronic form. These market changes will be accelerated
by the administrative simplification implemented by the other
regulations promulgated under HIPAA. A chief goal of administrative
simplification, in fact, is to create a more efficient flow of medical
information, where appropriate. This privacy regulation is an integral
part of the overall effort of administrative simplification; it creates
a framework for more efficient flows for certain purposes, including
treatment and payment, while restricting flows in other circumstances
except where appropriate institutional safeguards exist.
If the medical system shifts predominantly to electronic records in the
near future, accompanying privacy rules will become more critical to
prevent unanticipated, inappropriate, or unnecessary uses or disclosures
of individually identifiable health information without patient consent
and without effective institutional controls against further
dissemination. In terms of the market failure, it will become more
difficult for patients to know how their health provider or health plan
is using health information about them. It will become more difficult to
monitor the subsequent flows of individually identifiable health
information, as the number of electronic flows and possible points of
leakage both increase. Similarly, the costs and difficulties of
bargaining to get the patients\' desired level of use will likely rise
due to the greater number and types of entities that receive protected
health information.
As the benefits section, below, discusses in more detail, the protection
of privacy and correcting the market failure also have practical
implications. Where patients are concerned about lack of privacy
protections, they might fail to get medical treatment that they would
otherwise seek. This failure to get treatment may be especially likely
for certain conditions, including mental health, and HIV. Similarly,
patients who are concerned about lack of privacy protections may report
health information inaccurately to their providers when they do seek
treatment. For instance, they might decide not to mention that they are
taking prescription drugs that indicate that they have an embarrassing
condition. These inaccurate reports may lead to mis-diagnosis and
less-than-optimal treatment, including inappropriate additional
medications. In short, the lack of privacy safeguards can lead to
efficiency losses in the form of foregone or inappropriate treatment.
In summarizing the economic arguments supporting the need for this
regulation, the discussion here has emphasized the market failures that
will be addressed by this regulation. These arguments become
considerably stronger with the shift from predominantly paper to
predominantly electronic records. As discussed in the benefits section
below, the proposed privacy protections may prevent or reduce the risk
of unfair treatment or discrimination against vulnerable categories of
persons, such as those who are HIV positive, and thereby, foster better
health. The proposed regulation may also help educate providers, health
plans, and the general public about how protected health information is
used. This education, in turn, may lead to better information practices
in the future.
**D. Baseline Privacy Protections**
An analysis of the costs and benefits of the regulation requires a
baseline from which to measure the regulation\'s effects. For some
regulations, the baseline is relatively straightforward. For instance,
an industry might widely use a particular technology, but a new
regulation may require a different technology, which would not otherwise
have been adopted by the industry. In this example, the old and widely
used technology provides the baseline for measuring the effects of the
regulation. The costs and the benefits are the difference between
keeping the old technology and implementing the new technology.
Where the underlying technology and industry practices are rapidly
changing, however, it can be far more difficult to determine the
baseline and thereby measure the costs and benefits of a regulation.
There is no simple way to know what technology industry would have
chosen to introduce if the regulation had never existed, nor how
industry practices would have evolved.
Today, the entities covered by the HIPAA privacy regulation are in the
midst of a shift from primarily paper records to electronic records. As
covered entities spend significant resources on hardware, software, and
other information technology costs, questions arise about which of these
costs are fairly attributable to the privacy regulations as opposed to
costs that would have been expended even in the absence of the
regulations. Industry practices generally are rapidly evolving, as
described in more detail in Part I of this preamble. New technological
or other measure taken to protect privacy are in part attributable to
the expected expense of shifting to electronic medical records, rather
than being solely attributable to the new regulations. In addition, the
existence of privacy rules in other sectors of the economy help set a
norm for what practices will be considered good practices for health
information. The level of privacy protection that would exist in the
health care sector, in the absence of regulations, thus would likely be
affected by regulatory and related developments in other sectors. In
short, it is therefore difficult to project a cost or benefits baseline
for this rule.
The common security practice of using \"firewalls\" illustrates how each
of the three baselines might apply. Under the first baseline, the full
cost of implementing firewalls should be included in a Regulatory Impact
Analysis for a rule that expects entities to have firewalls. Because
current law has not required firewalls, a new rule expecting this
security measure must include the full cost of creating firewalls. This
approach, however, would seem to overstate the cost of such a
regulation. Firewalls would seem to be an integral part of the decision
to move to an on-line, electronic system of records. Firewalls are also
being widely deployed by users and industries where no binding security
or privacy regulations have been proposed.
Under the second baseline, the touchstone is the level of risk of
security breaches for individually identifiable health information under
current practices. There is quite possibly a greater risk of breach for
an electronic system of records, especially where such records are
accessible globally through the Internet, than for patient records
dispersed among various doctors\' offices in paper form. Using the
second baseline, the costs of firewalls for electronic systems should
not be counted as a cost of the regulation except where firewalls create
greater security than existed under the previous, paper-based system.
Finally, the third baseline would require an estimate of the typical
level of firewall protections that covered entities would adopt in the
absence of regulation, and include in the Regulatory Impact Analysis
only the costs that exceed what would otherwise have been adopted. For
this analysis, the Department has generally assumed that the status quo
would otherwise exist throughout the ten-year period (in a few areas we
explicitly discuss likely changes). We made this decision for two
reasons. First, predicting the level of change that would otherwise
occur is highly problematic. Second, it is a "conservative"
assumption--that is, any error will likely be an overstatement of the
true costs of the regulation.
Privacy practices are most often shaped by professional organizations
that publish ethical codes of conduct and by state law. On occasion,
state laws defer to professional conduct codes. At present, where
professional organizations and states have developed only limited
guidelines for privacy practices, an entity may implement privacy
practices independently. However, it is worth noting that changes in
privacy protection continue to increase in various areas. For example,
European Union countries may only send individually identifiable
information to companies, including U.S. firms, that comply with their
privacy standards, and the growing use of health data in other areas of
commerce, such as finance and general commercial marketing, have also
increased the demand for privacy in ways that were not of concern in the
past.
***1. Professional codes of ethics***
The Department examined statements issued by five major professional
groups, one national electronic network association and a leading
managed care association.[^38] There are a number of common themes that
all the organizations appear to subscribe to:
· The need to maintain and protect an individual's health information;
· The development of policies to ensure the confidentiality of
individually identifiable health information;
· A restriction that only the minimum necessary information should be
released to accomplish the purpose for which the information is sought.
Beyond these principles, the major associations differ with respect to
the methods used to protect individually identifiable health
information. There is no common professional standard across the health
care field with respect to the protection of individually identifiable
health information. One critical area of difference is the extent to
which professional organizations should release individually
identifiable health information. A major mental health association
advocates the release of identifiable patient information ". . .only
when de-identified data are inadequate for the purpose at hand." A major
association of physicians counsels members who use electronically
maintained and transmitted data to require that they and their patients
know in advance who has access to protected patient data, and the
purposes for which the data will be used. In another document, the
association advises physicians not to "sell" patient information to data
collection companies without fully informing their patients of this
practice and receiving authorization in advance to release of the
information.
Only two of the five professional groups state that patients have the
right to review their medical records. One group declares this as a
fundamental patient right, while the second association qualifies its
position by stating that the physician has the final word on whether a
patient has access to his or her health information. This association
also recommends that its members respond to requests for access to
patient information within ten days, and recommends that entities allow
for an appeal process when patients are denied access. The association
further recommends that when a patient contests the accuracy of the
information in his or her record and the entity refuses to accept the
patient's change, the patient's statement should be included as a
permanent part of the patient's record.
In addition, three of the five professional groups endorse the
maintenance of audit trails that can track the history of disclosures of
individually identifiable health information.
The one set of standards that we reviewed from a health network
association advocated the protection of individually identifiable health
information from disclosure without patient authorization and emphasized
that encrypting information should be a principal means of protecting
individually identifiable health information. The statements of a
leading managed care association, while endorsing the general principles
of privacy protection, were vague on the release of information for
purposes other than treatment. The association suggested allowing the
use of protected health information without the patient's authorization
for what they term "health promotion." It is possible that the use of
protected health information for "health promotion" may be construed
under the rule as part of marketing activities.
Based on the review of the leading association standards, we believe
that the final rule embodies most or all of the major principles
expressed in the standards. However, there are some major areas of
difference between the rule and the professional standards reviewed. The
final rule generally provides stronger, more consistent, and more
comprehensive guarantees of privacy for individually identifiable health
information than the professional standards. The differences between the
rule and the professional codes include the individual's right of access
to health information in the covered entity's possession, relationships
between contractors and covered entities, and the requirement that
covered entities make their privacy policies and practices available to
patients through a notice and the ability to respond to questions
related to the notice. Because the regulation requires that (with a few
exceptions) patients have access to their protected health information
that a covered entity possesses, large numbers of health care providers
may have to modify their current practices in order to allow patient
access, and to establish a review process if they deny a patient access.
Also, none of the privacy protection standards reviewed require that
health care providers or health plans prepare a formal statement of
privacy practices for patients (although the major physician association
urges members to inform patients about who would have access to their
protected health information and how their health information would be
used). Only one HMO association explicitly made reference to information
released for legitimate research purposes. The regulation allows for the
release of protected health information for research purposes without an
individual's authorization, but only if the research where such
authorization is waived by an institutional research board or an
equivalent privacy board. This research requirement may cause some
groups to revise their disclosure authorization standards.
**2. *State Laws***
The second body of privacy protections is found in a complex, and often
confusing, myriad of state laws and requirements. To determine whether
or not the final rule would preempt a state law, first we identified the
relevant laws, and second, we addressed whether state or federal law
provides individuals with greater privacy protection.
*Identifying the relevant state statutes:* Health information privacy
provisions can be found in laws applicable to many issues including
insurance, worker's compensation, public health, birth and death
records, adoptions, education, and welfare. In many cases, state laws
were enacted to address a specific situation, such as the reporting of
HIV/AIDS, or medical conditions that would impair a person's ability to
drive a car. For example, Florida has over 60 laws that apply to
protected health information. According to the Georgetown Privacy
Project[^39], Florida is not unique. Every state has laws and
regulations covering some aspect of medical information privacy. For the
purpose of this analysis, we simply acknowledge the variation in state
requirements.
We recognize that covered entities will need to learn the laws of their
states in order to comply with such laws that are not contrary to the
rule, or that are contrary to and more stringent than the rule. This
analysis should be completed in the context of individual markets;
therefore, we expect that professional associations or individual
businesses will complete this task.
Recognizing the limits of our ability to effectively summarize state
privacy laws, we discuss conclusions generated by the Georgetown
University Privacy Project's report, [The State of Health Privacy: An
Uneven Terrain]{.underline}. The Georgetown report is among the most
comprehensive examination of state health privacy laws currently
published, although it is not exhaustive. The report, which was
completed in July 1999, is based on a 50-state survey.
To facilitate discussion, we have organized the analysis into two
sections: access to health information and disclosure of health
information. Our analysis is intended to suggest areas where the final
rule appears to preempt various state laws; it is not designed to be a
definitive or wholly comprehensive state-by-state comparison.
*Access to Subject's Information:* In general, state statutes provide
individuals with some access to medical records about them. However,
only a few states allow individuals access to health information held by
all their health care providers and health plans. In 33 states,
individuals may access their hospital and health facility records. Only
13 states guarantee individuals access to their HMO records, and 16
states provide individuals access to their medical information when it
is held by insurers. Seven states have no statutory right of patient
access; three states and the District of Columbia have laws that only
assure individuals' right to access their mental health records. Only
one state permits individuals access to records about them held by
health care providers, but it excludes pharmacists from the definition
of provider. Thirteen states grant individuals statutory right of access
to pharmacy records.
The amount that entities are allowed to charge for copying of
individuals' records varies widely from state to state. A study
conducted by the American Health Information Management Association[^40]
found considerable variation in the amounts, structure, and combination
of fees for search and retrieval, and the copying of the record.
In 35 states, there are laws or regulations that set a basis for
charging individuals inspecting and copying fees. Charges vary not only
by state, but also by the purpose of the request and the facility
holding the health information. Also, charges vary by the number of
pages and whether the request is for X-rays or for standard medical
information.
Of the 35 states with laws regulating inspection and copying charges,
seven states either do not allow charges for retrieval of records or
require that the entity provide the first copy free of charge. Some
states may prohibit hospitals from charging patients a retrieval and
copying fee, but allow clinics to do so. Many states allow fee
structures, while eleven states specify only that the record holder may
charge "reasonable/actual costs."
According to the report by the Georgetown Privacy Project, among states
that do grant access to patient records, the most common basis for
denying individuals access is concern for the life and safety of the
individual or others.
The amount of time an entity is given to supply the individual with his
or her record varies widely. Many states allow individuals to amend or
correct inaccurate health information, especially information held by
insurers. However, few states provide the right to insert a statement in
the record challenging the covered entity's information when the
individual and entity disagree.[^41]
*Disclosure of Health Information:* State laws vary widely with respect
to disclosure of individually identifiable health information.
Generally, states have applied restrictions on the disclosure of health
information either to specific entities or for specific health
conditions. Only three state laws place broad limits on disclosure of
individually identifiable health information without regard for policies
and procedures developed by covered entities. Most states require
patient authorization before an entity may disclose health information
to certain recipients, but the patient often does not have an
opportunity to object to any disclosures.[^42]
It is also important to point out that none of the states appear to
offer individuals the right to restrict disclosure of their health
information for treatment.
State statutes often have exceptions to requiring authorization before
disclosure. The most common exceptions are for purposes of treatment,
payment, or auditing and quality assurance functions. Restrictions on
re-disclosure of individually identifiable health information also vary
widely from state to state. Some states restrict the re-disclosure of
health information, and others do not. The Georgetown report cites state
laws that require providers to adhere to professional codes of conduct
and ethics with respect to disclosure and re-disclosure of protected
health information.
Most states have adopted specific measures to provide additional
protections for health information regarding certain sensitive
conditions or illnesses. The conditions and illnesses most commonly
afforded added privacy protection are:
· Information derived from genetic testing;
· Communicable and sexually-transmitted diseases;
· Mental health; and
· Abuse, neglect, domestic violence, and sexual assault.
Some states place restrictions on releasing condition-specific health
information for research purposes, while others allow release of
information for research without the patient's authorization. States
frequently require that researchers studying genetic diseases, HIV/AIDS,
and other sexually transmitted diseases have different authorization and
privacy controls than those used for other types of research. Some
states require approval from an IRB or agreements that the data will be
destroyed or identifiers removed at the earliest possible time. Another
approach has been for states to require researchers to obtain sensitive,
identifiable information from a state public health department. One
state does not allow automatic release of protected health information
for research purposes without notifying the subjects that their health
information may be used in research and allowing them an opportunity to
object to the use of their information.[^43]
*Comparing state statutes to the final rule:* The variability of state
law regarding privacy of individually identifiable health information
and the limitations of the applicability of many such laws demonstrates
the need for uniformity and minimum standards for privacy protection.
This regulation is designed to meet these goals while allowing stricter
state laws to be enacted and remain effective. A comparison of state
privacy laws with the final regulation highlights several of the rule's
key implications:
· No state law requires covered entities to make their privacy and
access policies available to patients. Thus, all covered entities that
have direct contact with patients will be required by this rule to
prepare a statement of their privacy protection and access policies.
This necessarily assumes that entities have to develop procedures if
they do not already have them in place.
· The rule will affect more entities than are covered or encompassed
under many state laws.
· Among the three categories of covered entities, it appears that health
plans will be the most significantly affected by the access provisions
of the rule. Based on the Health Insurance Association of America (HIAA)
data[^44], there are approximately 94.7 million non-elderly persons with
private health insurance in the 35 states that do not provide patients a
legal right to inspect and copy their records.
· Under the rule, covered entities will have to obtain an individual's
authorization before they could use or disclose their information for
purposes other than treatment, payment, and health care operations \--
except in the situations explicitly defined as allowable disclosures
without authorization. Although the final rule would establish a
generally uniform disclosure and re-disclosure requirement for all
covered entities, the entities that currently have the greatest ability
and economic incentives to use and disclose protected health information
for marketing services to both patients and health care providers
without individual authorization.
· While the final rule appears to encompass many of the requirements
found in current state laws, it also is clear that within state laws,
there are many provisions that cover specific cases and health
conditions. Certainly, in states that have no restrictions on
disclosure, the rule will establish a baseline standard. But in states
that do place conditions on the disclosure of protected health
information, the rule may place additional requirements on covered
entities.
**3. *Other Federal Laws***
The relationship with other federal statutes is discussed above in the
preamble.
**E. Costs**
Covered entities will be implementing the privacy final rules at the
same time many of the administrative simplification standards are being
implemented. As described in the overall impact analysis for the
Transactions Rule, the data handling change occurring due to the other
HIPAA standards will have both costs and benefits. To the extent the
changes required for the privacy standards, implementation
specifications, and requirements can be made concurrently with the
changes required by the other regulations, costs for the combined
implementation should be only marginally higher than for the
administrative simplification standards alone. The extent of this
incremental cost is uncertain, in the same way that the costs associated
with each of the individual administrative simplification standards is
uncertain.
The costs associated with implementing the requirements under this
Privacy Rule will be directly related to the number of affected entities
and the number of affected transactions in each entity. There are
approximately 12,200 health plans (including self-insured employer and
government health plans that are at least partially
self-administered)[^45], 6480 hospitals, and 630,000 non-hospital
providers that will bear implementation costs under the final rule.
The relationship between the HIPAA security and privacy standards is
particularly relevant. On August 17, 2000, the Secretary published a
final rule to implement the HIPAA standards on electronic transactions.
That rule adopted standards for eight electronic code sets to be used
for those transactions. The proposed rule for security and electronic
signature standards was published on August 12, 1998. That proposal
specified the security requirements for covered entities that transmit
and store information specified in Part C, Title II of the Act. In
general, that proposed rule proposed administrative and technical
standards for protecting "\...any health information pertaining to an
individual that is electronically maintained or transmitted." (63 FR
43243). The final Security Rule will detail the system and
administrative requirements that a covered entity must meet in order to
assure itself and the Secretary that health information is safe from
destruction and tampering from people without authorization for its
access.
By contrast, the Privacy Rule describes the requirements that govern the
circumstances under which protected health information must be used or
disclosed with and without patient involvement and when a patient may
have access to his or her protected health information.
While the vast majority of health care entities are privately owned and
operated, we note that federal, state, and local government providers
are reflected in the total costs as well. Federal, state, and locally
funded hospitals represent approximately 26 percent of hospitals in the
United States. This is a significant portion of hospitals, but it
represents a relatively small proportion of all provider entities. We
estimated that the number of government providers who are employed at
locations other than government hospitals is significantly smaller
(approximately two percent of all providers). Weighting the relative
number of government hospital and non-hospital providers by the revenue
these types of providers generate, we estimate that health care services
provided directly by government entities represent 3.4 percent of total
health care services. Indian Health Service and tribal facilities costs
are included in the total, since the adjustments made to the original
private provider data to reflect federal providers included them. In
developing the rule, the Department consulted with states,
representatives of the National Congress of American Indians,
representatives of the National Indian Health Board, and a
representative of the self-governance tribes. During the consultation we
discussed issues regarding the application of Title II of HIPAA to the
states and tribes.
The costs associated with this final rule involve, for each provision,
consideration of both the degree to which covered entities must modify
their existing records management systems and privacy policies under the
final rule, and the extent to which there is a change in behavior by
both patients and the covered entities as a result of the final rule.
The following sections examine these provisions as they apply to the
various covered entities under the final rule. The major costs that
covered entities will incur are one-time costs associated with
implementation of the final rules, and ongoing costs that result in
continuous requirements in the final rule.
The Department has quantified the costs imposed by the final regulation
to the extent possible. The cost of many provisions were estimated by
first using data from the Census Bureau's Statistics of U.S. Business to
identify the number of non-hospital health care providers, hospitals and
health plans. Then, using the Census Bureau's Current Population Survey
(CPS) wage data for the classes of employees affected by the rule, the
Department identified the hourly wage of the type of employee assumed to
be mostly likely responsible for compliance with a given provision.
Where the Department believed a number of different types of employees
might be responsible for complying with a certain provision, as is often
expected to be the case, the Department established a weighted-average
wage based on the types of employees involved. Finally, the Department
made assumptions regarding the number of person-hours per institution
required to comply with the rule.
The Department cannot determine precisely how many person-hours per
institution will be required to comply with a given provision, however,
the Department attempted to establish reasonable estimates based on
fact-finding discussions with private sector health care providers, the
advice of the Department's consultants, and the Department's own best
judgement of the level of burden required to comply with a given
provision. Moreover, the Department recognizes that the number of hours
required to comply with a given requirement of the rule will vary from
provider to provider and health plan to health plan, particularly given
the flexibility and scalability permitted under the rule. Therefore, the
Department considers the estimates to be averages across the entire
class of health care providers, hospitals, or health plans in question.
Underlying all annual cost estimates are growth projections. For growth
in the number of patients, the Department used data from the National
Ambulatory Medical Care Survey, the National Hospital Ambulatory Medical
Care Survey, the National Home and Hospice Survey, the National Nursing
Home Survey, and information from the American Hospital Association. For
growth in the number of health care workers, the Department used data
from the Bureau of Health Professions in the Department's Health
Resources Services Administration (HRSA). For insurance coverage growth
(private and military coverage), we used a five-year average annual
growth rate in employer-sponsored, individual, military, and overall
coverage growth from the Census Bureau's CPS, 1995-1999. To estimate
growth in the number of Medicare and Medicaid enrollees, the Department
used the enrollment projections of the Health Care Financing
Administration's Office of the Actuary. For growth in the number of
hospitals, health care providers and health plans, trend rates were
derived from the Census Bureau's Statistics of U.S. Businesses, using
SIC code-specific five-year annual average growth rate from1992-1997
(the most recent data available). For wage growth, the Department used
the same assumptions made in the Medicare Trustees' Hospital Insurance
Trust Fund report for 2000.
In some areas, the Department was able to obtain very reliable data,
such as survey data from the Statistics of U.S. Businesses and the
Medical Expenditures Panel Survey (MEPS). In numerous areas, however,
there was too little information or data to support quantitative
estimates. As a result, the Department relied on data provided in the
public comments or subsequent fact-finding to provide a basis for making
key assumptions. We were able to provide a reasonable cost estimate for
virtually all aspects of the regulation, except law enforcement. In this
latter area, the Department was unable to obtain sufficient data about
current practices (e.g., the number of criminal and civil investigations
that may involve requests for protected health information., the number
of subpoenas for protected health information., etc.) to determine the
marginal effects of the regulation. As discussed more fully below, the
Department believes the effects of the final rule are marginal because
the policies adopted in the final rule appear to largely reflect current
practice.
The NPRM included an estimate of \$3.8 billion for the privacy proposal.
The estimate for the final rule is \$18.0 billion. Much of the
difference can be explained by two factors. First, the NPRM estimate was
for five years; the final rule estimate is for ten years. The Department
chose the longer period for the final rule because ten years was also
the period of analysis in the Transactions Rule RIA, and we wanted to
facilitate comparisons, given that the net benefits and costs of the
administrative simplification rules should be considered together.
Second, the final impact analysis includes cost estimates for a number
of key provisions that were not estimated in the NPRM because the
Department did not have adequate information at the time. Although we
received little useable data in the public comments (see comment and
response section), the Department was able to undertake more extensive
fact-finding and collect sufficient information to make informed
assumptions about the level of effort and time various provisions of the
final rule are likely to impose on different types of affected entities.
The estimate of \$18.0 billion represents a gross cost, not a net cost.
As discussed more fully below in the benefits section, the benefits of
enhanced privacy and confidentiality of personal health information are
very significant. If people believe their information will be used
properly and not disseminated beyond certain bounds without their
knowledge and consent, they will be much more likely to seek proper
health care, provide all relevant health information, and abide by their
providers' recommendations. In addition, more confidence by individuals
and covered entities that privacy will be maintained will lead to an
increase in electronic transactions and the efficiencies and cost
savings that stem from such action. The benefits section quantifies some
examples of benefits. The Department was not able to identify data
sources or models that would permit us to measure benefits more broadly
or accurately. The inability to quantify benefits, however, does not
lessen the importance or value that is ultimately realized by having a
national standard for health information privacy.
The largest initial costs resulting from the final Privacy Rule stem
primarily from the requirement that covered entities use and disclose
only the minimum necessary protected health information, that covered
entities develop policies and codify their privacy procedures, and that
covered entities designate a privacy official and train all personnel
with access to individually identifiable health information. The largest
ongoing costs will result from the minimum necessary provisions
pertaining internal uses of individually identifiable health
information, and the cost of a privacy official. In addition, covered
entities will have recurring costs for training, disclosure tracking and
notice requirements. A smaller number of large entities may have
significant costs for de-identification of protected health information
and additional requirements for research.
The privacy costs are in addition to the Transactions Rule estimates.
The cost of complying with the regulation represents approximately 0.23
percent of projected national health expenditures the first year the
regulation is enacted. The costs for the first eight years of the final
regulation represents 0.07 percent of the increase in national health
care costs experienced over the same period.[^46]
***Minimum Necessary***
The "minimum necessary" policy in the final rule has essentially three
components: first, it does not pertain to certain uses and disclosures
including treatment-related exchange of information among health care
providers; second, for disclosures that are made on a routine and
recurring basis, such as insurance claims, a covered entity is required
to have policies and procedures for governing such exchanges (but the
rule does not require a case-by-case determination); and third,
providers must have a process for reviewing non-routine requests on a
case-by-case basis to assure that only the minimum necessary information
is disclosed.
Based on public comments and subsequent fact-finding, the Department has
concluded that the requirements of the final rule are generally similar
to the current practice of most providers. For standard disclosure
requests, for example, providers generally have established procedures
for determining how much health information is released. For non-routine
disclosures, providers have indicated that they currently ask questions
to discern how much health information is necessary for such disclosure.
Under the final rule, we anticipate providers will have to be more
thorough in their policies and procedures and more vigilant in their
oversight of them; hence, the costs of this provision are significant.
To make the final estimates for this provision, the Department
considered the minimum necessary requirement in two parts. First,
providers, hospitals, and health plans will need to establish policies
and procedures which govern uses and disclosures of protected health
information. Next, these entities will need to adjust current practices
that do not comply with the rule, such as updating passwords and making
revisions to software.
To determine the policies and procedures for the minimum necessary
requirement, the Department assumed that each hospital would spend 160
hours, health plans would spend 107 hours, and non-hospital providers
would spend 8 hours. As noted above, the time estimates for this and
other provisions of the rule are considered an average number of
person-hours for the institutions involved. An underlying assumption is
that some hospitals, and to a lesser extent health plans, are part of
chains or larger entities that will be able to prepare the basic
materials at a corporate level for a number of covered entities.
Once the policies and procedures are established, the Department
estimates there will be costs resulting from implementing the new
policies and procedures to restrict internal uses of protected health
information to the minimum necessary. Initially, this will require 560
hours for hospitals, 160 hours for health plans, and 12 hours for
non-hospital providers.[^47] The wage for health care providers and
hospitals is estimated at \$47.28, a weighted average of various health
care professionals based on CPS data; the wage for health plans is
estimated to be \$33.82, based on average wages in the insurance
industry (note that all wage assumptions in this impact analysis assume
a 39 percent load for benefits, the standard Bureau of Labor Statistics
assumption). In addition, there will be time required on an annual basis
to ensure that the implemented practices continue to meet the
requirements of the rule. Therefore, the Department estimates that on an
annual ongoing basis (after the first year), hospitals will require 320
hours, health plans 100 hours, and non-hospital providers 8 hours to
comply with this provision.
The initial cost attributable to the minimum necessary provision is
\$926 million. The total cost of the provision is \$5.757 billion.
(These estimates are for the cost of complying with the minimum
necessary provisions that restrict internal uses to the minimum
necessary. The Department has estimated in the business associates
section below the requirement limiting disclosures outside the covered
entity to the minimum amount necessary.)
***Privacy Official***
The final rule requires entities to designate a privacy official who
will be responsible for the development and implementation of privacy
policies and procedures. In this cost analysis, the Department has
estimated each of the primary administrative requirements of the rule
(e.g., training, policy and procedure development, etc), including the
development and implementation costs associated with each specific
requirement. These activities will certainly involve the privacy
official to some degree; thus, some costs for the privacy official,
particularly in the initial years, are subsumed in other cost
requirements. Nonetheless, we anticipate that there will be additional
ongoing responsibilities that the privacy official will have to address,
such as coordinating between departments, evaluating procedures and
assuring compliance. To avoid double-counting, the cost calculated in
this section is only for the ongoing, operational functions of a privacy
official (e.g., clarifying procedures for staff) that are in addition to
items discussed in other sections of this impact analysis.
The Department assumes the privacy official role will be an additional
responsibility given to an existing employee in the covered entity, such
as an office manager in a small entity or a compliance official in a
larger institution. Moreover, today any covered entity that handles
individually identifiable health information has one or more people with
responsibility for handling and protecting the confidentiality of such
information. As a result of the specific requirement for a privacy
official, the Department assumes covered entities will centralize this
function, but the overall effort is not likely to increase
significantly. Specifically, the Department has assumed non-hospital
providers will need to devote, on average, an additional 30 minutes per
week of an official's time (i.e., 26 hours per year) to compliance with
the final regulation for the first two years and 15 minutes per week for
the remaining eight years (i.e., 13 hours per year). For hospitals and
health plans, which are more likely to have a greater diversity of
activities involving privacy issues, we have assumed three hours per
week for the first two years (i.e., 156 hours per year), and 1.5 hours
per week for the remaining eight years (i.e., 78 hours per year).
For non-hospital providers, the time was calculated at a wage of \$34.13
per hour, which is the average wage for managers of medicine and health
according to the CPS. For hospitals, we used a wage of \$79.44, which is
the rate for senior planning officers.[^48] For health plans, the
Department assumed a wage of \$88.42 based on the wage for top claims
executives.[^49] Although individual hospitals and health plans may not
necessarily select their planning officers or claims executives to be
their privacy officials, we believe they will be of comparable
responsibility, and therefore comparable pay, in larger institutions.
The initial year cost for privacy officials will be \$723 million; the
ten-year cost will be \$5.9 billion.
***Internal Complaints***
The final rule requires each covered entity to have an internal process
to allow an individual to file a complaint concerning the covered
entity's compliance with its privacy policies and procedures. The
requirement includes designating a contact person or office responsible
for receiving complaints and documenting the disposition of them, if
any. This function may be performed by the privacy official, but because
it is a distinct right under the final rule and may be performed by
someone else, we are costing it separately.
The covered entity only is required to receive and document a complaint
(no response is required), which we assume will take, on average, ten
minutes (the complaint can be oral or in writing). The Department
believes that such complaints will be uncommon. We have assumed that one
in every thousand patients will file a complaint, which is approximately
10.6 million complaints over ten years. Based on a weighted-average
hourly wage of \$47.28 at ten minutes per complaint, the cost of this
policy is \$6.6 million in the first year. Using wage growth and patient
growth assumptions, the cost of this policy is \$103 million over ten
years.
***Disclosure Tracking and History***
The final rule requires providers to be able to produce a record of all
disclosures of protected health information, except in certain
circumstances. The exceptions include disclosures for treatment,
payment, health care operations, or disclosures to an individual. This
requirement will require a notation in the record (electronic or paper)
of when, to whom, and what information was disclosed, as well as the
purpose of such disclosure or a copy of an individual's written
authorization or request for a disclosure.
Based on information from several hospital sources, the Department
assumes that all hospitals already track disclosures of individually
identifiable health information and that 15 percent of all patient
records held by a hospital will have an annual disclosure that will have
to be recorded in an individual's record. It was more difficult to
obtain a reliable estimate for non-hospital providers, though it appears
that they receive many fewer requests. The Department assumed a ten
percent rate for ambulatory care patients and five percent, for nursing
homes, home health, dental and pharmacy providers. (It was difficult to
obtain any reliable data for these latter groups, but those we talked to
said that they had very few, and some indicated that they currently keep
track of them in the records.) These estimated percentages represent
about 63 million disclosures that will have to be recorded in the first
year, with each recording estimated to require two minutes. At the
average nurse's salary of \$30.39 per hour, the cost in the first year
is \$25.7 million. For health plans, the Department assumed that
disclosures of protected health information are more rare than for
health care providers. Therefore, the Department assumed that there will
be disclosures of protected health information for five percent of
covered lives. At the average wage for the insurance industry of \$33.82
per hour, the initial cost for health plans is \$6.8 million. Using our
standard growth rates for wages, patients, and covered entities, the
ten-year cost for providers and health plans is \$519 million.
In addition, although hospitals generally track patient disclosures
today, the Department assumes that hospitals will seek to update
software systems to assure full compliance. Based on software upgrade
costs provided by the Department's private sector consultants with
expertise in the area (the Gartner Group), the Department assumed that
each upgrade would cost \$35,000 initially and \$6,300 annually
thereafter, for a total cost of \$572 million over ten years.
The final rule also requires covered entities to provide individuals
with an accounting of disclosures upon request. The Department assumes
that few patients will request a history of disclosures of their
protected medical information. Therefore, we estimate that one in a
thousand patients will request such an accounting each year, which is
approximately 850,000 requests. If it takes an average of five minutes
to copy any disclosures and the work is done by a nurse, the cost will
for the first year will be \$2.1 million. The total ten-year cost is
\$33.8 million.
***De-identification of Information***
The rule allows covered entities to determine that health information is
de-identified (i.e., that it is not individually identifiable health
information) if certain conditions are met. Currently, some entities
release de-identified information for research purposes. De-identified
information may originate from automated systems (such as records
maintained by pharmacy benefit managers) and non-automated systems (such
as individual medical records maintained by providers). As compared with
current practice, the rule requires that an expanded list of identifiers
be removed for the data (such as driver's license numbers, and detailed
geographic and certain age information). For example, as noted in a
number of public comments, currently complete birth dates (day, month,
and year) and zip codes are often included in de-identified information.
The final rule requires that only the year of birth (except in certain
circumstances) and the first three digits of the zip code can be
included in de-identified information.
These changes will not require extensive change from current practice.
Providers generally remove most of the 19 identifiers listed in the
final rule. The Department relied on Gartner Group estimates that some
additional programmer time will be required by covered entities that
produce de-identified information to make revisions in their procedures
to eliminate additional identifiers. Entities that de-identify
information will have to review existing and future data flows to assure
compliance with the final rule. For example, an automated system may
need to be re-programmed to remove additional identifiers from otherwise
protected health information. (The costs of educating staff about the
de-identification requirements are included in the cost estimate for
training staff on privacy policies.)
The Department was not able to obtain any reliable information on the
volume of medical data that is currently de-identified. To provide some
measure of the potential magnitude, we assumed that health plans and
hospitals would have an average of two existing agreements that would
need to be reviewed and modified. Based on information provided by our
consultants, we estimate that these agreements would require an average
of 152 hours by hospitals and 116 hours by health plans to review and
revise existing agreements to conform to the final rule. Using the
weighted average wage of \$47.28, the initial costs will be \$124
million. Using our standard growth rates for wages, patients, and
covered entities, the total cost of the provision is \$1.1 billion over
ten years.
The Department expects that the final rule and the increasing trend
toward computerization of large record sets will result over time in
de-identification being performed by relatively few firms or
associations. Whether the covered entity is a small provider with
relatively few files or a hospital or health plan with large record
files, it will be more efficient to contract with specialists in these
firms or associations (as "business associates" of the covered entity)
to de-identify files. The process will be different but the ultimate
cost is likely to be the same or only slightly higher, if at all, than
the costs for de-identification today. The estimate is for the costs
required to conform existing and future agreements to the provisions of
the rule. The Department has not quantified the benefits that might
arise from changes in the market for de-identified information because
the centralization and efficiency that will come from it will not be
fully realized for several years, and we do not have a reliable means of
estimating such changes.
***Policy and Procedures Development***
The final regulation imposes a variety of requirements which
collectively will necessitate entities to develop policies and
procedures (henceforth in this section to be referred to as policies) to
establish and maintain compliance with the regulation. These include
policies such as those for inspection and copying, amending records, and
receiving complaints.[^50] In developing the final regulations,
simplifying the administrative burden was a significant consideration.
To the extent practical, consistent with maintaining adequate protection
of protected health information, the final rule is designed to encourage
the development of policies by professional associations and others,
that will reduce costs and facilitate greater consistency across
providers and other covered entities.
The development of policies will occur at two levels: first, at the
association or other large scale levels; and second, at the entity
level. Because of the generic nature of many of the final rule's
provisions, the Department anticipates that trade, professional
associations, and other groups serving large numbers of members or
clients will develop materials that can be used broadly. These will
likely include the model privacy practice notice that all covered
entities will have to provide patients; general descriptions of the
regulation's requirements appropriate for various types of health care
providers; checklists of steps entities will have to take to comply;
training materials; and recommended procedures or guidelines. The
Department spoke with a number of professional associations, and they
confirmed that they would expect to provide such materials for their
members at either the federal or state level.
Using Faulkner and Gray's *Health Data Directory 2000*, we identified
216 associations that would be likely to provide guidance to members. In
addition, we assume three organizations (i.e., one for hospitals, health
plans, and other health care providers) in each state would also provide
some additional services to help covered entities coordinate the
requirements of this rule with state laws and requirements. The
Department assumed that these associations would each provide 320 hours
of legal analysis at \$150 per hour, and 640 hours of senior analysts
time at \$50 per hour. This equals \$17.3 million. Hourly rates for
legal council are the average billing rate for a staff attorney.[^51]
The senior analysts rates are based on a salary of \$75,000 per year,
plus benefits, which was provided by a major professional association.
For larger health care entities such as hospitals and health plans, the
Department assumed that the complexity of their operations would require
them to seek more customized assistance from outside council or
consultants. Therefore, the Department assumes that each hospital and
health plan (including self-administered, self-insured health plans)
will, on average, require 40 hours of outside assistance. The resulting
cost for external policy development is estimated to be \$112 million.
All covered entities are expected to require some time for internal
policy development beyond what is provided by associations or outside
consultants. For most non-hospital providers, the external assistance
will provide most of the necessary information. Therefore, we expect
these health care providers will need only eight hours to adapt these
policies for their specific use (training cost is estimated separately
in the impact analysis). Hospitals and health plans, which employ more
individuals and are involved in a wider array of endeavors, are likely
to require more specific policies tailored to their operations to comply
with the final rule. For these entities, we assume an average of 320
hours of policy development per institution. The total cost for internal
policy development is estimated to be \$468 million.
The total cost for policy, plan, and procedures development for the
final regulation is estimated to be \$598 million. All of these costs
are initial costs.
***Training***
The final regulation's requirements provide covered entities with
considerable flexibility in how to best fulfill the necessary training
of their workforce. As a result, the actual practices may vary
substantially based on such factors as the number of members of the
workforce, the types of operations, worker turnover, and experience of
the workforce. Training is estimated to cost \$737 million over ten
years. The Department estimates that at the time of the effective date,
approximately 6.7 million health care workers will have to be trained,
and in the subsequent ten years, 7 million more will have to be trained
because of worker turnover. The estimate of employee numbers are based
on 2000 CPS data regarding the number of health care workers who
indicated they worked for a health care institution. To estimate a
workforce turnover rate, the Department relied on a study submitted in
the public comments which used a turnover rate of ten percent or less,
depending on the labor category. To be conservative, the Department
assumed ten percent for all categories.
Covered entities will need to provide members of the workforce with
varying amounts of training depending on their responsibilities, but on
average, the Department estimates that each member of the workforce who
is likely to have access to protected health information will require
one hour of training in the policies and procedures of the covered
entity. The initial training cost estimate is based on teacher training
with an average class size of ten. After the initial training, the
Department expects some training (for example, new employees in larger
institutions) will be done by videotape, video conference, or computer,
all of which are likely to be less expensive. Training materials were
assumed to cost an average of \$2 per worker. The opportunity cost for
the training time is based on the average wage for each health care
labor category listed in the CPS, plus a 39 percent load for benefits.
Wages were increased based on the wage inflation factor utilized for the
short-term assumptions (which covers ten years) in the Medicare
Trustees' Annual Report for 1999.
***Notice***
This section describes only the cost associated with the production and
provision of a notice. The cost of developing the policy stated in the
notice is covered under policies and procedures, above.
Covered health care providers with direct treatment relationships are
required to provide a notice of privacy practices no later than the date
of the first service delivery to individuals after the compliance date
for the covered health care provider. The Department assumed that for
most types of health care providers (such as physicians, dentists, and
pharmacists) one notice would be distributed to each patient during his
or her first visit following the compliance date for the covered
provider, but not for subsequent visits. For hospitals, however, the
Department assumed that a notice would be provided at each admission,
regardless of how many visits an individual has in a given year. In
subsequent years, the Department assumed that non-hospital providers
would only provide notices to their new patients, because it is assumed
that providers can distinguish between new and old patients, although
hospitals will continue to provide a notice for each admission. The
total number of notices provided in the initial year is estimated to be
816 million.
Under the final rule, only providers that have direct treatment
relationships with individuals are required to provide notices to them.
To estimate the number of visits that trigger a notice in the initial
year and in subsequent years, the Department relied on the Medical
Expenditure Panel Survey (MEPS, 1996 data) conducted by the Department's
Agency for Healthcare Quality and Research. This data set provides
estimates for the number of total visits to a variety of health care
providers in a given year and estimates of the number of patients with
at least one visit to each type of each care provider. To estimate the
number of new patients in a given year, the Department used the National
Ambulatory Medical Care Survey and the National Hospital Ambulatory
Medical Care Survey, which indicate that for ambulatory care visits to
physician offices and hospital ambulatory care departments, 13 percent
of all patients are new. This data was used as a proxy for other types
of providers, such as dentists and nursing homes, because the Department
did not have estimates for new patients for other types of providers.
The number of new patients was increased over time to account for growth
in the patient population. Therefore, the number of notices provided in
years 2004 through 2012 is estimated to be 5.3 billion.
For health plans, the Department estimated the number of notices by
trending forward the average annual rate of growth from 1995 through
1998 (the most recent data available) of private policy holders using
the Census Bureau's Current Population Survey, and also by using Health
Care Financing Administration Office of the Actuary's estimates for
growth in Medicare and Medicaid enrollment. It should be noted that the
regulation does not require that the notice be mailed to individuals.
Therefore, the Department assumed that health plans would include their
privacy policy in the annual mailings they make to members, such as by
adding a page to an existing information booklet.
Since clinical laboratories generally do not have direct contact with
patients, they would not normally be required to provide notices.
However, there are some laboratory services that involve direct patient
contact, such as patients who have tests performed in a laboratory or at
a health fair. We found no data from which we could estimate the number
of such visits. Therefore, we have assumed that labs would incur no
costs as a result of this requirement.
The printing cost of the policy is estimated to be \$0.05, based on data
obtained from the Social Security Administration, which does a
significant number of printings for distribution. Some large bulk users,
such as health plans, can probably reproduce the document for less, and
small providers simply may copy the notice, which would also be less
than \$0.05. Nonetheless, at \$0.05, the total cost of the initial
notice is \$50.8 million.
Using our standard growth rate for patients, the total cost for notices
is estimated to be \$391 million for the ten-year period.
***Requirements on Use and Disclosure for Research***
The final regulation places certain requirements on covered entities
that supply individually identifiable health information to researchers.
As a result of these requirements, researchers who seek such health
information and the Institutional Review Boards (IRBs) that review
research projects will have additional responsibilities. Moreover, a
covered entity doing research, or another entity requesting disclosure
of protected health information for research that is not currently
subject to IRB review (research that is 100 percent privately funded and
which takes place in institutions which do not have "multiple project
assurances") may need to seek IRB or privacy board approval if they want
to avoid the requirement to obtain authorization for use or disclosure
of protected health information for research, thereby creating the need
for additional IRBs and privacy boards that do not currently exist.
To estimate the additional requirements placed on existing IRBs, the
Department relied on a survey of IRBs conducted by James Bell Associates
on behalf of NIH and on estimates of the total number of existing IRBs
provided by NIH staff. Based on this information, the Department
concluded that of the estimated 4,000 IRBs in existence, the median
number of initial current research project reviews is 133 per IRB, of
which only ten percent do not receive direct consent for the use of
protected health information. (Obtaining consent nullifies the need for
IRB privacy scrutiny.) Therefore, in the first year of implementation,
there will be 76,609 initial reviews affected by the regulation, and the
Department assumes that the requirement to consider the privacy
protections in the research protocols under review will add an average
of 1 hour to each review. The cost to researchers for having to develop
protocols which protect protected health information is difficult to
estimate, but the Department assumes that each of the affected 76,609
studies will require an average of an additional 8 hours of time for
protocol development and implementation. At the average medical
scientist hourly wage of \$46.61, the initial cost is \$32.1 million;
the total ten-year cost of these requirements is \$468 million over ten
years.
As stated above, some privately funded research not subject to any IRB
review currently may need to obtain IRB or privacy board approval under
the final rule. Estimating how much research exists which does not
currently go through any IRB review is highly speculative, because the
experts consulted by the Department all agree that there is no data on
the volume of privately funded research. Likewise, public comments on
this subject provided no useful data. However, the Department assumed
that most research that takes place today is subject to IRB review,
given that so much research has some government funding and many large
research institutions have multiple project assurances. As a result, the
Department assumed that the total volume of non-IRB reviewed research is
equal to 25 percent of all IRB-reviewed research, leading to 19,152 new
IRB or privacy board reviews in the first year of the regulation. Using
the same assumptions as used above for wages, time spent developing
privacy protection protocols for researchers, and time spent by IRB and
privacy board members, the total one-year cost for new IRB and privacy
board reviews is \$8 million.
For estimating total ten-year costs, the Department used the Bell study,
which showed an average annual growth rate of 3.7 percent in the number
of studies reviewed by IRBs. Using this growth rate, the total ten-year
cost for the new research requirements is \$117 million.
***Consent***
Under the final rule, a covered health care provider with direct
treatment relationships must obtain an individual's consent for use or
disclosure of protected health information for treatment, payment, or
health care operations. Covered providers with indirect treatment
relationships and health plans may obtain such consent if they so
choose. Providers and health plans that seek consent under this rule can
condition treatment or enrollment upon provision of such consent. Based
on public comments and discussions with a wide array of health care
providers, it is apparent that most currently obtain written consent for
use and disclosure of individually identifiable health information for
payment. Under the final rule, they will have to obtain consent for
treatment and health care operations, as well, but this may entail only
minor changes in the language of the consent to incorporate these other
categories and to conform to the rule.
Although the Department was unable to obtain any systematic data, the
anecdotal evidence suggests that most non-hospital providers and
virtually all hospitals follow this practice. For the cost analysis, the
Department assumes that 90 percent of the non-hospital providers and all
hospitals currently obtain some consent for use and disclosure of
individually identifiable health information. For providers that
currently obtain written consent, there is only a nominal cost for
changing the language on the document to conform to the rule. For this
activity, we assumed \$0.05 cost per document for revising existing
consent documents.
For the ten percent of treating providers who currently do not obtain
consent, there is the cost of creating consent documents (which will be
standardized), which is also assumed to be \$0.05 per document. It is
assumed that all providers required to obtain consent under the rule
will do so upon the first visit, so there will be no mailing cost. For
non-hospital providers, we assume the consent will be maintained in
paper form, which is what most providers currently do (electronic form,
if available, is cheaper to maintain). There is no new cost for records
maintenance because the consent will be kept in active files (paper or
electronic).
The initial cost of the consent requirement is estimated to be \$166
million. Using our standard assumptions for patient growth, the total
costs for the ten years is estimated to be \$227 million.
***Authorizations***
Patient authorizations are required for uses or disclosures of protected
health information that are not otherwise explicitly permitted under the
final rule with or without consent. In addition to uses and disclosures
of protected health information for treatment, payment, and health care
operations with or without consent, the rule also permits certain uses
of protected health information, such as fund-raising for the covered
entity and certain types of marketing activity, without prior consent or
authorization. Authorizations are generally required if a covered entity
wants to provide protected health information to third party for use by
the third party for marketing or for research that is not approved by an
IRB or privacy board.
The requirement for obtaining authorizations for use or disclosure of
protected health information for most marketing activity will make
direct third-party marketing more difficult because covered entities may
not want to obtain and track such authorizations, or they may obtain too
few to make the effort economically worthwhile. However, the final rule
permits an alternative arrangement: the covered entity can engage in
health-related marketing on behalf of a third party, presumably for a
fee. Moreover, the covered entity could retain another party, through a
business associate relationship, to conduct the actual health-related
marketing, such as mailings or telemarketing, under the covered entity's
name. The Department is unable to estimate the cost of these changes
because there is no credible data on the extent of current third party
marketing practices or the price that third party marketers currently
pay for information from covered entities. The effect of the final rule
is to change the arrangement of practices to enhance accountability of
protected health information by the covered entity and its business
associates; however, there is nothing inherently costly in these
changes.
Examples of other circumstances in which authorizations are required
under the final rule include disclosure of protected health information
to an employer for an employment physical, pre-enrollment underwriting
for insurance, or the sharing of protected health insurance information
by an insurer with an employer. The Department assumes there is no new
cost associated with these requirements because providers have said that
obtaining authorization under such circumstances is current practice.
To use or disclose psychotherapy notes for most purposes (including for
treatment, payment, or health care operations), a covered entity must
obtain specific authorization by the individual that is distinct from
any authorization for use and disclosure of other protected health
information. This is current practice, so there is no new cost
associated with this provision.
***Confidential Communications***
The final rule permits individuals to receive communications of
protected health information from a covered health care provider or a
health plan by an alternative means or at an alternative address. A
covered provider and a health plan must accommodate reasonable requests;
however, a health plan may require the individual to state that
disclosure of such information may endanger the individual. A number of
providers and health plans indicated that they currently provide this
service for patients who request it. For providers and health plans with
electronic records system, maintaining separate addresses for certain
information is simple and inexpensive, requiring little or no change in
the system. For providers with paper records, the cost may be higher
because they will have to manually check records to determine which
information must be treated in accordance with such requests. Although
some providers currently provide this service, the Department was unable
to obtain any reliable estimate of the number of such requests today or
the number of providers who perform this service. The cost attributable
to this requirement to send materials to alternate addresses does not
appear to be significant.
***Employers With Insured Group Health Plans***
Some group health plans will use or maintain protected health
information, particularly group health plans that are self-insured.
Also, some plan sponsors that perform administrative functions on behalf
of their group health plans, may need protected health information. The
final rule permits a group health plan, or a health insurance issuer or
HMO that provides benefits on behalf of the group health plan, to
disclose protected health information to a plan sponsor who performs
administrative functions on its behalf for certain purposes and if
certain requirements are met. The plan documents must be amended to:
describe the permitted uses and disclosures of protected health
information by the plan sponsor; specify that disclosure is permitted
only upon receipt of a certification by the plan sponsor that the plan
documents have been amended and the plan sponsor agrees to certain
restrictions on the use of protected health information; and provide for
adequate firewalls to assure unauthorized personnel do not have access
to individually identifiable health information.
Some plan sponsors may need information, not to administer the group
health plan, but to amend, modify, or terminate the plan. ERISA case law
describes such activities as settlor functions. For example, a plan
sponsor may want to change its contract from a preferred provider
organization to a health maintenance organization (HMO). In order to
obtain premium information, the plan sponsor may need to provide the HMO
with aggregate claims information. Under the rule, the plan sponsor can
obtain summary information with certain identifiers removed, in order to
provide it to the HMO and receive a premium rate.
The Department assumes that most plan sponsors who are small employers
(those with 50 or fewer employees) will elect not to receive protected
health information because they will have little, if any, need for such
data. Any needs that plan sponsors of small group health plans may have
for information can be accomplished by receiving the information in
summary form. The Department has assumed that only 5 percent of plan
sponsors of small group health plans that provide coverage through a
contract with an issuer will actually take the steps necessary to
receive protected health information. This is approximately 96,900
firms. For these firms, the Department assumes it will take one hour to
determine procedural and organization issues and an additional 1/3 hour
of an attorney's time to make plan document changes, which will be
simple and essentially standardized. This will cost \$7.1 million.
Plan sponsors who are employers of medium (51-199 employees) and large
(over 200 employees) firms that provide health benefits through
contracts with issuers are more likely to want access to protected
health information for plan administration, for example to use it to
audit claims or perform quality assurance functions on behalf of the
group health plan. The Department assumes that 25 percent of plan
sponsors of medium sized firms and 75 percent of larger firms will want
to receive protected health information. This is approximately 38,000
medium size firms and 27,000 larger firms. To provided access to
protected health information by the group health plan, a plan sponsor
will have to assess the current flow of protected health information
from their issuer and determine what information is necessary and
appropriate. The plan sponsors may then have to make internal
organizational changes to assure adequate protection of protected health
information so that the relevant requirements are met for the group
health plan. We assume that medium size firms will take 16 work hours to
complete organizational changes, plus one hour of legal time to make
changes to plan documents and certify to the insurance carrier that the
firm is eligible to receive protected health information. We assume that
larger firms will require 32 hours of internal organizational work and
one hour of legal time. This will cost \$52.4 million and is a one-time
expense.
***Business Associates***
The final rule requires a covered entity to have a written contract or
other arrangement that documents satisfactory assurance that business
associate will appropriately safeguard protected health information in
order to disclose it to a business associate based on such an
arrangement. The Department expects business associate contracts to be
fairly standardized, except for language that will have to be tailored
to the specific arrangement between the parties, such as the allowable
uses and disclosures of information. The Department assumes the standard
language initially will be developed by trade and professional
associations for their members. Small providers are likely to simply
adopt the language or make minor modifications, while health plans and
hospitals may start with the prototype language but may make more
specific changes to meet their institutional needs. The regulation
includes a requirement that the covered entity take steps to correct,
and in some cases terminate, a contract, if necessary, if they know of
violations by a business associate. This oversight requirement is
consistent with standard oversight of a contract.
The Department could not derive a per entity cost for this work
directly. In lieu of this, we have assumed that the trade and
professional associations' work plus any minor tailoring of it by a
covered entity would amount to one hour per non-hospital provider and
two hours for hospitals and health plans. The larger figure for
hospitals and health plans reflects the fact that they are likely to
have a more extensive array of relationships with business associates.
The cost for the changes in business associate contracts is estimated to
be \$103 million. This will be an initial year cost only because the
Department assumes that this contract language will become standard in
future contracts.
In addition, the Department has estimated the cost for business
associates to comply with the minimum necessary provisions. As part of
the minimum necessary provisions, covered entities will have to
establish policies to ensure that only the minimum necessary protected
health information is shared with business associates. To the extent
that data are exchanged, covered entities will have to review the data
and systems programs to assure compliance.
For non-hospital providers, we estimate that the first year will require
an average of three hours to review existing agreements, and thereafter,
they will require an additional hour to assure business associate
compliance. We estimate that hospitals will require an additional 200
hours the first year and 16 hours in subsequent years; health plans will
require an additional 112 hours the first year and 8 hours in subsequent
years. As in other areas, we have assumed a weighted average wage for
the respective sectors.
The cost of the covered entities assuring business associates' complying
with the minimum necessary is \$197 million in the first year, and a
total of \$697 million over ten years. (These estimates include the both
the cost for the covered entity and the business associates.)
***Inspection and Copying***
In the NPRM estimate, inspection and copying were a major cost. Based on
data and information from the public comments and further fact-finding,
however, the Department has re-estimated these policies and found them
to be much less expensive.
The public comments demonstrate that copying of records is wide-spread
today. Records are routinely copied, in whole or in part, as part of
treatment or when patients change providers. In addition, copying occurs
as part of legal proceedings. The amount of inspection and copying of
medical records that occurs for these purposes is not expected to change
measurably as a result of the final regulation.
The final regulation establishes the right of individuals to access,
that is to inspect and obtain a copy of, protected health information
about them in designated record sets. Although this is an important
right, the Department does not expect it to result in dramatic increases
in requests from individuals. The Georgetown report on state privacy
laws indicates that 33 states currently give patients some right to
access medical information. The most common right of access granted by
state law is the right to inspect personal information held by
physicians and hospitals. In the process of developing estimates for the
cost of providing access, we assumed that most providers currently have
procedures for allowing patients to inspect and obtain a copy of
individually identifiable health information about themselves. The
economic impact of requiring entities to allow individuals to access
their records should be relatively small. One public commenter addressed
this issue and provided specific data which supports this conclusion.
Few studies address the cost of providing medical records to patients.
The most recent was a study in 1998 by the Tennessee Comptroller of the
Treasury. It found an average cost of \$9.96 per request, with an
average of 31 pages per request. The cost per page of providing copies
was \$0.32 per page. This study was performed on hospitals only. The
cost per request may be lower for other types of providers, since those
seeking hospital records are more likely to have more complicated
records than those in a primary care or other types of offices. An
earlier report showed much higher costs than the Tennessee study. In
1992, Rose Dunn published a report based on her experience as a manager
of medical records. She estimated a 10-page request would cost \$5.32 in
labor costs only, equaling labor cost per page of \$0.53. However, this
estimate appears to reflect costs before computerization. The expected
time spent per search was 30.6 minutes; 85 percent of this time could be
significantly reduced with computerization (this includes time taken for
file retrieval, photocopying, and re-filing; file retrieval is the only
time cost that would remain under computerization).
In estimating the cost of copying records, the Department relied on the
public comment from a medical records outsourcing industry
representative, which submitted specific volume and cost data from a
major firm that provides extensive medical record copying services.
According to these data, 900 million pages of medical records are copied
each year in the U.S., the average medical record is 31 pages, and
copying costs are \$0.50 per page. In addition, the commenter noted that
only 10 percent of all requests are made directly from patients, and of
those, the majority are for purposes of continuing care (transfer to
another provider), not for purposes of individual inspection. The
Department assumed that 25 percent of direct patient requests to copy
medical records are for purposes of inspecting their accuracy (i.e., 2.5
percent of all copy requests) or 850,000 in 2003 if the current practice
remained unchanged.
To estimate the marginal increase in copying that might result from the
regulation, the Department assumed that as patients gained more
awareness of their right to inspect and copy their records, more
requests will occur. As a result, the Department assumed a ten percent
increase in the number of requests to inspect and copy medical records
over the current baseline, which would amount to a little over 85,000
additional requests in 2003 at a cost of \$1.3 million. Allowing for a
5.3 percent increase in records based on the increase in ambulatory care
visits, the highest growth rate among health service sectors (the
National Ambulatory Medical Care Survey, 1998), the total cost for the
ten-year period would be \$16.8 million.
The final rule allows a provider to deny an individual the right to
inspect or obtain a copy of protected health information in a designated
record set under certain circumstances, and it provides, in certain
circumstances, that the patient can request the denial to be reviewed by
another licensed health care professional. The initial provider can
choose a licensed health care professional to render the second review.
The Department assumes denials and subsequent requests for reviews will
be extremely rare. The Department estimates there are about 932,000
annual requests for inspections (i.e., base plus new requests resulting
from the regulation), or approximately 11 million over the ten-year
period. If one-tenth of one percent of these requests were to result in
a denial in accordance with the rule, the result would be 11,890 cases.
Not all these cases would be appealed. If 25 percent were appealed, the
result would be 2,972 cases. If a second provider were to spend 15
minutes reviewing the case, the cost would be \$6,000 in the first year
and \$86,360 over ten years.
***Amendments to Protected Health Information***
Many providers and health plans currently allow patients to amend the
information in their medical record, where appropriate. If an error
exists, both the patient and the provider or health plan benefit from
the correction. However, as with inspection and copying, many states do
not provide individuals with the right to request amendment to protected
health information about themselves. Based on these assumptions, the
Department concludes that the principal economic effect of the final
rule would be to expand the right to request amendments to protected
health information held by a health plan or provider to those who are
not currently covered by amendment requirements under state laws or
codes of conduct. In addition, the rule may draw additional attention to
the issue of inaccuracies in information and may stimulate patient
demand for amendment of medical records, including in those states that
currently provide a right to amend medical records.
Under the final regulation, if a patient requests an amendment to his or
her medical record, the provider must either accept the amendment or
provide the individual with the opportunity to submit a statement
disagreeing with the denial. The provider must acknowledge the request
and inform the patient of his action.
The cost calculations assume that individuals who request an opportunity
to amend their medical record have already obtained a copy of it.
Therefore, the administrative cost of amending the patient's record is
completely separate from inspection and copying costs.
Based on fact-finding discussions with a variety of providers, the
Department assumes that 25 percent of the projected 850,000 people who
request to inspect their records will seek to amend them. This number is
the existing demand plus the additional requests resulting from the
rule. Over ten years, the number of expected amendment requests will be
2.7 million. Unlike inspections, which currently occur in a small
percentage of cases, our fact-finding suggests that patients very rarely
seek to amend their records, but that the establishment of this right in
the rule will spur more requests. The 25 percent appears to be high
based on our discussions with providers but it is being used to avoid an
underestimation of the cost.
As noted, the provider or health plan is not required to evaluate any
amendment requests, only to append or otherwise link to the request in
the record. We expect the responses will vary: sometimes an assistant
will only make the appropriate notation in the record, requiring only a
few minutes; other times a provider or manager will review the request
and make changes if appropriate, which may require as much as an hour.
To be conservative in its estimate, the Department has assumed, on
average, 30 minutes for each amendment request at a cost of \$47.28 per
hour (2000 CPS).
The first-year cost for the amendment policy is estimated to be \$5
million. The ten-year cost of this provision is \$78.8 million.
***Law Enforcement and Judicial and Administrative Proceedings***
The law enforcement provisions of the final rule allow disclosure of
protected health information without patient authorization under four
circumstances: (1) pursuant to legal process or as otherwise required by
law; (2) to locate or identify a suspect, fugitive, material witness, or
missing person; (3) under specified conditions regarding a victim of
crime; and (4) and when a covered entity believes the protected health
information constitutes evidence of a crime committed on its premises.
As under current law and practice, a covered entity may disclose
protected health information to a law enforcement official if such
official.
Based on our fact finding, we are not able to estimate any additional
costs from the final rule regarding disclosures to law enforcement
officials. The final rule makes clear that current court orders and
grand jury subpoenas will continue to provide a basis for covered
entities to disclose protected health information to law enforcement
officials. The three-part test, which covered entities must use to
decide whether to disclose information in response to an administrative
request such as an administrative subpoena, represents a change from
current practice. There will be only minimal costs to draft the standard
language for such subpoenas. We are unable to estimate other costs
attributable to the use of administrative subpoenas. We have not been
able to discover any specific information about the costs to law
enforcement of establishing the predicates for issuing the
administrative subpoena, nor have we been able to estimate the number of
such subpoenas that will likely be issued once the final rule is
implemented.
A covered entity may disclose protected health information in response
to an order in the course of a judicial or administrative proceeding if
reasonable efforts have been made to give the individual, who is the
subject of the protected health information, notice of and an
opportunity to object to the disclosure or to secure a qualified
protective order.
The Department was unable to estimate any additional costs due to
compliance with the final rule's provisions regarding judicial and
administrative proceedings. The provision requiring a covered entity to
make efforts to notify an individual that his or her records will be
used in proceedings is similar to current practice; attorneys for
plaintiffs and defendants agreed that medical records are ordinarily
produced after the relevant party has been notified. With regard to
protective orders, we believe that standard language for such orders can
be created at minimal cost. The cost of complying with such protective
orders will also likely be minimal, because attorney\'s client files are
ordinarily already treated under safeguards comparable to those
contemplated under the qualified protective orders. The Department was
unable to make an estimate of how many such protective orders might be
created annually.
We thus do not make any estimate of the initial or ongoing costs for
judicial, administrative, or law enforcement proceedings.
***Costs to the Federal Government***
The rule will have a cost impact on various federal agencies that
administer programs that require the use of individual health
information. The federal costs of complying with the regulation and the
costs when federal government entities are serving as providers are
included in the regulation's total cost estimate outlined in the impact
analysis. Federal agencies or programs clearly affected by the rule are
those that meet the definition of a covered entity. However, non-covered
agencies or programs that handle medical information, either under
permissible exceptions to the disclosure rules or through an
individual's expressed authorization, will likely incur some costs
complying with provisions of this rule. A sample of federal agencies
encompassed by the broad scope of this rule include the: Department of
Health and Human Services, Department of Defense, Department of Veterans
Affairs, Department of State, and the Social Security Administration.
The greatest cost and administrative burden on the federal government
will fall to agencies and programs that act as covered entities, by
virtue of being either a health plan or provider. Examples include the
Medicare, Medicaid, Children's Health Insurance and Indian Health
Service programs at the Department of Health and Human Services; the
CHAMPVA health program at the Department of Veterans Affairs; and the
TRICARE health program at the Department of Defense. These and other
health insurance or provider programs operated by the federal government
are subject to requirements placed on covered entities under this rule,
including, but not limited to, those outlined in Section D of the impact
analysis. While many of these federal programs already afford privacy
protections for individual health information through the Privacy Act
and standards set by the Departments and implemented through their
contracts with providers, this rule is nonetheless expected to create
additional requirements. Further, we anticipate that most federal health
programs will, to some extent, need to modify their existing practices
to comply fully with this rule. The cost to federal programs that
function as health plans will be generally the same as those for the
private sector.
A unique cost to the federal government will be in the area of
enforcement. The Office for Civil Rights (OCR), located at the
Department of Health and Human Services, has the primary responsibility
to monitor and audit covered entities. OCR will monitor and audit
covered entities in both the private and government sectors, will ensure
compliance with requirements of this rule, and will investigate
complaints from individuals alleging violations of their privacy rights.
In addition, OCR will be required to recommend penalties and other
remedies as part of their enforcement activities. These responsibilities
represent an expanded role for OCR. Beyond OCR, the enforcement
provisions of this rule may have additional costs to the federal
government through increased litigation, appeals, and inspector general
oversight.
Examples of other unique costs to the federal government may include
such activities as public health surveillance at the Centers for Disease
Control and Prevention, health research projects at the Agency for
Healthcare Research and Quality, clinical trials at the National
Institutes of Health, and law enforcement investigations and
prosecutions by the Federal Bureau of Investigations. For these and
other activities, federal agencies will incur some costs to ensure that
protected health information is handled and tracked in ways that comply
with the requirements of this title.
We estimate that federal costs under this rule will be approximately
\$196 million in 2003 and \$1.8 billion over ten years. The ten-year
federal cost estimate represents about 10.2 percent of the privacy
regulation's total cost. This estimate was derived in two steps.
First, we assumed that the proportion of the privacy regulation's total
cost accruing to the federal government in a given year will be
equivalent to the proportion of projected federal costs as a percentage
of national health expenditures for that year. To estimate these
proportions, we used the Health Care Financing Administration's November
1998 National Health Expenditure projections (the most recent data
available) of federal health expenditures as a percent of national
health expenditures from 2003 through 2008, trended forward to 2012. We
then adjusted these proportions to exclude Medicare and Medicaid
spending, reflecting the fact that the vast majority of participating
Medicare and Medicaid providers will not be able to pass through the
costs of complying with this rule to the federal government because they
are not reimbursed under cost-based payment systems. This calculation
yields a partial federal cost of \$166 million in 2003 and \$770 million
over ten years.
Second, we add the Medicare and federal Medicaid costs resulting from
the privacy regulation that HCFA's Office of the Actuary project can be
passed through to the federal government. These costs reflect the
actuaries' assumption regarding how much of the total privacy regulation
cost burden will fall on participating Medicare and Medicaid providers,
based on the November 1998 National Health Expenditure data. Then the
actuaries estimate what percentage of the total Medicare and federal
Medicaid burden could be billed to the programs, assuming that 1) only 3
percent of Medicare providers and 5 percent of Medicaid providers are
still reimbursed under cost-based payment systems, and 2) over time,
some Medicaid costs will be incorporated into the state's Medicaid
expenditure projections that are used to develop the federal cost share
of Medicaid spending. The results of this actuarial analysis add another
\$30 million in 2003 and \$1.0 billion over ten years to the federal
cost estimate. Together, these three steps constitute the total federal
cost estimate of \$236 million in 2003 and \$2.2 billion over ten years.
***Costs to State and Local Governments***
The rule will also have a cost effect on various state and local
agencies that administer programs requiring the use of individually
identifiable health information. State and local agencies or programs
clearly affected by the rule are those that meet the definition of a
covered entity. The costs when government entities are serving as
providers are included in the total cost estimates. However, non-covered
agencies or programs that handle individually identifiable health
information, either under permissible exceptions to the disclosure rules
or through an individual's expressed authorization, will likely incur
some costs complying with provisions of this rule. Samples of state and
local agencies or programs encompassed by the broad scope of this rule
include: Medicaid, State Children's Health Insurance Programs, county
hospitals, state mental health facilities, state or local nursing
facilities, local health clinics, and public health surveillance
activities, among others. We have included state and local costs in the
estimation of total costs in this section.
The greatest cost and administrative burden on the state and local
government will fall to agencies and programs that act as covered
entities, by virtue of being either a health plan or provider, such as
Medicaid, State Children's Health Insurance Programs, and county
hospitals. These and other health insurance or provider programs
operated by state and local government are subject to requirements
placed on covered entities under this rule, including, but not limited
to, those outlined in this section (Section E) of the impact analysis.
Many of these state and local programs already afford privacy
protections for individually identifiable health information through the
Privacy Act. For example, state governments often become subject to
Privacy Act requirements when they contract with the federal government.
This rule is expected to create additional requirements beyond those
covered by the Privacy Act. Furthermore, we anticipate that most state
and local health programs will, to some extent, need to modify their
existing Privacy Act practices to fully comply with this rule. The cost
to state and local programs that function as health plans will be
different than the private sector, much as the federal costs vary from
private health plans.
A preliminary analysis suggests that state and local government costs
will be on the order of \$460 million in 2003 and \$2.4 billion over ten
years. We assume that the proportion of the privacy regulation's total
cost accruing to state and local governments in a given year will be
equivalent to the proportion of projected state and local costs as a
percentage of national health expenditures for that year. To estimate
these proportions, we used the Health Care Financing Administration's
November 1998 National Health Expenditure projections of state and local
health expenditures as a percent of national health expenditures from
2003 through 2008, trended forward to 2012. Based on this approach, we
assume that over the entire 2003 to 2012 period, 13.6 percent, or \$2.4
billion, of the privacy regulation's total cost will accrue to state and
local governments. Of the \$2.4 billion state and local government cost,
19 percent will be incurred in the regulation's first year (2003). In
each of the out-years (2004-2012), the average percent of the total cost
incurred will be about nine percent per year. These state and local
government costs are included in the total cost estimates discussed in
the regulatory impact analysis.
**F. Benefits**
There are important societal benefits associated with improving health
information privacy. Confidentiality is a key component of trust between
patients and providers, and some studies indicate that a lack of privacy
may deter patients from obtaining preventive care and treatment[^52].
For these reasons, traditional approaches to estimating the value of a
commodity cannot fully capture the value of personal privacy. It may be
difficult for individuals to assign value to privacy protection because
most individuals view personal privacy as a right. Therefore, the
benefits of the proposed regulation are impossible to estimate based on
the market value of health information alone. However, it is possible to
evaluate some of the benefits that may accrue to individuals as a result
of proposed regulation, and these benefits, alone, suggest that the
regulation is warranted. Added to these benefits is the intangible value
of privacy, the security that individuals feel when personal information
is kept confidential. This benefit is very real and very significant but
there are no reliable means of measuring dollar value of such benefit.
As noted in the comment and response section, a number of commenters
raised legitimate criticisms of the Department's approach to estimating
benefits. The Department considered other approaches, including attempts
to measure benefits in the aggregate rather than the specific examples
set forth in the NPRM. However, we were unable to identify data or
models that would provide credible measures. Privacy has not been
studied empirically from an economic perspective, and therefore, we
concluded that the approach taken in the NPRM is still the most useful
means of illustrating that the benefits of the regulation are
significant in relation to the economic costs.
Before beginning the discussion of the benefits, it is important to
create a framework for how the costs and benefits may be viewed in terms
of individuals rather than societal aggregates. We have estimated the
value an insured individual would need to place on increased privacy to
make the privacy regulation a net benefit to those who receive health
insurance. Our estimates are derived from data produced by the 1998
Current Population Survey from the Census Bureau (the most recent
available at the time of the analysis), which show that 220 million
persons are covered by either private or public health insurance.
Joining the Census Bureau data with the costs calculated in Section E,
we have estimated the cost of the regulation to be approximately \$6.25
per year (or approximately \$0.52 per month) for each insured individual
(including people in government programs). If we assume that individuals
who use the health care system will be willing to pay more than this per
year to improve health information privacy, the benefits of the proposed
regulation will outweigh the cost.
This is a conservative estimate of the number of people who will benefit
from the regulation because it assumes that only those individuals who
have health insurance or are in government programs will use medical
services or benefit from the provisions of the proposed regulation.
Currently, there are 42 million Americans who do not have any form of
health care coverage. The estimates do not include those who pay for
medical care directly, without any insurance or government support. By
lowering the number of users in the system, we have inflated our
estimate of the per-person cost of the regulation; therefore, we assume
that our estimate represents the highest possible cost for an
individual.
An alternative approach to determining how people would have to value
increased privacy for this regulation to be beneficial is to look at the
costs divided by the number of encounters with health care professionals
annually. Data from the Medical Expenditure Panel Survey (MEPS) produced
by the Agency for Healthcare Policy Research (AHCPR) show approximately
776.3 million health care visits (e.g., office visits, hospital and
nursing home stays, etc.) in the first year (2003). As with the
calculation of average annual cost per insured patient, we divided the
total cost of complying with the regulation by the total annual number
of health care visits. The cost of instituting requirements of the
proposed regulation is \$0.19 per health care visit. If we assume that
individuals would be willing to pay more than \$0.19 per health care
visit to improve health information privacy, the benefits of the
proposed regulation outweigh the cost.
***Qualitative Discussion***
A well designed privacy standard can be expected to build confidence
among the public about the confidentiality of their medical records. The
seriousness of public concerns about privacy in general are shown in the
1994 Equifax-Harris Consumer Privacy Survey, where "84 percent of
Americans are either very or somewhat concerned about threats to their
personal privacy."[^53] A 1999 report, "Promoting Health and Protecting
Privacy" notes "\...many people fear their personal health information
will be used against them: to deny insurance, employment, and housing,
or to expose them to unwanted judgements and scrutiny.\"[^54] These
concerns would be partly allayed by the privacy standard.
Fear of disclosure of treatment is an impediment to health care for many
Americans. In the 1993 Harris-Equifax Health Information Privacy Survey,
seven percent of respondents said they or a member of their immediate
family had chosen not to seek medical services due to fear of harm to
job prospects or other life opportunities. About two percent reported
having chosen not to file an insurance claim because of concerns of lack
of privacy or confidentiality.[^55] Increased confidence on the part of
patients that their privacy would be protected would lead to increased
treatment among people who delay or never begin care, as well as among
people who receive treatment but pay directly (to the extent that the
ability to use their insurance benefits will reduce cost barriers to
more complete treatment). It will also change the dynamic of current
payments. Insured patients currently paying out-of-pocket to protect
confidentiality will be more likely to file with their insurer and to
seek all necessary care. The increased utilization that would result
from increased confidence in privacy could be beneficial under many
circumstances. For many medical conditions, early and comprehensive
treatment can lead to lower costs.
The following are four examples of areas where increased confidence in
privacy would have significant benefits. They were chosen both because
they are representative of widespread and serious health problems, and
because they are areas where reliable and relatively complete data are
available for this kind of analysis. The logic of the analysis, however,
applies to any health condition, including relatively minor conditions.
We expect that some individuals might be concerned with maintaining
privacy even if they have no significant health problems because it is
likely that they will develop a medical condition in the future that
they will want to keep private.
[Cancer]{.underline}
The societal burden of disease imposed by cancer is indisputable. Cancer
is the second leading cause of death in the US[^56], exceeded only by
heart disease. In 2000, it is estimated that 1.22 million new cancer
cases will be diagnosed.[^57] The estimated prevalence of cancer cases
(both new and existing cases) in 1999 was 8.37 million.[^58] In addition
to mortality, incidence, and prevalence rates, the other primary methods
of assessing the burden of disease are cost-of-illness and quality of
life measures.[^59] Cost of illness measures the economic costs
associated with treating the disease (direct costs) and lost income
associated with morbidity and mortality (indirect costs). The National
Institutes of Health estimates that the overall annual cost of cancer in
1990 was \$96.1 billion; \$27.5 billion in direct medical costs and
\$68.7 billion for lost income due to morbidity and mortality.[^60]
Health-related quality of life measures integrate the mortality and
morbidity effects of disease to produce health status scores for an
individual or population. For example, the Quality Adjusted Life Year
(QALY) combines the pain, suffering, and productivity loss caused by
illness into a single measure. The Disability Adjusted Life Year (DALY)
is based on the sum of life years lost to premature mortality and years
that are lived, adjusted for disability.[^61] The analysis below is
based on the cost-of-illness measure for cancer, which is more developed
than the quality of life measure.
Among the most important elements in the fight against cancer are
screening, early detection and treatment of the disease. However, many
patients are concerned that cancer detection and treatment will make
them vulnerable to discrimination by insurers or employers. These
privacy concerns have been cited as a reason patients do not seek early
treatment for diseases such as cancer. As a result of forgoing early
treatment, cancer patients may ultimately face a more severe illness
and/or premature death.
Increasing people's confidence in the privacy of their medical
information would encourage more people with cancer to seek cancer
treatment earlier, which would increase cancer survival rates and thus
reduce the lost wages associated with cancer. For example, only 24
percent of ovarian cancers are diagnosed in the early stages. Of these,
approximately 90 percent of patients survive treatment. The survival
rate of women who detect breast cancer early is similarly high; more
than 90 percent of women who detect and treat breast cancer in its early
stages will survive.[^62]
We have attempted to estimate the annual savings in foregone wages that
would result from earlier treatment due to enhanced protection of the
privacy of medical records. We do not assume there would be increased
medical costs from earlier treatment because the costs of earlier and
longer cancer treatment are probably offset by the costs of treating
late-stage cancer among people who would otherwise not be treated until
their cases had progressed.
Although figures on the number of individuals who avoid cancer treatment
due to privacy concerns do not exist, some indirect evidence is
available. A 1993 Harris-Equifax Health Information Privacy Survey
(noted earlier) found that seven percent of respondents reported that
they or a member of their immediate family had chosen not to seek
services for a physical or mental health condition due to fear of harm
to job prospects or other life opportunities. It should be noted that
this survey is somewhat dated and represents only one estimate.
Moreover, given the wording of the question, there are other reasons
aside from privacy concerns that led these individuals to respond
affirmatively. However, for the purposes of this estimate, we assume
that privacy concerns were responsible for the majority of positive
responses.
Based on the Harris-Equifax survey estimate that seven percent of people
did not seek services for physical or mental health conditions due to
fears about job prospects or other opportunities, we assume that the
proportion of people diagnosed with cancer who did not seek earlier
treatment due to these fears is also seven percent. Applying this seven
percent figure to the estimated number of total cancer cases (8.37
million) gives us an estimate of 586,000 people who did not seek earlier
cancer treatment due to privacy concerns. We estimate annual lost wages
due to cancer morbidity and mortality per cancer patient by dividing
total lost wages (\$68.7 billion) by the number of cancer patients (8.37
million), which rounds to \$8,200. We then assume that cancer patients
who seek earlier treatment would achieve a one-third reduction in cancer
mortality and morbidity due to earlier treatment. The assumption of a
one-third reduction in mortality and morbidity is derived from a study
showing a one-third reduction in colorectal cancer mortality due to
colorectal cancer screening.[^63] We could have chosen a lower or higher
treatment success rate. By multiplying 586,000 by \$8,200 by one-third,
we calculate that \$1.6 billion in lost wages could be saved each year
by encouraging more people to seek early cancer treatment through
enhanced privacy protections. This estimate illustrates the potential
savings in lost wages due to cancer that could be achieved with greater
privacy protections.
[HIV/AIDS]{.underline}
Early detection is essential for the survival of a person with HIV
(Human Immunodeficiency Virus). Concerns about the confidentiality of
HIV status would likely deter some people from getting tested. For this
reason, each state has passed some sort of legislation regarding
confidentiality of an individual's HIV status. However, HIV status can
be revealed indirectly through disclosure of HAART (Highly Active
Anti-Retroviral Therapy) or similar HIV treatment drug use. In addition,
since HIV/AIDS (Acquired Immune Deficiency Syndrome) is often the only
specially protected condition, "blacked out" information on medical
charts could indicate HIV positive status.[^64] Strengthening privacy
protections beyond this disease could increase confidence in privacy
regarding HIV as well. Drug therapy for HIV positive persons has proven
to be a life-extending, cost-effective tool.[^65] A 1998 study showed
that beginning treatment with HAART in the early asymptomatic stage is
more cost-effective than beginning it late. After five years, only 15
percent of patients with early treatment are estimated to develop an ADE
(AIDS-defining event), whereas 29 percent would if treatment began
later. Early treatment with HAART prolongs survival (adjusted for
quality of life) by 6.2 percent. The overall cost of early HAART
treatment is estimated at \$23,700 per quality-adjusted year of life
saved.[^66]
[Other Sexually Transmitted Diseases]{.underline}
It is difficult to know how many people are avoiding testing for STDs
despite having a sexually transmitted disease. A 1998 study by the
Kaiser Family Foundation found that the incidence of disease was 15.3
million in 1996, though there is great uncertainty due to
under-reporting.[^67] For a potentially embarrassing disease such as an
STD, seeking treatment requires trust in both the provider and the
health care system for confidentiality of such information. Greater
trust should lead to more testing and greater levels of treatment.
Earlier treatment for curable STDs can mean a decrease in morbidity and
the costs associated with complications. These include expensive
fertility problems, fetal blindness, ectopic pregnancies, and other
reproductive complications.[^68] In addition, there could be greater
overall savings if earlier treatment translates into reduced spread of
infections.
[Mental Health Treatment]{.underline}
When individuals have a better understanding of the privacy practices
that we are requiring in this proposed rule, some will be less reluctant
to seek mental health treatment. One way that individuals will receive
this information is through the notice requirement. Increased use of
mental health and services would be expected to be beneficial to the
persons receiving the care, to their families, and to society at large.
The direct benefit to the individual from treatment would include
improved quality of life, reduced disability associated with mental
conditions, reduced mortality rate, and increased productivity
associated with reduced disability and mortality. The benefit to
families would include quality of life improvements and reduced medical
costs for other family members associated with abusive behavior by the
treated individual.
The potential economic benefits associated with improving privacy of
individually identifiable health information and thus encouraging some
portion of individuals to seek initial mental health treatment or
increase service use are difficult to quantify well. Nevertheless, using
a methodology similar to the one used above to estimate potential
savings in cancer costs, one can lay out a range of possible benefit
levels to illustrate the possibility of cost savings associated with an
expansion of mental health and treatment to individuals who, due to
protections offered by the privacy regulation, might seek treatment that
they otherwise would not have. This can be illustrated by drawing upon
existing data on the economic costs of mental illness and the treatment
effectiveness of interventions.
The 1998 Substance Abuse and Mental Health Statistics Source Book from
the Substance Abuse and Mental Health Services Administration (SAMHSA)
estimates that the economic cost to society of mental illness in 1994
was about \$204.4 billion. About \$91.7 billion was due to the cost of
treatment and medical care and \$112.6 billion (1994 dollars) was due to
loss of productivity associated with morbidity and mortality and other
related costs, such as crime.[^69] Evidence suggests that appropriate
treatment of mental health disorders can result in 50-80 percent of
individuals experiencing improvements in these types of conditions.
Improvements in patient functioning and reduced hospital stays could
result in hundreds of millions of dollars in cost savings annually.
Although figures on the number of individuals who avoid mental health
treatment due to privacy concerns do not exist, some indirect evidence
is available. As noted in the cancer discussion, the 1993 Harris-Equifax
Health Information Privacy Survey found that 7 percent of respondents
reported that they or a member of their immediate family had chosen not
to seek services for a physical or mental health condition due to fear
of harm to job prospects or other life opportunities. (See above for
limitations to this data).
We assume that the proportion of people with a mental health disorder
who did not seek treatment due to fears about job prospects or other
opportunities is the same as the proportion in the Harris-Equifax survey
sample who did not seek services for physical or mental health
conditions due to the same fears (7 percent). The 1999 Surgeon General's
Report on Mental Health estimates that 28 percent of the U.S. adult
population has a diagnosable mental and/or substance abuse disorder and
20 percent of the population has a mental and/or substance abuse
disorder *for which they do not receive treatment*.[^70] Based on the
Surgeon General's Report, we estimate that 15 percent of the adult
population has a mental disorder for which they do not seek
treatment.[^71] Assuming that 7 percent of those with mental disorders
did not seek treatment due to privacy concerns, we estimate that 1.05
percent of the adult population[^72] (15 percent multiplied by 7
percent), or 2.07 million people, did not seek treatment for mental
illness due to privacy fears.
The indirect (non-treatment) economic cost of mental illness per person
with mental illness is \$2,590 (\$112.6 billion divided by 43.4 million
people with mental illness).[^73] The treatment cost of mental illness
per person with mental illness is \$2,110 (\$91.7 billion divided by
43.4 million individuals). If we assume that indirect economic costs
saved by encouraging more individuals with mental illness to enter
treatment are offset by the additional treatment costs, the net savings
is about \$480 per person.
As stated above, appropriate treatment of mental health disorders can
result in 50-80 percent of individuals experiencing improvements in
these types of conditions. Therefore, we multiply the number of
individuals with mental disorders who would seek treatment with greater
privacy protections (2.07 million) by the treatment effectiveness rate
by the net savings per effective treatment (\$480). Assuming a 50
percent success rate, this equation yields annual savings of \$497
million. Assuming an 80 percent success rate, this yields annual savings
of \$795 million.
Given the existing data on the annual economic costs of mental illness
and the rates of treatment effectiveness for these disorders, coupled
with assumptions regarding the percentage of individuals who would seek
mental health treatment with greater privacy protections, the potential
net economic benefits could range from approximately \$497 million to
\$795 million annually.
**V. FINAL REGULATORY FLEXIBILITY ANALYSIS**
**A. Introduction**
Pursuant to the Regulatory Flexibility Act 5 U.S.C. 601 et.seq., the
Department must prepare a regulatory flexibility analysis if the
Secretary certifies that a final rule would have a significant economic
impact on a substantial number of small entities.[^74]
This analysis addresses four issues: (1) the need for, and objective of,
the rule; (2) a summary of the public comments to the NPRM and the
Department's response; (3) a description and estimate of the number of
small entities affected by the rule; and (4) a description of the steps
the agency has taken to minimize the economic impact on small entities,
consistent with the law and the intent of the rule. The following
sections provide details on each of these issues. A description of the
projected reporting and record keeping requirements of the rule are
included in Section IX, below.
**B. Reasons for Promulgating the Rule**
This proposed rule is being promulgated in response to a statutory
mandate to do so under section 264 of Public Law 104-191. Additional
information on the reasons for promulgating the rule can be found in
earlier preamble discussions (see Section I. B. above).
***1. Objectives and Legal Basis***
This information can be found in earlier preamble discussions (See I. C.
and IV., above).
***2. Relevant Federal Provisions***
This information can be found in earlier preamble discussions (See I.
C., above).
**C. Summary of Public Comments**
The Department received only a few comments regarding the Initial
Regulatory Flexibility Analysis (IRFA) contained in the NPRM. A number
of commenters argued that the estimates IRFA were too low or incomplete.
The estimates were incomplete to the extent that a number of significant
policy provisions in the proposal were not estimated because of too
little information at the time. In the final IRFA we have estimates for
these provisions. As for the estimates being too low, the Department has
sought as much information as possible. The methodology employed for
allocating costs to the small business sectors is explained in the
following section.
Most of the other comments pertaining to the IRFA criticized specific
estimates in the NPRM. Generally, the commenters argued that certain
cost elements were not included in the cost estimates presented in the
NPRM. The Department has expanded our description of our data and
methodology in both the final RIA and this final RFA to try to clarify
the data and assumptions made and the rationale for using them.
Finally, a number of commenters suggested that small entities be
exempted from coverage from the final rule, or that they be given more
time to comply. As the Department has explained in the Response to
Comment section above, such changes were considered but rejected. Small
entities constitute the vast majority of all entities that are covered;
to exempt them would essentially nullify the purpose of the rule.
Extensions were also considered but rejected. The rule does not take
effect for two years, which is ample time for small entities to learn
about the rule and make the necessary changes to come into compliance.
**D. Economic Effects on Small Entities**
***1. Number and Types of Small Entities Affected***
The Small Business Administration defines small businesses in the health
care sector as those organizations with less than \$5 million in annual
revenues. Nonprofit organizations are also considered small
entities;[^75] however, individuals and states are not included in the
definition of a small entity. Similarly, small government jurisdictions
with a population of less than 50,000 are considered small
entities.[^76]
Small businesses in the health care sector affected by this rule may
include such businesses as: nonprofit health plans, hospitals, and
skilled nursing facilities (SNFs); small businesses providing health
coverage; small physician practices; pharmacies; laboratories; durable
medical equipment (DME) suppliers; health care clearinghouses; billing
companies; and vendors that supply software applications to health care
entities.
The U.S. Small Business Administration reports that as of 1997, there
were 562,916 small health care entities[^77] classified within the SIC
codes we have identified as being covered establishments (Table A).
**Table A.\--Number of Health Care Establishments That Meet SBA Size
Standards, 1997^1^**
-----------------------------------------------------------------------------------------------------
**Standard **Industry** **Total Number of **Number of **% of
Industrial Code Health Care Establishments Establishments
(SIC)** Establishments** that Meet SBA that Meet SBA
Size Size
Standards^2^ or Standards^2^ or
RFA non- profit RFA non-profit
standard** standard**
------------------- ---------------------------- ------------------ ---------------- ----------------
5910 Drug Stores & Proprietary 48,147 23,923 49.7%
Stores
6320 Accident & Health Insurance 8,083 665 8.2%
& Medical Service Plans (SIC
6320), Self-Insured/ Self
Administered (no SIC), Third
Party Administrators (no
SIC)^3^
7352 Medical Equipment Rental and 3,346 1,836 54.9%
Leasing
8010 Offices & Clinics Of Doctors 190,233 170,962 89.9%
Of Medicine
8020 Offices & Clinics Of 115,020 113,864 99.0%
Dentists
8030 Offices & Clinics Of Doctors 9,143 8,850 96.8%
Of Osteopathy
8040 Offices & Clinics Of Other 89,482 86,596 96.8%
Health Practitioners
8050 Nursing & Personal Care 33,178 17,727 53.4%
Facilities
8060 Hospitals 6,991 3,485 49.8%
8070 Medical & Dental 17,586 13,015 74.0%
Laboratories
8080 Home Health Care Services 19,562 12,841 65.6%
8090 Miscellaneous Health & 22,145 11,219 50.7%
Allied Services
n/a Fully Insured ERISA^2^ 2,125,000 0 NA
n/a Institutional Review Boards 450,000 0 NA
(IRB)^2^
n/a Total^2^ 562,916 464,983 82.6%
1 Source: Office of
Advocacy, U.S.
Small Business
Administration,
from data provided
by the Bureau of
the Census,
Statistics of U.S.
Businesses, 1997.
Establishments that
have less than
\$5,000,000 in
annual revenue are
considered small
businesses here, as
are non-profit
establishments
(regardless of
revenue). We have
non-profit data for
the following SICs:
8050, 8060, and
8080 and have
included the number
of non-profits in
each category into
the table.
^2^ We have not
included the number
of fully insured
ERISA plans or
institutional
review boards (IRB)
in the total number
of health care
establishments or
the number of
establishments that
meet SBA standards
for small entities,
since these are not
separate businesses
with SIC codes and
we do not have
sufficient data to
impute revenues to
them.
^3^ We have
included
self-insured,
self-administered
plans and third
party
administrators in
the total number of
health plans, even
though neither has
individual SIC
codes because we
have the ability to
impute revenues to
them. Therefore,
the number of
health plans in SIC
6320 is greater
than the figure
usually reported in
the Statistics of
U.S. Businesses.
-----------------------------------------------------------------------------------------------------
These small businesses represent 82.6% of all health care establishments
examined.[^78] Small businesses represent a significant portion of the
total number of health care establishments but a small portion of the
revenue stream for all health care establishments. In 1997, the small
health care businesses represented generated approximately \$430 billion
in annual receipts, or 30.2% of the total revenue generated by health
care establishments (Table B).[^79] The following sections provide
estimates of the number of small health care establishments that will be
required to comply with the rule. Note, however, that the SBA's
published annual receipts of health care industries differ from the
National Health Expenditure data that the Health Care Financing
Administration (HCFA) maintains. These data do not provide the specific
revenue data required for a RFA; only the SBA data has the requisite
establishment and revenue data for this analysis.
**Table B.\--Annual Receipts of Health Care Entities, 1997^1^**
--------------------------------------------------------------------------------------------------------------------
**Standard Industrial Code **Industry** **Total Revenue** **Revenue Generated **% of Total
(SIC)** by Small Entities** Revenue
Generated by
Small
Entities**
-------------------------------- ---------------------------- --------------------- ------------------- ------------
5910 Drug Stores & Proprietary \$100,302,441,000 \$25,620,978,000 25.5%
Stores
6320 Accident & Health Insurance \$512,111,493,027 \$657,074,000 0.1%
& Medical Service Plans (SIC
6320), Self-Insured/ Self
Administered (no SIC), Third
Party Administrators (no
SIC)2
*7352* Medical Equipment Rental & \$4,040,646,000 \$1,193,345,000 29.5%
Leasing
*8010* Offices & Clinics Of Doctors \$182,148,148,000 \$105,334,031,000 57.8%
Of Medicine
*8020* Offices & Clinics Of \$48,766,434,000 \$47,218,844,000 96.8%
Dentists
*8030* Offices & Clinics Of Doctors \$4,613,192,000 \$4,039,868,000 87.6%
Of Osteopathy
*8040* Offices & Clinics Of Other \$28,110,189,000 \$23,170,899,000 82.4%
Health Practitioners
*8050* Nursing & Personal Care \$77,166,537,000 \$24,484,098,431 31.7%
Facilities
*8060* Hospitals \$382,540,791,000 \$172,552,388,454 45.1%
*8070* Medical & Dental \$19,872,150,000 \$6,862,628,000 34.5%
Laboratories
*8080* Home Health Care Services \$31,061,036,000 \$12,085,755,906 38.9%
*8090* Miscellaneous Health & \$35,034,774,000 \$6,812,006,000 19.4%
Allied Services
*N/A* Total Receipts \$1,425,767,831,027 \$430,031,915,791 30.2%
1 Source: Office of Advocacy,
U.S. Small Business
Administration, from data
provided by the Bureau of the
Census, Statistics of U.S.
Businesses, 1997. Entities that
have less than \$5,000,000 in
annual revenue are considered
small businesses here, as are
non-profit entities (regardless
of revenue). We have non-profit
data for the following SICs:
8050, 8080, and 8060 and have
included the number of
non-profits in each category
into the table.
2 We have included
self-insured/self-administered
plans and third party
administrators in the total
number of health plans, even
though neither has individual
SIC codes because we have the
ability to impute revenues to
them.
--------------------------------------------------------------------------------------------------------------------
The Small Business Administration reports that approximately 74 percent
of the 18,000 medical laboratories and dental laboratories in the U.S.
are small entities.[^80] Furthermore, based on SBA data, 55 percent of
the 3,300 durable medical equipment suppliers that are not part of drug
and proprietary stores in the U.S. are small entities. Over 90 percent
of health practitioner offices are small businesses.[^81] Doctor offices
(90%), dentist offices (99%), osteopathy (97%) and other health
practitioner offices (97%) are primarily considered small businesses.
There are also a number of hospitals, home health agencies, non-profit
nursing facilities, and skilled nursing facilities that will be affected
by the proposed rule. According to
the American Hospital Association, there are approximately 3,131
nonprofit hospitals nationwide. Additionally, there are 2,788 nonprofit
home health agencies in the U.S. and the Health Care Financing
Administration reports that there are 591 nonprofit nursing facilities
and 4,280 nonprofit skilled nursing facilities.[^82]
Some contractors that are not covered entities but that work with
covered health care entities will be required to adopt policies and
procedures to protect information. We do not expect that the additional
burden placed on contractors will be significant. We have not estimated
the effect of the proposed rule on these entities because we cannot
reasonably anticipate the number or type of contracts affected by the
proposed rule. We also do not know the extent to which contractors would
be required to modify their policy practices as a result of the rule.
***2. Activities and Costs Associated with Compliance***
This section summarizes specific activities that covered entities must
undertake to comply with the rule's provisions and options considered by
the Department that would reduce the burden to small entities. In
developing this rule, the Department considered a variety of
alternatives for minimizing the economic burden that it will create for
small entities. We did not exempt small businesses from the rule because
they represent such a large and critical proportion of the health care
industry (82.6 percent); a significant portion of individually
identifiable health information is generated or held by these small
businesses.
The guiding principle in our considerations of how to address the burden
on small entities has been to make provisions performance rather than
specification oriented--that is, the rule states the standard to be
achieved but allows institutions flexibility to determine how to achieve
the standard within certain parameters. Moreover, to the extent
possible, we have allowed entities to determine the extent to which they
will address certain issues. This ability to adapt provisions to
minimize burden has been addressed in the regulatory impact analysis
above, but it will be briefly discussed again in the following section.
Before discussing specific provisions, it is important to note some of
the broader questions that were addressed in formulating this rule. The
Department considered extending the compliance period for small entities
but concluded that it did not have the legal authority to do so (see
discussion above). The rule, pursuant to HIPAA, creates an extended
compliance time of 36 months (rather than 24 months) only for small
health plans and not for other small entities. The Department also
considered giving small entities longer response times for time limits
set forth in the rule, but decided to establish standard time limits
that we believe are reasonable for covered entities of all sizes, with
the understanding that larger entities may not need as much time as they
have been allocated in certain situations. This permits each covered
entity the flexibility to establish policies regarding time limits that
are consistent with the entity's current practices.
Although we considered the needs of small entities during our
discussions of all provisions for this final rule, we are highlighting
the most significant discussions in the following sections:
***Scalability***
Wherever possible, the final rule provides a covered entity with
flexibility to create policies and procedures that are best suited to
the entity's current practices in order to comply with the standards,
implementation specifications, and requirements of the rule. This allows
the covered entity to assess its own needs in devising, implementing,
and maintaining appropriate privacy policies, procedures, and
documentation to address these regulatory requirements. It also will
allow a covered entity to take advantage of developments and methods for
protecting privacy that will evolve over time in a manner that is best
suited to that institution. This approach allows covered entities to
strike a balance between protecting privacy of individually identifiable
health information and the economic cost of doing so within prescribed
boundaries set forth in the rule. Health care entities must consider
both factors when devising their privacy solutions. The Department
assumes that professional and trade associations will provide guidance
to their members in understanding the rule and providing guidance on how
they can best achieve compliance. This philosophy is similar to the
approach in the Transactions Rule.
The privacy standard must be implemented by all covered entities,
regardless of size. However, we believe that the flexible approach under
this rule is more efficient and appropriate then a single approach to
safeguarding health information privacy. For example, in a small
physician practice, the office manager might be designated to serve as
the privacy official as one of many of her duties. In a large health
plan, the privacy official position may require more time and greater
privacy experience, or the privacy official may have the regular support
and advice of a privacy staff or board. The entity can decide how to
implement this privacy official requirement based on the entity's
structure and needs.
The Department decided to use this scaled approach to minimize the
burden on all entities, with an emphasis on small entities. The varying
needs and capacities of entities should be reflected in the policies and
procedures adopted by the organization and the overall approach it takes
to achieve compliance.
***Minimum Necessary***
> The "minimum necessary" policy in the final rule has essentially three
> components: first,
it does not pertain to certain uses and disclosures including
treatment-related exchange of information among health care providers;
second, for disclosures that are made on a routine basis, such as
insurance claims, a covered entity is required to have policies and
procedures governing such exchanges (but the rule does not require a
case-by-case determination in such cases); and third, providers must
have a process for reviewing non-routine requests on a case-by-case
basis to assure that only the minimum necessary information is
disclosed. The final rule makes changes to the NPRM that reduce the
burden of compliance on small businesses.
Based on public comments and subsequent fact-finding, the Department
sought to lessen the burden of this provision. The NPRM proposed
applying the minimum necessary standard to disclosures to providers for
treatment purposes and would have required individual review of all uses
of protected health information. The final rule exempts disclosures of
protected health information from a covered entity to a health care
provider for treatment from the minimum necessary provision and
eliminates the case-by-case determinations that would have been
necessary under the NPRM. The Department has concluded that the
requirements of the final rule are similar to the current practice of
most health care providers. For standard disclosure requests, for
example, providers generally have established procedures. Under the
final rule providers will have to have policies and procedures to
determine the minimum amount of protected health information to disclose
for standard disclosure requests as well, but may need to review and
revise existing procedures to make sure they are consistent with the
final rule. For non-routine disclosures, providers have indicated that
they currently ask questions to discern how much information should be
disclosed. In short, the minimum necessary requirements of this rule are
similar to current practice, particularly among small providers.
***Policy and Procedures***
The rule requires that covered entities develop and document policies
and procedures with respect to protected health information to establish
and maintain compliance with the regulation. Through the standards,
requirements, and implementation specifications, we are proposing a
framework for developing and documenting privacy policies and procedures
rather than adopting a rigid, prescriptive approach to accommodate
entities of different sizes, type of activities, and business practices.
Small providers will be able to develop more limited policies and
procedures under the rule, than will large providers and health plans,
based on the volume of protected health information. We also expect that
provider and health plan associations will develop model policies and
procedures for their members, which will reduce the burden on small
businesses.
***Privacy Official***
The rule requires covered entities to designate a privacy official who
will be responsible for the development and implementation of privacy
policies and procedures. The implementation of this requirement may vary
based on the size of the entity. For example, a small physician's
practice might designate the office manager as the privacy official in
addition to her broader administrative responsibilities. Once the
privacy official has been trained, the time required to accomplish the
duties imposed on such person is not likely to be much more than under
current practice. Therefore, the requirement imposes a minimal burden on
small businesses.
***Internal Complaints***
The final rule requires covered entities to have an internal process for
individuals to make complaints regarding the covered entities' privacy
policies and procedures required by the rule and its compliance with
such policies. The requirement includes identifying a contact person or
office responsible for receiving complaints and documenting all
complaints received and the disposition of such complaints, if any. The
covered entity only is required to receive and document a complaint (the
complaint can be oral or in writing), which should take a short amount
of time. The Department believes that complaints about a covered
entity's privacy policies and procedures will be uncommon. Thus, the
burden on small businesses should be minimal.
***Training***
In developing the NPRM, the Department considered a number of
alternatives for training, including requiring specific training
materials, training certification, and periodic retraining. In the NPRM,
the Department recommended flexibility in the materials and training
method used, but proposed recertification every three years and
retraining in the event of material changes in policy.
Based on public comment, particularly from small businesses, the
Department has lessened the burden in the final rule. As in the
proposal, the final rule requires all employees who are likely to have
contact with protected health information to be trained. Covered
entities will have to train employees by the compliance date specific to
the type of covered entity and train new employees within a reasonable
time of initial employment. In addition, a covered entity will have to
train each member of its workforce whose functions are affected by a
material change in the policies or procedures of such entity. However,
the final rule leaves to the employer the decisions regarding the nature
and method of training to achieve this requirement. The Department
expects a wide variety of options to be made available by associations,
professional groups, and vendors. Methods might include classroom
instruction, videos, booklets, or brochures tailored to particular
levels of need of workers and employers. Moreover, the recertification
requirement of the NPRM has been dropped to ease the burden on small
entities.
***Consent***
The NPRM proposed prohibiting covered entities from requiring
individuals to provide written consent for the use and disclosure of
protected health information for treatment, payment, and health care
operations purposes. The final rule requires certain health care
providers to obtain written consent before using or disclosing protected
health information for treatment, payment, and health care operations,
with a few exceptions. This requirement was included in the final rule
in response to comments that this reflects current practice of health
care providers health care providers with direct treatment
relationships. Because providers are already obtaining such consent,
this requirement represents a minimal burden.
***Notice of Privacy Rights***
The rule requires covered entities to prepare and make available a
notice that informs individuals about uses and disclosures of protected
health information that may be made by the covered entity and that
informs of the individual's rights and covered entity's legal duties
with respect to protected health information. The final rule makes
changes to the NPRM that reduce the burden of this provision on covered
entities and allows flexibility. The NPRM proposed that the notice
describe the uses and disclosures of information that the entity
*expected to make* without individual authorization. The final rule only
requires that the notice describe uses and disclosures that the entity
is *permitted or required to make under the rule* without an
individual's written consent or authorization. This change will allow
entities to use standardized notice language within a given state, which
will minimize the burden of each covered entity preparing a notice.
Professional associations may develop model language to assist entities
in developing notices required by the rule. While the final rule
specifies minimum notice requirements, it allows entities flexibility to
add more detail about a covered entity's privacy policies.
The NPRM also proposed that health plans distribute the notice every
three years. The final rule reduced this burden by requiring health
plans (in addition to providing notice to individuals at enrollment and
prior to the compliance date of this rule) to inform individuals at
least once every three years about the availability of the notice and
how to obtain a copy rather than to distribute a copy of the notice.
In discussing the requirement for covered entities to prepare and make
available a notice, we considered exempting small businesses (83 percent
of entities) or extremely small entities (fewer than 10 employees). The
Department decided that informing consumers of their privacy rights and
of the activities of covered entities with which they conduct business
was too important a goal of this rule to exempt any entities.
In addition to requiring a basic notice, we considered requiring a
longer more detailed notice that would be available to individuals on
request. However, we decided that it would be overly burdensome to all
entities, especially small entities, to require two notices.
We believe that the proposed rule appropriately balances the benefits of
providing individuals with information about uses and disclosures of
protected health information with covered entities' need for flexibility
in describing such information.
***Access to Protected Health Information***
The public comments demonstrate that inspection and copying of
individually identifiable health information is wide-spread today.
Individuals routinely request copies of such information, in whole or in
part, for purposes that include providing health information to another
health care provider or as part of legal proceedings. The amount of
inspection and copying of individually identifiable health information
that occurs for these purposes is not expected to change as a result of
the final regulation.
The final regulation establishes the right of individuals to inspect and
copy protected health information about them. Although this is an
important right, the Department does not expect it to result in dramatic
increases in requests from individuals. We assume that most health care
providers currently have procedures for allowing patients to inspect and
copy this information. The economic impact on small businesses of
requiring covered entities to provide individuals with access to
protected health information should be relatively small. Moreover,
entities can recoup the costs of copying such information by charging
reasonable cost-based fees.
***Amendments to Protected Health Information***
Many health care providers and health plans currently make provisions to
help patients expedite amendments and corrections of their medical
record where appropriate. If an error exists, both the patient and the
health care provider or health plan benefit from the correction.
However, as with inspection and copying, a person's right to request
amendment and correction of individually identifiable health information
about them is not guaranteed by all states. Based on these assumptions,
the Department concludes that the principal economic effect of the final
rule will be to expand the right to request amendments to protected
health information held by health plans and covered health care
providers to those who are not currently granted such right by state
law. In addition, the rule may draw additional attention to the issue of
record inaccuracies and stimulate patient demand for amendment of
medical records.
Under the final regulation, if an individual requests an amendment to
protected health information about him or her, the health care provider
must either accept the amendment or provide the individual with the
opportunity to submit a statement disagreeing with the denial. We expect
the responses to requests will vary: sometimes an assistant will only
make the appropriate notation in the record, requiring only a few
minutes; other times a health care provider or manager will review the
request and make changes if appropriate, which may require as much as an
hour.
Unlike inspections, which currently occur in a small percentage of
cases, fact-finding suggests that individuals rarely seek to amend their
records today, but the establishment of this right in the rule may spur
more requests, including among those who in the past would have only
sought to inspect their records. Nevertheless, we expect that the
absolute number of additional amendment requests caused by the rule to
be small (about 200,000 per year spread over more than 600,000
entities), which will impose only a minor burden on small businesses.
***Accounting for Disclosures***
The rule grants individuals the right to receive an accounting of
disclosures made by a health care provider or plan for purposes other
than treatment, payment, or health care operations, with certain
exceptions such as disclosures to the individual. The individual may
request an accounting of disclosures made up to six years prior to the
request. In order to fulfill such requests, covered health care
providers and health plans may track disclosures by making a notation in
the individual's medical record regarding the (manual or electronic)
when a disclosure is made. We have learned through fact-finding that
some health care providers currently track various types of disclosures.
Moreover, the Department does not expect many individuals will request
an accounting of disclosures. Thus, this requirement will impose a minor
burden on small businesses.
***De-Identification of Information***
In this rule, the Department allows covered entities to determine that
health information is de-identified (i.e. that it is not individually
identifiable health information), if certain conditions are met.
Moreover, information that has been de-identified in accordance with the
rule is not considered individually identifiable information and may be
used or disclosed without regard to the requirements of the regulation.
The covered entity may assign a code or other means of record
identification to allow de-identified information to be re-identified if
requirements regarding derivation and security are met.
As with other components of this rule, the approach used to remove
identifiers from data can be scaled to the size of the entity.
Individually identifiable health information can be de-identified in one
of two ways; by either removing each of the identifiers listed in the
rule or by engaging in a statistical and scientific analysis to
determine that information is very unlikely to identify an individual.
Small entities without the resources to conduct such an analysis t can
create de-identified information by removing the full list of possible
identifiers set forth in this regulation. Unless the covered entity
knows that the information could still identify an individual, the
requirement of this rule would be fulfilled. However, larger, more
sophisticated covered entities may choose to determine independently
what information needs to be removed based on sophisticated statistical
and scientific analysis.
Efforts to remove identifiers from information are optional. If a
covered entity can not use or disclose protected health information for
a particular purpose but believes that removing identifiers is
excessively burdensome, it can choose not to release the protected
health information, or it can seek an authorization from individuals for
the use or disclosure of protected health information including some or
all of the identifiers.
Finally, as discussed in the Regulatory Impact Analysis, the Department
believes that very few small entities engage in de-identification
currently. Fewer small entities are expected to engage in such activity
in the future because the increasing trend toward computerization of
large record sets will result in de-identification being performed by
relatively few firms or associations over time. We expect that a small
covered entity will find it more efficient to contract with specialists
in large firms to de-identify protected health information. Larger
entities are more likely to have both the electronic systems and the
volume of records that will make them attractive for this business.
***Monitoring Business Associates***
The final rule requires a covered entity with a business associate to
have a written contract or other arrangement that documents satisfactory
assurance that the business associate will appropriately safeguard
protected health information. The Department expects business associate
contracts to be fairly standardized, except for language that will have
to be tailored to the specific arrangement between the parties, such as
the allowable uses and disclosures of information. The Department
assumes the standard language initially will be developed by trade and
professional associations for their members. Small health care providers
are likely to simply adopt the language or make minor modifications. The
regulation includes a requirement that the covered entity take steps to
correct, and in some cases terminate, a contract, if necessary, if they
know of violations by a business associate. This oversight requirement
is consistent with standard oversight of a contract. The Department
expects that most entities, particularly smaller ones, will utilize
standard language that restricts uses and disclosures of individually
identifiable health information their contracts with business
associates. This will limit the burden on small businesses.
The NPRM proposed that covered entities be held accountable for the uses
and disclosures of individually identifiable health information by their
business associates. An entity would have been in violation of the rule
if it knew of a breach in the contract by a business associate and
failed to cure the breach or terminate the contract. The final rule
reduces the extent to which an entity must monitor the actions of its
business associates. The entity no longer has to "ensure" that each
business associate complies with the rule's requirements. Entities will
be required to cure a breach or terminate a contract for business
associate actions only if they knew about a contract violation. The
final rule is consistent with the oversight a business would provide for
any contract, and therefore, the changes in the final rule will impose
no new significant cost for small businesses in monitoring their
business associates' behavior.
***Employers With Insured Group Health Plans***
Some group health plans will use or maintain individually identifiable
health information, particularly group health plans that are
self-insured. Also, some plan sponsors that perform administrative
functions on behalf of their group health plans may need protected
health information. The final rule permits a group health plan, or a
health insurance issuer or HMO that provides benefits on behalf of the
group health plan, to disclose protected health information to a plan
sponsor who performs administrative functions on its behalf for certain
purposes and if certain requirements are met. The plan documents must be
amended to: describe the permitted uses and disclosures of protected
health information by the plan sponsor; specify that disclosure is
permitted only upon receipt of a certification by the plan sponsor that
the plan documents have been amended and the plan sponsor agrees to
certain restrictions on the use of protected health information; and
provide for adequate firewalls to assure unauthorized personnel do not
have access to individually identifiable health information.
Some plan sponsors may need information, not to administer the group
health plan, but to amend, modify, or terminate the health plan. ERISA
case law describes such activities as settlor functions. For example a
plan sponsor may want to change its contract from a preferred provider
organization to a health maintenance organization (HMO). In order to
obtain premium information, the health plan sponsor may need to provide
the HMO with aggregate claims information. Under the rule, the health
plan sponsor can obtain summary information with certain identifiers
removed, in order to provide it to the HMO and receive a premium rate.
The Department assumes that most health plan sponsors who are small
employers (those with 50 or fewer employees) will elect not to receive
individually identifiable health information because they will have
little, if any, need for such data. Any needs that sponsors of small
group health plans may have for information can be accomplished by
receiving the information in summary form from their health insurance
issuers.
***3. The Burden on a Typical Small Business***
The Department expects small entities to face a cost burden as a result
of complying with the proposed regulation. We estimate that the burden
of developing privacy policies and procedures is lower in dollar terms
for small businesses than for large businesses, but we recognize that
the cost of implementing privacy provisions could be a larger burden to
small entities as a proportion of total revenue. Due to these concerns,
we have relied on the principle of scalability throughout the rule, and
have based our cost estimates on the expectation that small entities
will develop less expensive and less complex privacy measures that
comply with the rule than large entities.
In many cases, we have specifically considered the impact that the rule
may have on solo practitioners or rural health care providers. If a
health care provider only maintains paper records and does not engage in
any electronic transactions, the regulation would not apply to such
provider. We assume that those providers will be small health care
providers. For small health care providers that are covered health care
providers, we expect that they will not be required to change their
business practices dramatically, because we based many of the standards,
implementation specifications, and requirements on current practice and
we have taken a flexible approach to allow scalability based on a
covered entity's activities and size. In developing policies and
procedures to comply with the proposed regulation, scalability allows
entities to consider their basic functions and the ways in which
protected health information is used or disclosed. All covered entities
must take appropriate steps to address privacy concerns, and in
determining the scope and extent of their compliance activities,
businesses should weigh the costs and benefits of alternative approaches
and should scale their compliance activities to their structure,
functions, and capabilities within the requirements of the rule.
***Cost Assumptions***
To determine the cost burden to small businesses of complying with the
final rule, we used as a starting point the overall cost of the
regulation determined in the regulatory impact analysis (RIA). Then we
adopted a methodology that apportions the costs found in the RIA to
small business by using Census Bureau's Statistics of U.S. Businesses.
This Census Bureau survey contains data on the number and proportion of
establishments, by Standard Industrial Classification Code (SIC code),
that have revenues of less than \$5 million, which meets the Small
Business Administration's definition of a small business in the health
care sector. This data permitted us to calculate the proportion of the
cost of each requirement in the rule that is attributable to small
businesses. This methodology used for the regulatory flexibility
analysis (RFA) section is therefore based on the methodology used in the
(RIA), which was discussed earlier.
The businesses accounted for in the SIC codes contain three groups of
covered entities: non-hospital health care providers, hospitals, and
health plans. Non-hospital health care providers include: drug stores,
offices and clinics of doctors, dentists, osteopaths, and other health
practitioners, nursing and personal care facilities, medical and dental
laboratories, home health care services, miscellaneous health and allied
services, and medical equipment rental and leasing establishments.
Health plans include accident and health insurance and medical service
plans.
***Data Adjustments***
Several adjustments were made to the SIC code data to more accurately
determine the cost to small and non-profit businesses. For health plans
(SIC code 6320), we adjusted the SIC data to include self-insured,
self-administered health plans because these health plans are not
included in any SIC code, though they are covered entities under the
rule. Similarly, we have added third-party administrators (TPAs) into
this SIC. Although they are not covered entities, TPAs are likely to be
business associates of covered entities. For purposes of the regulatory
analyses, we have assumed that TPAs would bear many of the same costs of
the health plans to assure compliance for the covered entity. To make
this adjustment, we assumed the self-insured/self administered health
plans and TPAs have the average revenue of the health plans contained in
the SIC code, and then added those assumed revenues to the SIC code and
to the total of all health care expenditures. Moreover, we needed to
account for the cost to non-profit institutions that might receive more
than \$5 million in revenue, because all non-profit institutions are
small businesses regardless of revenue. To make this adjustment for
hospitals, nursing homes, and home health agencies, we used data on the
number of non-profit institutions from industry sources and from data
reported to HCFA. With this data, we assumed the current count of
establishments in the SIC codes includes these non-profit entities and
that non-profits have the same distribution of revenues as all
establishments reported in the applicable SIC codes. The proportions
discussed below, which determine the cost for small business, therefore
include these non-profit establishments in SIC codes 8030, 8060, and
8080.
The SIC code tables provided in this RFA do not include several
categories of businesses that are included in the total cost to small
businesses. Claims clearinghouses are not included in the table because
claims clearinghouses report their revenues under the SIC 7374 "Computer
Processing and Data Preparation," and the vast majority of businesses in
this SIC code are involved in non-medical claims data processing. In
addition, claims processing is often just one business-line of companies
that may be involved in multiple forms of data processing, and
therefore, even if the claims processing line of the business generates
less than \$5 million in revenue, the company in total may exceed the
SBA definition for a small business (the total firm revenue, not each
line of business, is the standard for inclusion). Similarly,
fully-insured ERISA health plans sponsored by employers are not
identified as a separate category in the SIC code tables because
employers in virtually all SIC codes may sponsor fully-insured health
plans. We have identified the cost for small fully-insured ERISA health
plans by using the Department of Labor definition of a small ERISA plan,
which is a plan with fewer than 100 insured participants. Using this
definition, the initial cost for small fully-insured ERISA health plans
is \$7.1 million. Finally, Institutional Review Boards (IRBs) will not
appear in a separate SIC code because IRBs are not "businesses"; rather,
they are committees of researchers who work for institutions where
medical research is conducted, such as universities or teaching
hospitals. IRB members usually serve as a professional courtesy or as
part of their employment duties and are not paid separately for their
IRB duties. Although IRBs are not "businesses" that generate revenues,
we have treated them as small business for illustrative purposes in this
RFA to demonstrate the additional opportunity costs that will be faced
by those researchers who sit on IRBs. Therefore, assuming IRBs are small
businesses, the initial costs are \$.089 million and ongoing costs are
approximately \$84.2 million over 9 years.
***The Cost Model Methodology***
The RIA model employs two basic methodologies to determine the costs to
small businesses that are covered entities. As stated above, the RFA
determines the cost to small businesses by apportioning the total costs
in the RIA using SIC code data. In places where the cost of a given
provision of the final rule is a function of the number of covered
entities, we determined the proportion of entities in each SIC code that
have less than \$5 million in revenues (see Table A). We then multiplied
this proportion by the per-entity cost estimate of a given provision as
determined in the RIA. For example, the cost of the privacy official
provision is based on the fact that each covered entity will need to
have a privacy official. Therefore, we multiplied the total cost of the
privacy official, as determined in the RIA, by the proportion of small
businesses in each SIC code to determine the small business cost. Using
hospitals for illustrative purposes, because small and non-profit
hospitals account for 50 percent of all hospitals, our methodology
assigned 50 percent of the cost to small hospitals.
We used a second, though similar, method when the cost of a given
provision in the RIA did not depend on the number of covered entities.
For example, the requirement to provide notice of the privacy policy is
a direct function of the number of patients in the health care system
because the actual number of notices distributed depends on how many
patients are seen. Therefore, for provisions like the notice
requirement, we used SIC code revenue data in a two-step process. First,
we apportioned the cost of each provision among sectors of the health
care industry by SIC code. For example, because hospital revenue
accounts for 27 percent of all health care revenue, we multiplied the
total cost of each such provision by 27 percent to determine the cost
for the hospital sector in total. Then to determine the cost for small
hospitals specifically, we calculated the proportion of revenues within
the SIC code that are attributable to small business and multiplied that
proportion by the overall cost. For example, 45.1 percent of all
hospital revenue is generated by small hospitals, therefore, the cost to
small hospitals was assumed to account for 45.1 percent of all hospital
costs. Estimates, by nature are inexact. However, we feel this is a
reasonable way to determine the small business costs attributable to
this regulation given the limited data from which to work.
***Total Costs and Costs per Establishment for Small Business***
Based on the methodology described above, the total cost of complying
with the final rule in the initial year of 2003 is \$1.9 billion. The
ongoing costs to small business from 2004 to 2012 is \$9.3 billion.
Table C presents the initial and ongoing costs to small business by each
SIC code. According to this table, small doctors offices, small dentists
offices and small hospitals will face the highest cost of complying with
the final rule. However, much of the reason for the higher costs faced
by these three groups of small health care providers is explained by the
fact that there are a significant number of health care providers in
these categories.
**Table C.\--Annual Cost to Small Business of Implementing Provisions of
the Proposed Privacy Regulation**^1^
-------------------------------- ---------------------- ----------------- ----------------- ------------------
**SIC** **Industry** **Initial Cost **Ongoing Cost **Total Costs**
(Year 1)^1^** (Year 2-10)**
5910 Drug Stores & \$153,976,159 \$780,573,862 \$934,550,021
Proprietary Stores
6320 Accident & Health \$41,348,527 \$169,540,638 \$210,889,164
Insurance & Medical
Service Plans^2^
7353 Medical Equipment \$7,171,728 \$36,356,688 \$43,528,416
Rental & Leasing
8010 Offices & Clinics of \$633,033,192 \$3,209,127,747 \$3,842,160,938
Doctors of Medicine
8120 Offices & Clinics of \$283,774,344 \$1,438,578,786 \$1,722,353,130
Dentists
8030 Offices & Clinics of \$24,278,673 \$123,079,430 \$147,358,103
Doctors of Osteopathy
8040 Offices & Clinics of \$139,251,750 \$705,929,263 \$845,181,013
Other Health
Practitioners
8050 Nursing & Personal \$147,143,775 \$745,937,461 \$893,081,236
Care Facilities
8060 Hospitals \$355,459,094 \$1,199,498,063 \$1,554,957,157
8070 Medical & Dental \$41,242,809 \$209,078,203 \$250,321,012
Laboratories
8080 Home Health Care \$72,632,601 \$368,207,067 \$440,839,668
Services
8090 Misc Health & And \$40,938,582 \$207,535,943 \$248,474,525
Allied Services
n/a Fully Insured/ ERISA \$7,137,028 \$0 \$7,137,028
n/a IRBs \$88,813 \$84,162,446 \$84,251,259
n/a Total Cost For Small \$1,947,477,073 \$9,277,605,598 \$11,225,082,671
Business
^1^ Source: Office of Advocacy,
U.S. Small Business
Administration, from data
provided by the Bureau of the
Census, Statistics of U.S.
Businesses, 1997. Entities that
have less than \$5,000,000 in
annual revenue are considered
small businesses here, as are
non-profit entities (regardless
of revenue). We have non-profit
data for the following SICs:
8050, 8080, and 8060 and have
included the number of
non-profits in each category
into the table.
^2^The initial costs include all
costs in the first year,
including costs that recur in
subsequent years.
^3^ We have included
self-insured/self-administered
health plans and third party
administrators in the total
number of health plans, even
though neither has individual
SIC codes because we have the
ability to impute revenues to
them.
-------------------------------- ---------------------- ----------------- ----------------- ------------------
On a per-establishment basis, Table D demonstrates that the average cost
for small business of complying with the proposed rule in the first year
is \$4,188 per-establishment. The ongoing costs of privacy compliance
are approximately \$2,217 each year thereafter. We estimate that the
average cost of compliance in the first year for each small non-hospital
health care provider is approximately 0.6 percent of per-establishment
revenues. In subsequent years, per-establishment costs about 0.3 percent
of per-establishment revenues. For small hospitals and health plans, the
per-establishment cost of compliance in the first year is 0.2 percent
and 6.3 percent of per-establishment revenues respectively. For
subsequent years, the cost is only 0.1 percent and 2.9 percent of
pre-establishment revenues respectively. These costs may be offset in
many firms by the savings realized through requirements of the
Transactions Rule.
**Table D.\--Average Annual per Establishment Privacy Costs^1^**
-------------------------------- ------------------------ ------------------ -------------------
**SIC** **Industry** **Year 1 Privacy **Average Year 2-10
Costs Per Privacy Costs per
Establishment** Establishment**
5910 Drug Stores & \$6,436 \$3,625
Proprietary Stores
6320 Accident & Health \$62,162 \$28,320
Insurance & Medical
Service Plans^2^
7353 Medical Equipment Rental \$3,906 \$2,200
& Leasing
8010 Offices & Clinics of \$3,703 \$2,086
Doctors of Medicine
8120 Offices & Clinics of \$2,492 \$1,404
Dentists
8030 Offices & Clinics of \$2,743 \$1,545
Doctors of Osteopathy
8040 Offices & Clinics of \$1,608 \$906
Other Health Practioners
8050 Nursing & Personal Care \$8,301 \$4,676
Facilities
8060 Hospitals \$101,999 \$38,244
8070 Medical & Dental \$3,169 \$1,785
Laboratories
8080 Home Health Care \$5,656 \$3,186
Services
8090 Misc Health & And Allied \$3,649 \$2,055
Services
n/a Fully Insured/ ERISA^3^ N/A N/A
n/a IRB^3^ N/A N/A
n/a Average for All Small \$4,188 \$2,217
Business
^1^ Source: Office of Advocacy,
U.S. Small Business
Administration, from data
provided by the Bureau of the
Census, Statistics of U.S.
Businesses, 1997. Entities that
have less than \$5,000,000 in
annual revenue are considered
small businesses here, as are
non-profit entities (regardless
of revenue). We have non-profit
data for the following SICs:
8050, 8080, and 8060 and have
included the number of
non-profits in each category
into the table.
^2^ We have included
self-insured/self-administered
health plans and third party
administrators in the total
number of health plans, even
though neither has individual
SIC codes because we have the
ability to impute revenues to
them.
^2^We have not included the
number of fully insured ERISA
health plans or institutional
review boards (IRB) in the total
number of health care entities
or the number of entities that
meet SMA standards for small
entities, since these are not
separate businesses with SIC
codes and we do not have
sufficient data to impute
revenues to them.
-------------------------------- ------------------------ ------------------ -------------------
Table E shows the cost to each SIC code of the major cost items of the
final rule. Listed are the top-five most costly provisions of the rule
(to small business) and then the cost of all other remaining provisions.
The costs of the most expensive five provisions represent 90 percent of
the cost of the ongoing costs to small business, while the remaining
provisions only represent 7 percent.
**Table E.\--Average Annual Ongoing Cost to Small Business of
Implementing Provisions of the Privacy Regulation, After the First
Year**^1^
------------------- --------------- --------------- -------------- -------------------- -------------- ---------------
**Industry** **Average **Average **Average **Average Annual **Average **Average
Annual Ongoing Annual Ongoing Annual Ongoing Ongoing Cost for Annual Ongoing Annual Ongoing
Cost for Cost for Cost for De-Identification, Cost for Cost for All
Privacy Minimum Disclosure per Industry Training, per Other
Official, per Necessary, per Tracking, per Sector** Industry Provisions, per
Industry Industry Industry Sector** Industry
Sector** Sector** Sector** Sector**
Drug Stores & \$37,997,168 \$30,008,085 \$3,597,262 \$3,751,011 \$4,083,677 \$7,293,227
Proprietary Stores
Accident & Health \$5,920,267 \$5,395,070 \$985,072 \$3,614,697 \$59,086 \$2,863,657
Insurance & Medical
Service plans
(including Self
Insured/ Self
Administered Health
plans, & TPAs)^2^
Medical Equipment \$1,769,789 \$1,397,683 \$167,549 \$174,710 \$190,205 \$339,696
Rental & Leasing
Offices & clinics \$156,215,538 \$123,370,486 \$14,789,213 \$15,421,311 \$16,788,984 \$29,984,217
of Doctors of
Medicine
Offices & clinics \$70,027,863 \$55,304,176 \$6,629,667 \$6,913,022 \$7,526,119 \$13,441,241
of Doctors of
Dentists
Offices & clinics \$5,991,323 \$4,731,619 \$567,210 \$591,452 \$643,907 \$1,149,982
of Doctors of
Osteopathy
Offices & clinics \$34,363,581 \$27,138,476 \$3,253,264 \$3,392,310 \$3,693,164 \$6,595,791
of Other Health
Practitioners
Nursing & Personal \$36,311,120 \$28,676,536 \$3,437,641 \$3,584,567 \$3,902,472 \$6,969,604
care Facilities
Hospitals \$25,475,393 \$56,613,285 \$19,558,912 \$14,153,321 \$309,555 \$17,167,095
Medical & Dental \$10,177,614 \$8,037,723 \$963,534 \$1,004,715 \$1,093,821 \$1,953,505
Laboratories
Home Health care \$17,923,769 \$14,155,212 \$1,696,876 \$1,769,402 \$1,926,325 \$3,440,312
Services
Misc Health & \$10,102,539 \$7,978,433 \$956,426 \$997,304 \$1,085,752 \$1,939,095
Allied Health
Services
Fully Insured/ERISA N/A N/A N/A N/A N/A \$9,351,383
IRB N/A N/A N/A N/A N/A \$0
Total \$412,275,964 \$362,806,784 \$56,602,625 \$55,367,822 \$41,303,067 \$102,488,804
^1^ Source: Office
of Advocacy, U.S.
Small Business
Administration,
from data provided
by the Bureau of
the Census,
Statistics of U.S.
Businesses, 1997.
Entities that have
less than
\$5,000,000 in
annual revenue are
considered small
businesses here, as
are non-profit
entities
(regardless of
revenue). We have
non-profit data for
the following SICs:
8050, 8080, and
8060 and have
included the number
of non-profits in
each category into
the table.
Businesses, 1997.
Entities that have
less than
\$5,000,000 in
annual revenue are
considered small
businesses here, as
are non-profit
entities
(regardless of
revenue). We have
non-profit data for
the following SICs:
8050, 8080, and
8060 and have
included the number
of non-profits in
each category into
the table.
^2^ We have
included
self-insured,
self-administered
health plans and
third party
administrators in
the total number of
health plans, even
though neither has
individual SIC
codes because we
have the ability to
impute revenues to
them.
------------------- --------------- --------------- -------------- -------------------- -------------- ---------------
**VI. UNFUNDED MANDATES**
The Unfunded Mandates Reform Act of 1995 (P.L. 104-4) requires
cost-benefit and other analyses for rules that would cost more than
\$100 million in a single year. The rule qualifies as a significant rule
under the statute. The Department has carried out the cost-benefit
analysis in sections D and E of this document, which includes a
discussion of unfunded costs to state and local governments resulting
from this regulation. In developing this regulation, the Department
adopted the least burdensome alternatives, consistent with achieving the
rule's goals.
**A. Future Costs**
The Department estimates some of the future costs of the rule in Section
E of the Preliminary Regulatory Impact Analysis of this document. The
estimates made include costs for the ten years after the effective date.
As discussed in Section E, state and local government costs will be in
the order of \$460 million in 2003 and \$2.4 billion over ten years.
Estimates for later years are not practical. The changes in technology
are likely to alter the nature of medical record-keeping, and the uses
of medical data are likely to vary dramatically over this period.
Therefore, any estimates for years beyond 2012 are not feasible.
**B. Particular regions, communities, or industrial sectors**
The rule applies to the health care industry and would, therefore,
affect that industry disproportionately. Any long-run increase in the
costs of health care services would largely be passed on to the entire
population of consumers. However, as discussed in the administrative
simplification regulation, the Transactions Rule is estimated to save
the health care industry nearly \$30 billion over essentially the same
time period. This more than offsets the costs of the Privacy Rule;
indeed, as discussed above, the establishment of consistent, national
standards for the protection of medical information is essential to
fully realize the savings from electronic transactions standards and
other advances that may be realized through "e-health" over the next
decade. Without strong privacy rules, patients and providers may be very
reluctant to fully participate in electronic and e-health opportunities.
**C. National productivity and economic growth**
The rule is not expected to substantially affect productivity or
economic growth. It is possible that productivity and growth in certain
sectors of the health care industry could be slightly lower than
otherwise because of the need to divert research and development
resources to compliance activities. The diversion of resources to
compliance activities would be temporary. Moreover, the Department
anticipates that, because the benefits of privacy are large, both
productivity and economic growth would be higher than in the absence of
the final rule. In section I.A. of this document, the Department
discusses its expectation that this rule will increase communication
among consumers, health plans, and providers and that implementation of
privacy protections will lead more people to seek health care. The
increased health of the population will lead to increased productivity
and economic growth.
**D. Full employment and job creation**
Some of the human resources devoted to delivery of health care services
will be redirected by the rule. The rule could lead to some short-run
changes in employment patterns as a result of the structural changes
within the health care industry. The growth of employment (job creation)
for the roles typically associated with the health care profession could
also temporarily change but be balanced by an increased need for those
who can assist entities with complying with this rule. Therefore, while
there could be a temporary slowing of growth in traditional health care
professions, that will be offset by a temporary increase in growth in
fields that may assist with compliance with this rule (e.g. worker
training, and management consultants).
**E. Exports**
Because the rule does not mandate any changes in products, current
export products will not be required to change in any way.
The Department consulted with state and local governments, and Tribal
governments. See sections X and XI, below.
**VII. ENVIRONMENTAL IMPACT**
The Department has determined under 21 CFR 25.30(k) that this action is
of a type that does not individually or cumulatively have a significant
effect on the human environment. Therefore, neither an environmental
assessment nor an environmental impact statement is required.
**VIII. COLLECTION OF INFORMATION REQUIREMENTS**
Under the Paperwork Reduction Act of 1995 (PRA), agencies are required
to provide a 30-day notice in the Federal Register and solicit public
comment before a collection of information requirement is submitted to
the Office of Management and Budget (OMB) for review and approval. In
order to fairly evaluate whether an information collection should be
approved by OMB, section 3506(c)(2)(A) of the PRA requires that we
solicit comment on the following issues:
· Whether the information collection is necessary and useful to carry
out the proper functions of the agency;
· The accuracy of the agency\'s estimate of the information collection
burden;
· The quality, utility, and clarity of the information to be collected;
and
· Recommendations to minimize the information collection burden on the
affected public, including automated collection techniques.
Under the PRA, the time, effort, and financial resources necessary to
meet the information collection requirements referenced in this section
are to be considered. Due to the complexity of this regulation, and to
avoid redundancy of effort, we are referring readers to Section V (Final
Regulatory Impact Analysis) above, to review the detailed cost
assumptions associated with these PRA requirements. We explicitly seek,
and will consider, public comment on our assumptions as they relate to
the PRA requirements summarized in this section.
**Section 160.204---Process for Requesting Exception Determinations**
Section 160.204 would require persons requesting to except a provision
of state law from preemption under § 160.203(a) to submit a written
request, that meets the requirements of this section, to the Secretary
to except a provision of state law from preemption under § 160.203. The
burden associated with these requirements is the time and effort
necessary for a state to prepare and submit the written request for an
exception determination to the Secretary for approval. On an annual
basis it is estimated that it will take 40 states 16 hours each to
prepare and submit a request. The total annual burden associated with
this requirement is 640 hours. The Department solicits public comment on
the number of requests and hours for others likely to submit requests.
**Section 160.306---Complaints to the Secretary**
A person who believes that a covered entity is not complying with the
applicable requirements of part 160 or the applicable standards,
requirements, and implementation specifications of Subpart E of part 164
of this subchapter may file a complaint with the Secretary. This
requirement is exempt from the PRA as stipulated under 5 CFR
1320.4(a)(2), an audit/ administrative action exemption.
**Section 160.310---Responsibilities of Covered Entities**
A covered entity must keep such records and submit such compliance
reports, in such time and manner and containing such information,
necessary to enable the Secretary to ascertain whether the covered
entity has complied or is complying with the applicable requirements of
part 160 and the applicable standards, requirements, and implementation
specifications of Subpart E of Part 164. Refer to § 164.530 for
discussion.
**Section 164.502---Uses and Disclosures of Protected Health
Information: General Rules**
A covered entity is permitted to disclose protected health information
to an individual, and is required to provide and individual with access
to protected health information, in accordance with the requirements set
forth under § 164.524. Refer to § 164.524 for discussion.
**Section 164.504---Uses and Disclosures - Organizational Requirements**
Except for disclosures of protected health information by a covered
entity that is a health care provider to another health care provider
for treatment purposes, § 164.504 requires a covered entity to maintain
documentation demonstrating that it meets the requirements set forth in
this section and to demonstrate that it has obtained satisfactory
assurance from business associates that meet the requirements of this
part with each of its business associates. The burden is 5 minutes per
entity times an annual average of 764,799 entities for a total burden of
63,733 burden hours.
**Section 164.506---Consent for Treatment, Payment, and Health Care
Operations**
Except in certain circumstances, a covered health care provider that has
a direct treatment relationship must obtain an individual's consent for
use or disclosure of protected health information for treatment,
payment, or health care operations. While this requirement is subject to
the PRA, we believe that the burden associated with this requirement is
exempt from the PRA as stipulated under 5 CFR 1320.3(b)(2).
**Section 164.508---Uses and Disclosures for Which Individual
Authorization Is Required**
Under this section, a covered entity will need to obtain a written
authorization from an individual, before it uses or discloses protected
health information of the individual if the use or disclosure is not
otherwise permitted or required under the rule without authorization.
The burden associated with these requirements is the time and effort
necessary for a covered entity to obtain written authorization prior to
the disclosure of individually identifiable health information. On an
annual basis, we estimate that it will take 764,799 entities, an annual
average burden per entity of one hour for a total annual burden of
764,799 burden hours.
**Section 164.510---Uses and Disclosures Requiring an Opportunity for
the Individual to Agree or to Object**
Section 164.510 allows, but does not require, covered entities to use or
disclose protected health information: (1) for health care institutions'
directories; and (2) to family members, close friends, or other persons
assisting in an individual's care, as well as government agencies and
disaster relief organizations conducting disaster relief activities.
This section of the rule addresses situations in which the interaction
between the covered entity and the individual is relatively informal,
and agreements may be made orally, without written authorizations for
use or disclosure. In general, to disclose protected health information
for these purposes, covered entities must inform individuals in advance
and must provide a meaningful opportunity for the individual to prevent
or restrict the disclosure. In certain circumstances, such as in an
emergency , when this informal discussion cannot practicably occur,
covered entities can make decisions about disclosure or use, in
accordance with the requirements of this section based on their
professional judgement of what is in the patient's best interest. While
these provisions are subject to the PRA, we believe that the burden
associated with this requirement is exempt from the PRA as stipulated
under 5 CFR 1320.3(b)(2).
**Section 164.512---Uses and Disclosures for which Consent, Individual
Authorization, or Opportunity to Agree or Object is Not Required**
Section 164.512 includes provisions that allow, but that do not require,
covered entities to disclose protected health information without
individual authorization for a variety of purposes which represent
important national priorities. Pursuant to § 164.512, covered entities
may disclose protected health information for specified purposes as
follows: as required by law; for public health activities; to public
officials regarding victims of abuse, neglect, or domestic violence; for
health oversight; for judicial and administrative proceedings; for law
enforcement; for specified purposes regarding decedents; for organ
donation and transplantation; for research; to avert an imminent threat
to health or safety; for specialized government functions (such as for
intelligence and national security activities); and to comply with
workers' compensation laws. While these provisions are subject to the
PRA, we believe that the burden associated with this requirement is
exempt from the PRA as stipulated under 5 CFR 1320.3(b)(2).
For research, if a covered entity wants to use or disclose protected
health information without individual authorization, it must obtain
documentation that a waiver, in whole or in part, of the individual
authorization required by § 164.508 for use or disclosure of protected
health information has been approved by either an Institutional Review
Board (IRB), established in accordance with 7 CFR 1c.107, 10 CFR
745.107, 14 CFR 1230.107, 15 CFR 27.107, 16 CFR 1028.107, 21 CFR 56.107,
22 CFR 225.107, 28 CFR 46.107, 32 CFR 219.107, 34 CFR 97.107, 38 CFR
16.107, 40 CFR 26.107, 45 CFR 46.107, 45 CFR 690.107, or 49 CFR 11.107;
or a privacy board. The burden associated with these requirements is the
time and effort necessary for a covered entity to maintain documentation
demonstrating that they have obtained IRB or privacy board approval,
which meet the requirements of this section. On an annual basis it is
estimated that these requirements will affect 113,524 IRB reviews. We
further estimate that it will take an average of 5 minutes per review to
meet these requirements on an annual basis. Therefore, the total
estimated annual burden associated with this requirement is 9,460 hours.
**Section 164.514---Other Procedural Requirements Relating to Uses and
Disclosures of Protected Health Information**
Prior to any disclosure permitted by this subpart, a covered entity must
verify the identity and authority of persons requesting protected health
information, if the identity or authority of such person is not known to
the covered entity, and obtain any documentation, statements, or
representations from the person requesting the protected health
information that is required as a condition of the disclosure. In
addition, a covered entity must retain any signed consent pursuant to §
164.506 and any signed authorization pursuant to § 164.508 for
documentation purposes as required by § 164.530(j). This requirement is
exempt from the PRA as stipulated under 5 CFR 1320.4(a)(1) and (a)(2).
**Section 164.520---Notice of Privacy Practices for Protected Health
Information**
Except in certain circumstances set forth in this section, individuals
have a right to adequate notice of the uses and disclosures of protected
health information that may be made by the covered entity, and of the
individual's rights and the covered entity's legal duties with respect
to protected health information. To comply with this requirement a
covered entity must provide a notice, written in plain language, that
includes the elements set forth in this section. For health plans, there
will be an average of 160.2 million notices each year. We assume that
the most efficient means of distribution for health plans will be to
send them out annually as part of the materials they send to current and
potential enrollees, even though it is not required by the regulation.
The number of notices per health plan per year would be about 10,570. We
further estimate that it will require each health plan, on average, only
10 seconds to disseminate each notice. The total annual burden
associated with this requirement is calculated to be 267,000 hours.
Health care providers with direct treatment relationships would provide
a copy of the notice to an individual at the time of first service
delivery to the individual, make the notice available at the service
delivery site for individuals to request and take with them, whenever
the content of the notice is revised, make the notice available upon
request and post the notice, if required by this section, and post a
copy of the notice in a location where it is reasonable to expect
individuals seeking services from the provider to be able to read the
notice. The annual number of notices disseminated by all providers is
613 million. We further estimate that it will require each health care
provider, on average, 10 seconds to disseminate each notice. This
estimate is based upon the assumption that the required notice will be
incorporated into and disseminated with other patient materials. The
total annual burden associated with this requirement is calculated to be
1 million hours.
In addition, a covered entity must document compliance with the notice
requirements by retaining copies of the notices issued by the covered
entity. Refer to § 164.530 for discussion.
**Section 164.522---Rights to Request Privacy Protection for Protected
Health Information**
Given that the burden associated with the following information
collection requirements will differ significantly, by the type and size
of health plan or health care provider, we are explicitly soliciting
comment on the burden associated with the following requirements: as
outlined and required by this section, covered entities must provide
individuals with the opportunity to request restrictions related to the
uses or disclosures of protected health information for treatment,
payment, or health care operations. In addition, covered entities must
accommodate requests for confidential communications in certain
situations.
**Section 164.524---Access of Individuals to Protected Health
Information**
As set forth in this section, covered entities must provide individuals
with access to inspect and obtain a copy of protected health information
about them in designated record sets, for so long as the protected
health information is maintained in the designated record sets. This
includes such information in a business associate's designated record
set that is not a duplicate of the information held by the health care
provider or health plan for so long as the information is maintained.
Where the request is denied in whole or in part, the covered entity must
provide the individual with a written statement of the basis for the
denial and a description of how the individual may complain to the
covered entity pursuant to the complaint procedures established in §
164.530 or to the Secretary pursuant to the procedures established in §
160.306 of this subpart. In certain cases, the covered entity must
provide the individual the opportunity to have another health care
professional review the denial. Pursuant to public comment, we estimate
that each disclosure will contain 31 pages and that 150,000 disclosures
will be made on an annual basis at three minutes per disclosure for a
total burden of 7,500 hours. Refer to section V.E. for detailed
discussion related to the costs associated with meeting these
requirements.
**Section 164.526---Amendment of Protected Health Information**
Given that burden associated with the following information collection
requirements will differ significantly, by the type and size of health
plan or health care provider, we are explicitly soliciting comment on
the burden associated with the following requirements: Individuals have
the right to request amendment of protected health information about
them in designated record sets created by a covered entity. Where the
request is denied, a covered entity must provide the individual with a
written statement of the basis for the denial and an explanation of how
the individual may pursue the matter, including how to file a complaint
with the Secretary pursuant to § 160.306 of this subpart. As
appropriate, a covered entity must identify the protected health
information in the designated record set that is the subject of the
disputed amendment and append or otherwise link the individual's request
for an amendment, the covered entity's denial of the request, the
individual's statement of disagreement, if any, and the covered entity's
rebuttal, if any, to the designated record set.
**Section 164.528---Accounting for Disclosures of Protected Health
Information**
Based upon public comment it is assumed that it will take 5 minutes per
request times 1,081,000 requests for an annual burden of 90,083 hours.
An individual may request that a covered entity provide an accounting
for disclosure for a period of time less than six years from the date of
the individual's request, as outlined in this section.
**Section 164.530---Administrative Requirements**
A covered entity must maintain such policies and procedures in written
or electronic form where policies or procedures with respect to
protected health information are required by this subpart. Where a
communication is required by this subpart to be in writing, a covered
entity must maintain such writing, or an electronic copy, as
documentation; and where an action or activity is required by this
subpart to be documented, it must maintain a written or electronic
record of such action or activity. While these requirements are subject
to the PRA, we believe the burden associated with these requirements is
exempt from the PRA as stipulated under 5 CFR 1320.3(b)(2).
We have submitted a copy of this rule to OMB for its review of the
information collection requirements in Secs. 160.204, 160.306, 160.310,
164.502, 164.504, 164.506, 164.508, 164.510, 164.512, 164.514, 164.520,
164.522, 164.524, 164.526, 164.528, and Sec. 164.530. These requirements
are not effective until they have been approved by OMB. If you comment
on any of these information collection and record keeping requirements,
please mail copies directly to the following: Health Care Financing
Administration, Office of Information Services, Division of HCFA
Enterprise Standards, Room N2-14-26, 7500 Security Boulevard, Baltimore,
MD 21244-1850. ATTN: John Burke and to the Office of Information and
Regulatory Affairs, Office of Management and Budget, Room 10235, New
Executive Office Building, Washington, DC 20503. ATTN: Allison Herron
Eydt, HCFA Desk Officer.
**IX. EXECUTIVE ORDER 13132: FEDERALISM**
The Department has examined the effects of provisions in the final
privacy regulation on the relationship between the federal government
and the states, as required by Executive Order 13132 on \"Federalism.\"
Our conclusion is that the final rule does have federalism implications
because the rule has substantial direct effects on states, on the
relationship between the national government and states, and on the
distribution of power and responsibilities among the various levels of
government. The federalism implications of the rule, however, flow from
and are consistent with the underlying statute. The statute allows us to
preempt state or local rules that provide less stringent privacy
protection requirements than federal law is consistent with this
Executive Order. Overall, the final rule attempts to balance both the
autonomy of the states with the necessity to create a federal benchmark
to preserve the privacy of personally identifiable health information.
It is recognized that the states generally have laws that relate to the
privacy of individually identifiable health information. The HIPAA
statute dictates the relationship between state law and this final rule.
Except for laws that are specifically exempted by the HIPAA statute,
state laws continue to be enforceable, unless they are contrary to Part
C of Title XI of the standards, requirements, or implementation
specifications adopted or pursuant to subpart x. However, under section
264(c)(2), not all contrary provisions of state privacy laws are
preempted; rather, the law provides that contrary provisions of state
law relating to the privacy of individually identifiable health
information that are also "more stringent" than the federal regulatory
requirements or implementation specifications will continue to be
enforceable.
Section 3(b) of Executive Order 13132 recognizes that national action
limiting the policymaking discretion of states will be imposed ". . .
only where there is constitutional and statutory authority for the
action and the national activity is appropriate in light of the presence
of a problem of national significance." Personal privacy issues are
widely identified as a national concern by virtue of the scope of
interstate health commerce. HIPAA's provisions reflect this position.
HIPAA attempts to facilitate the electronic exchange of financial and
administrative health plan transactions while recognizing challenges
that local, national, and international information sharing raise to
confidentiality and privacy of health information.
Section 3(d)(2) of the Executive Order 13132 requires the federal
government defer to the states to establish standards where possible.
HIPAA requires the Department to establish standards, and we have done
so accordingly. This approach is a key component of the final Privacy
Rule, and it adheres to Section 4(a) of Executive Order 13132, which
expressly contemplates preemption when there is a conflict between
exercising state and federal authority under federal statute. Section
262 of HIPAA enacted Section 1178 of the Social Security Act, developing
a "general rule" that state laws or provisions that are contrary to the
provisions or requirements of Part C of Title XI, or the standards or
implementation specifications adopted, or established thereunder are
preempted. Several exceptions to this rule exist, each of which is
designed to maintain a high degree of state autonomy.
Moreover, Section 4(b) of the Executive Order authorizes preemption of
state law in the federal rule making context when there is \"the
exercise of state authority is directly conflicts with the exercise of
federal authority under federal statute\*\*\*.\" Section 1178 (a)(2)(B)
of HIPAA specifically preempts state laws related to the privacy of
individually identifiable health information unless the state law is
more stringent. Thus, we have interpreted state and local laws and
regulations that would impose less stringent requirements for protection
of individually identifiable health information as undermining the
agency\'s goal of ensuring that all patients who receive medical
services are assured a minimum level of personal privacy. Particularly
where the absence of privacy protection undermines an individual's
access to health care services, both the personal and public interest is
served by establishing federal rules.
The final rule would establish national minimum standards with respect
to the collection, maintenance, access, use, and disclosure of
individually identifiable health information. The federal law will
preempt state law only where state and federal laws are "contradictory"
and the federal regulation is judged to establish "more stringent"
privacy protections than state laws.
As required by the previous Executive Order (E.O.13132), states and
local governments were given, through the notice of proposed rule
making, an opportunity to participate in the proceedings to preempt
state and local laws (Section 4(e)). The Secretary also provided a
review of preemption issues upon requests from states. In addition,
anticipating the promulgation of the Executive Order, appropriate
officials and organizations were consulted before this proposed action
is implemented (Section 3(a) of Executive Order 13132).
The same section also includes some qualitative discussion of costs that
would occur beyond that time period. Most of the costs of the proposed
rule, however, would occur in the years immediately after the
publication of a final rule. Future costs beyond the ten year period
will continue but will not be as great as the initial compliance costs.
Finally, we have considered the cost burden that this proposed rule
would impose on state and local health care programs, such as Medicaid,
county hospitals, and other state health benefits programs. As discussed
in Section E of the Regulatory Impact Analysis of this document, we
estimate state and local government costs will be in the order of \$460
million in 2003 and \$2.4 billion over ten years.
The agency concludes that the policy in this final document has been
assessed in light of the principles, criteria, and requirements in
Executive Order 13132; that this policy is not inconsistent with that
Order; that this policy will not impose significant additional costs and
burdens on the states; and that this policy will not affect the ability
of the states to discharge traditional state governmental functions.
During our consultation with the states, representatives from various
state agencies and offices expressed concern that the final regulation
would preempt all state privacy laws. As explained in this section, the
regulation would only preempt state laws where there is a direct
conflict between state laws and the regulation, and where the regulation
provides more stringent privacy protection than state law. We discussed
this issue during our consultation with state representatives, who
generally accepted our approach to the preemption issue. During the
consultation, we requested further information from the states about
whether they currently have laws requiring that providers have a "duty
to warn" family members or third parties about a patient's condition
other than in emergency circumstances. Since the consultation, we have
not received additional comments or questions from the states.
**X. EXECUTIVE ORDER 13086: CONSULTATION AND COORDINATION WITH INDIAN
TRIBAL GOVERNMENTS**
In drafting the proposed rule, the Department consulted with
representatives of the National Congress of American Indians and the
National Indian Health Board, as well as with a representative of the
self-governance Tribes. During the consultation, we discussed issues
regarding the application of Title II of HIPAA to the Tribes, and
potential variations based on the relationship of each Tribe with the
IHS for the purpose of providing health services. Participants raised
questions about the status of Tribal laws regarding the privacy of
health information.
**LIST OF SUBJECTS**
**45 CFR Part 160**
Electronic transactions, Employer benefit plan, Health, Health care,
Health facilities, Health insurance, Health records, Medicaid, Medical
research, Medicare, Privacy, Reporting and record keeping requirements.
**45 CFR Part 164**
Electronic transactions, Employer benefit plan, Health, Health care,
Health facilities, Health insurance, Health records, Medicaid, Medical
research, Medicare, Privacy, Reporting and record keeping requirements.
[Note to reader]{.underline}: This final rule is one of several proposed
and final rules that are being published to implement the Administrative
Simplification provisions of the Health Insurance Portability and
Accountability Act of 1996. 45 CFR subchapter C, consisting of Parts 160
and 162 was added at 65 FR 50365, August 17, 2000. Part 160 consists of
general provisions, Part 162 consists of the various administrative
simplification regulations relating to transactions and identifiers, and
new Part 164 consists of the regulations implementing the security and
privacy requirements of the legislation.
Dated: \_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
> Donna Shalala,
>
> [Secretary]{.underline}
**BILLING CODE 4150-04M**
For the reasons set forth in the preamble, 45 CFR Subtitle A, Subchapter
C, is amended as follows:
1\. Part 160 is revised to read as follows:
**PART 160 -- GENERAL ADMINISTRATIVE REQUIREMENTS**
**Subpart A -- General Provisions**
160.101 Statutory basis and purpose.
160.102 Applicability.
160.103 Definitions.
160.104 Modifications.
**Subpart B -- Preemption of State Law**
160.201 Applicability.
160.202 Definitions.
160.203 General rule and exceptions.
160.204 Process for requesting exception determinations.
160.205 Duration of effectiveness of exception determinations.
**Subpart C -- Compliance and Enforcement**
160.300 Applicability.
160.302 Definitions.
160.304 Principles for achieving compliance.
160.306 Complaints to the Secretary.
160.308 Compliance reviews.
160.310 Responsibilities of covered entities.
160.312 Secretarial action regarding complaints and compliance reviews.
Authority: Sec. 1171 through 1179 of the Social Security Act, (42 U.S.C.
1320d-1329d-8) as added by sec. 262 of Pub. L. 104-191, 110 Stat.
2021-2031 and sec. 264 of Pub. L. 104-191 (42 U.S.C. 1320d-2(note)).
**Subpart A - General Provisions**
[§ 160.101 Statutory basis and purpose.]{.underline}
The requirements of this subchapter implement sections 1171 through 1179
of the Social Security Act (the Act), as added by section 262 of Public
Law 104-191, and section 264 of Public Law 104-191.
[§ 160.102 Applicability.]{.underline}
\(a\) Except as otherwise provided, the standards, requirements, and
implementation specifications adopted under this subchapter apply to the
following entities:
\(1\) A health plan.
\(2\) A health care clearinghouse.
\(3\) A health care provider who transmits any health information in
electronic form in connection with a transaction covered by this
subchapter.
\(b\) To the extent required under section 201(a)(5) of the Health
Insurance Portability Act of 1996, (Pub. L. 104-191), nothing in this
subchapter shall be construed to diminish the authority of any Inspector
General, including such authority as provided in the Inspector General
Act of 1978, as amended (5 U.S.C. App.).
[§ 160.103 Definitions.]{.underline}
Except as otherwise provided, the following definitions apply to this
subchapter:
*Act* means the Social Security Act.
*ANSI* stands for the American National Standards Institute.
*Business associate*: (1) Except as provided in paragraph (2) of this
definition, *business associate* means, with respect to a covered
entity, a person who:
\(i\) On behalf of such covered entity or of an organized health care
arrangement (as defined in § 164.501 of this subchapter) in which the
covered entity participates, but other than in the capacity of a member
of the workforce of such covered entity or arrangement, performs, or
assists in the performance of:
\(A\) A function or activity involving the use or disclosure of
individually identifiable health information, including claims
processing or administration, data analysis, processing or
administration, utilization review, quality assurance, billing, benefit
management, practice management, and repricing; or
\(B\) Any other function or activity regulated by this subchapter; or
\(ii\) Provides, other than in the capacity of a member of the workforce
of such covered entity, legal, actuarial, accounting, consulting, data
aggregation (as defined in § 164.501 of this subchapter), management,
administrative, accreditation, or financial services to or for such
covered entity, or to or for an organized health care arrangement in
which the covered entity participates, where the provision of the
service involves the disclosure of individually identifiable health
information from such covered entity or arrangement, or from another
business associate of such covered entity or arrangement, to the person.
\(2\) A covered entity participating in an organized health care
arrangement that performs a function or activity as described by
paragraph (1)(i) of this definition for or on behalf of such organized
health care arrangement, or that provides a service as described in
paragraph (1)(ii) of this definition to or for such organized health
care arrangement, does not, simply through the performance of such
function or activity or the provision of such service, become a business
associate of other covered entities participating in such organized
health care arrangement.
\(3\) A covered entity may be a business associate of another covered
entity.
*Compliance date* means the date by which a covered entity must comply
with a standard, implementation specification, requirement, or
modification adopted under this subchapter.
*Covered entity* means:
\(1\) A health plan.
\(2\) A health care clearinghouse.
\(3\) A health care provider who transmits any health information in
electronic form in connection with a transaction covered by this
subchapter.
*Group health plan* (also see definition of *health plan* in this
section) means an employee welfare benefit plan (as defined in section
3(1) of the Employee Retirement Income and Security Act of 1974 (ERISA),
29 U.S.C. 1002(1)), including insured and self‑insured plans, to the
extent that the plan provides medical care (as defined in section
2791(a)(2) of the Public Health Service Act (PHS Act), 42 U.S.C.
300gg-91(a)(2)), including items and services paid for as medical care,
to employees or their dependents directly or through insurance,
reimbursement, or otherwise, that:
\(1\) Has 50 or more participants (as defined in section 3(7) of ERISA,
29 U.S.C. 1002(7)); or
\(2\) Is administered by an entity other than the employer that
established and maintains the plan.
*HCFA* stands for Health Care Financing Administration within the
Department of Health and Human Services.
*HHS* stands for the Department of Health and Human Services.
*Health care* means care, services, or supplies related to the health of
an individual. *Health care* includes, but is not limited to, the
following:
\(1\) Preventive, diagnostic, therapeutic, rehabilitative, maintenance,
or palliative care, and counseling, service, assessment, or procedure
with respect to the physical or mental condition, or functional status,
of an individual or that affects the structure or function of the body;
and
\(2\) Sale or dispensing of a drug, device, equipment, or other item in
accordance with a prescription.
*Health care clearinghouse* means a public or private entity, including
a billing service, repricing company, community health management
information system or community health information system, and
"value-added" networks and switches, that does either of the following
functions:
\(1\) Processes or facilitates the processing of health information
received from another entity in a nonstandard format or containing
nonstandard data content into standard data elements or a standard
transaction.
\(2\) Receives a standard transaction from another entity and processes
or facilitates the processing of health information into nonstandard
format or nonstandard data content for the receiving entity.
*Health care provider* means a provider of services (as defined in
section 1861(u) of the Act, 42 U.S.C. 1395x(u)), a provider of medical
or health services (as defined in section 1861(s) of the Act, 42 U.S.C.
1395x(s)), and any other person or organization who furnishes, bills, or
is paid for health care in the normal course of business.
*Health information* means any information, whether oral or recorded in
any form or medium, that:
\(1\) Is created or received by a health care provider, health plan,
public health authority, employer, life insurer, school or university,
or health care clearinghouse; and
\(2\) Relates to the past, present, or future physical or mental health
or condition of an individual; the provision of health care to an
individual; or the past, present, or future payment for the provision of
health care to an individual.
*Health insurance issuer* (as defined in section 2791(b)(2) of the PHS
Act, 42 U.S.C. 300gg-91(b)(2) and used in the definition of *health
plan* in this section) means an insurance company, insurance service, or
insurance organization (including an HMO) that is licensed to engage in
the business of insurance in a State and is subject to State law that
regulates insurance. Such term does not include a group health plan.
*Health maintenance organization (HMO)* (as defined in section
2791(b)(3) of the PHS Act, 42 U.S.C. 300gg-91(b)(3) and used in the
definition of *health plan* in this section) means a federally qualified
HMO, an organization recognized as an HMO under State law, or a similar
organization regulated for solvency under State law in the same manner
and to the same extent as such an HMO.
*Health plan* means an individual or group plan that provides, or pays
the cost of, medical care (as defined in section 2791(a)(2) of the PHS
Act, 42 U.S.C. 300gg-91(a)(2)).
\(1\) *Health plan* includes the following, singly or in combination:
\(i\) A group health plan, as defined in this section.
\(ii\) A health insurance issuer, as defined in this section.
\(iii\) An HMO, as defined in this section.
\(iv\) Part A or Part B of the Medicare program under title XVIII of the
Act.
\(v\) The Medicaid program under title XIX of the Act, 42 U.S.C. 1396,
et seq.
\(vi\) An issuer of a Medicare supplemental policy (as defined in
section 1882(g)(1) of the Act, 42 U.S.C. 1395ss(g)(1)).
\(vii\) An issuer of a long-term care policy, excluding a nursing home
fixed-indemnity policy.
\(viii\) An employee welfare benefit plan or any other arrangement that
is established or maintained for the purpose of offering or providing
health benefits to the employees of two or more employers.
\(ix\) The health care program for active military personnel under title
10 of the United States Code.
\(x\) The veterans health care program under 38 U.S.C. chapter 17.
\(xi\) The Civilian Health and Medical Program of the Uniformed Services
(CHAMPUS)(as defined in 10 U.S.C. 1072(4)).
\(xii\) The Indian Health Service program under the Indian Health Care
Improvement Act, 25 U.S.C. 1601, et seq.
\(xiii\) The Federal Employees Health Benefits Program under 5 U.S.C.
8902, et seq.
\(xiv\) An approved State child health plan under title XXI of the Act,
providing benefits for child health assistance that meet the
requirements of section 2103 of the Act, 42 U.S.C. 1397, et seq.
\(xv\) The Medicare + Choice program under Part C of title XVIII of the
Act, 42 U.S.C. 1395w-21 through 1395w-28.
\(xvi\) A high risk pool that is a mechanism established under State law
to provide health insurance coverage or comparable coverage to eligible
individuals.
\(xvii\) Any other individual or group plan, or combination of
individual or group plans, that provides or pays for the cost of medical
care (as defined in section 2791(a)(2) of the PHS Act, 42 U.S.C.
300gg-91(a)(2)).
\(2\) *Health plan* excludes:
\(i\) Any policy, plan, or program to the extent that it provides, or
pays for the cost of, excepted benefits that are listed in section
2791(c)(1) of the PHS Act, 42 U.S.C. 300gg-91(c)(1); and
\(ii\) A government-funded program (other than one listed in paragraph
(1)(i)-(xvi)of this definition):
\(A\) Whose principal purpose is other than providing, or paying the
cost of, health care; or
\(B\) Whose principal activity is:
(*1*) The direct provision of health care to persons; or
(*2*) The making of grants to fund the direct provision of health care
to persons.
*Implementation specification* means specific requirements or
instructions for implementing a standard.
*Modify* or *modification* refers to a change adopted by the Secretary,
through regulation, to a standard or an implementation specification.
*Secretary* means the Secretary of Health and Human Services or any
other officer or employee of HHS to whom the authority involved has been
delegated.
*Small health plan* means a health plan with annual receipts of \$5
million or less.
*Standard* means a rule, condition, or requirement:
\(1\) Describing the following information for products, systems,
services or practices:
\(i\) Classification of components.
\(ii\) Specification of materials, performance, or operations; or
\(iii\) Delineation of procedures; or
\(2\) With respect to the privacy of individually identifiable health
information.
*Standard setting organization* (SSO) means an organization accredited
by the American National Standards Institute that develops and maintains
standards for information transactions or data elements, or any other
standard that is necessary for, or will facilitate the implementation
of, this part.
*State* refers to one of the following:
\(1\) For a health plan established or regulated by Federal law, *State*
has the meaning set forth in the applicable section of the United States
Code for such health plan.
\(2\) For all other purposes, *State* means any of the several States,
the District of Columbia, the Commonwealth of Puerto Rico, the Virgin
Islands, and Guam.
*Trading partner agreement* means an agreement related to the exchange
of information in electronic transactions, whether the agreement is
distinct or part of a larger agreement, between each party to the
agreement. (For example, a trading partner agreement may specify, among
other things, the duties and responsibilities of each party to the
agreement in conducting a standard transaction.)
*Transaction* means the transmission of information between two parties
to carry out financial or administrative activities related to health
care. It includes the following types of information transmissions:
\(1\) Health care claims or equivalent encounter information.
\(2\) Health care payment and remittance advice.
\(3\) Coordination of benefits.
\(4\) Health care claim status.
\(5\) Enrollment and disenrollment in a health plan.
\(6\) Eligibility for a health plan.
\(7\) Health plan premium payments.
\(8\) Referral certification and authorization.
\(9\) First report of injury.
\(10\) Health claims attachments.
\(11\) Other transactions that the Secretary may prescribe by
regulation.
*Workforce* means employees, volunteers, trainees, and other persons
whose conduct, in the performance of work for a covered entity, is under
the direct control of such entity, whether or not they are paid by the
covered entity.
[§ 160.104 Modifications.]{.underline}
\(a\) Except as provided in paragraph (b) of this section, the Secretary
may adopt a modification to a standard or implementation specification
adopted under this subchapter no more frequently than once every 12
months.
\(b\) The Secretary may adopt a modification at any time during the
first year after the standard or implementation specification is
initially adopted, if the Secretary determines that the modification is
necessary to permit compliance with the standard or implementation
specification.
\(c\) The Secretary will establish the compliance date for any standard
or implementation specification modified under this section.
\(1\) The compliance date for a modification is no earlier than 180 days
after the effective date of the final rule in which the Secretary adopts
the modification.
\(2\) The Secretary may consider the extent of the modification and the
time needed to comply with the modification in determining the
compliance date for the modification.
\(3\) The Secretary may extend the compliance date for small health
plans, as the Secretary determines is appropriate.
**Subpart B - Preemption of State Law**
[§160.201 Applicability]{.underline}.
The provisions of this subpart implement section 1178 of the Act, as
added by section 262 of Public Law 104-191.
[§ 160.202 Definitions.]{.underline}
For purposes of this subpart, the following terms have the following
meanings:
*Contrary*, when used to compare a provision of State law to a standard,
requirement, or implementation specification adopted under this
subchapter, means:
\(1\) A covered entity would find it impossible to comply with both the
State and federal requirements; or
\(2\) The provision of State law stands as an obstacle to the
accomplishment and execution of the full purposes and objectives of part
C of title XI of the Act or section 264 of Pub. L. 104-191, as
applicable.
*More stringent* means, in the context of a comparison of a provision of
State law and a standard, requirement, or implementation specification
adopted under subpart E of part 164 of this subchapter, a State law that
meets one or more of the following criteria:
\(1\) With respect to a use or disclosure, the law prohibits or
restricts a use or disclosure in circumstances under which such use or
disclosure otherwise would be permitted under this subchapter, except if
the disclosure is:
\(i\) Required by the Secretary in connection with determining whether a
covered entity is in compliance with this subchapter; or
\(ii\) To the individual who is the subject of the individually
identifiable health information.
\(2\) With respect to the rights of an individual who is the subject of
the individually identifiable health information of access to or
amendment of individually identifiable health information, permits
greater rights of access or amendment, as applicable; provided that,
nothing in this subchapter may be construed to preempt any State law to
the extent that it authorizes or prohibits disclosure of protected
health information about a minor to a parent, guardian, or person acting
*in loco parentis* of such minor.
\(3\) With respect to information to be provided to an individual who is
the subject of the individually identifiable health information about a
use, a disclosure, rights, and remedies, provides the greater amount of
information.
\(4\) With respect to the form or substance of an authorization or
consent for use or disclosure of individually identifiable health
information, provides requirements that narrow the scope or duration,
increase the privacy protections afforded (such as by expanding the
criteria for), or reduce the coercive effect of the circumstances
surrounding the authorization or consent, as applicable.
\(5\) With respect to recordkeeping or requirements relating to
accounting of disclosures, provides for the retention or reporting of
more detailed information or for a longer duration.
\(6\) With respect to any other matter, provides greater privacy
protection for the individual who is the subject of the individually
identifiable health information.
*Relates to the privacy of individually identifiable health information*
means, with respect to a State law, that the State law has the specific
purpose of protecting the privacy of health information or affects the
privacy of health information in a direct, clear, and substantial way.
*State law* means a constitution, statute, regulation, rule, common law,
or other State action having the force and effect of law.
[§ 160.203 General rule and exceptions.]{.underline}
A standard, requirement, or implementation specification adopted under
this subchapter that is contrary to a provision of State law preempts
the provision of State law. This general rule applies, except if one or
more of the following conditions is met:
\(a\) A determination is made by the Secretary under § 160.204 that the
provision of State law:
\(1\) Is necessary:
\(i\) To prevent fraud and abuse related to the provision of or payment
for health care;
\(ii\) To ensure appropriate State regulation of insurance and health
plans to the extent expressly authorized by statute or regulation;
\(iii\) For State reporting on health care delivery or costs; or
\(iv\) For purposes of serving a compelling need related to public
health, safety, or welfare, and, if a standard, requirement, or
implementation specification under part 164 of this subchapter is at
issue, if the Secretary determines that the intrusion into privacy is
warranted when balanced against the need to be served; or
\(2\) Has as its principal purpose the regulation of the manufacture,
registration, distribution, dispensing, or other control of any
controlled substances (as defined in 21 U.S.C. 802), or that is deemed a
controlled substance by State law.
\(b\) The provision of State law relates to the privacy of health
information and is more stringent than a standard, requirement, or
implementation specification adopted under subpart E of part 164 of this
subchapter.
\(c\) The provision of State law, including State procedures established
under such law, as applicable, provides for the reporting of disease or
injury, child abuse, birth, or death, or for the conduct of public
health surveillance, investigation, or intervention.
\(d\) The provision of State law requires a health plan to report, or to
provide access to, information for the purpose of management audits,
financial audits, program monitoring and evaluation, or the licensure or
certification of facilities or individuals.
[§ 160.204 Process for requesting exception determinations.]{.underline}
\(a\) A request to except a provision of State law from preemption under
§ 160.203(a) may be submitted to the Secretary. A request by a State
must be submitted through its chief elected official, or his or her
designee. The request must be in writing and include the following
information:
\(1\) The State law for which the exception is requested;
\(2\) The particular standard, requirement, or implementation
specification for which the exception is requested;
\(3\) The part of the standard or other provision that will not be
implemented based on the exception or the additional data to be
collected based on the exception, as appropriate;
\(4\) How health care providers, health plans, and other entities would
be affected by the exception;
\(5\) The reasons why the State law should not be preempted by the
federal standard, requirement, or implementation specification,
including how the State law meets one or more of the criteria at §
160.203(a); and
\(6\) Any other information the Secretary may request in order to make
the determination.
\(b\) Requests for exception under this section must be submitted to the
Secretary at an address that will be published in the [Federal
Register]{.underline}. Until the Secretary\'s determination is made, the
standard, requirement, or implementation specification under this
subchapter remains in effect.
\(c\) The Secretary\'s determination under this section will be made on
the basis of the extent to which the information provided and other
factors demonstrate that one or more of the criteria at § 160.203(a) has
been met.
[§ 160.205 Duration of effectiveness of exception
determinations.]{.underline}
An exception granted under this subpart remains in effect until:
\(a\) Either the State law or the federal standard, requirement, or
implementation specification that provided the basis for the exception
is materially changed such that the ground for the exception no longer
exists; or
\(b\) The Secretary revokes the exception, based on a determination that
the ground supporting the need for the exception no longer exists.
**Subpart C - Compliance and Enforcement**
[§ 160.300 Applicability.]{.underline}
This subpart applies to actions by the Secretary, covered entities, and
others with respect to ascertaining the compliance by covered entities
with and the enforcement of the applicable requirements of this part 160
and the applicable standards, requirements, and implementation
specifications of subpart E of part 164 of this subchapter.
[§ 160.302 Definitions.]{.underline}
As used in this subpart, terms defined in § 164.501 of this subchapter
have the same meanings given to them in that section.
[§ 160.304 Principles for achieving compliance.]{.underline}
\(a\) [Cooperation.]{.underline} The Secretary will, to the extent
practicable, seek the cooperation of covered entities in obtaining
compliance with the applicable requirements of this part 160 and the
applicable standards, requirements, and implementation specifications of
subpart E of part 164 of this subchapter.
\(b\) [Assistance.]{.underline} The Secretary may provide technical
assistance to covered entities to help them comply voluntarily with the
applicable requirements of this part 160 or the applicable standards,
requirements, and implementation specifications of subpart E of part 164
of this subchapter.
[§ 160.306 Complaints to the Secretary.]{.underline}
\(a\) [Right to file a complaint.]{.underline} A person who believes a
covered entity is not complying with the applicable requirements of this
part 160 or the applicable standards, requirements, and implementation
specifications of subpart E of part 164 of this subchapter may file a
complaint with the Secretary.
\(b\) [Requirements for filing complaints.]{.underline} Complaints under
this section must meet the following requirements:
\(1\) A complaint must be filed in writing, either on paper or
electronically.
\(2\) A complaint must name the entity that is the subject of the
complaint and describe the acts or omissions believed to be in violation
of the applicable requirements of this part 160 or the applicable
standards, requirements, and implementation specifications of subpart E
of part 164 of this subchapter.
\(3\) A complaint must be filed within 180 days of when the complainant
knew or should have known that the act or omission complained of
occurred, unless this time limit is waived by the Secretary for good
cause shown.
\(4\) The Secretary may prescribe additional procedures for the filing
of complaints, as well as the place and manner of filing, by notice in
the [Federal Register]{.underline}.
\(c\) [Investigation.]{.underline} The Secretary may investigate
complaints filed under this section. Such investigation may include a
review of the pertinent policies, procedures, or practices of the
covered entity and of the circumstances regarding any alleged acts or
omissions concerning compliance.
[§ 160.308 Compliance reviews.]{.underline}
The Secretary may conduct compliance reviews to determine whether
covered entities are complying with the applicable requirements of this
part 160 and the applicable standards, requirements, and implementation
specifications of subpart E of part 164 of this subchapter.
[§ 160.310 Responsibilities of covered entities.]{.underline}
\(a\) [Provide records and compliance reports.]{.underline} A covered
entity must keep such records and submit such compliance reports, in
such time and manner and containing such information, as the Secretary
may determine to be necessary to enable the Secretary to ascertain
whether the covered entity has complied or is complying with the
applicable requirements of this part 160 and the applicable standards,
requirements, and implementation specifications of subpart E of part 164
of this subchapter.
\(b\) [Cooperate with complaint investigations and compliance
reviews.]{.underline} A covered entity must cooperate with the
Secretary, if the Secretary undertakes an investigation or compliance
review of the policies, procedures, or practices of a covered entity to
determine whether it is complying with the applicable requirements of
this part 160 and the standards, requirements, and implementation
specifications of subpart E of part 164 of this subchapter.
\(c\) [Permit access to information.]{.underline} (1) A covered entity
must permit access by the Secretary during normal business hours to its
facilities, books, records, accounts, and other sources of information,
including protected health information, that are pertinent to
ascertaining compliance with the applicable requirements of this part
160 and the applicable standards, requirements, and implementation
specifications of subpart E of part 164 of this subchapter. If the
Secretary determines that exigent circumstances exist, such as when
documents may be hidden or destroyed, a covered entity must permit
access by the Secretary at any time and without notice.
\(2\) If any information required of a covered entity under this section
is in the exclusive possession of any other agency, institution, or
person and the other agency, institution, or person fails or refuses to
furnish the information, the covered entity must so certify and set
forth what efforts it has made to obtain the information.
\(3\) Protected health information obtained by the Secretary in
connection with an investigation or compliance review under this subpart
will not be disclosed by the Secretary, except if necessary for
ascertaining or enforcing compliance with the applicable requirements of
this part 160 and the applicable standards, requirements, and
implementation specifications of subpart E of part 164 of this
subchapter, or if otherwise required by law.
[§ 160.312 Secretarial action regarding complaints and compliance
reviews.]{.underline}
\(a\) [Resolution where noncompliance is indicated.]{.underline} (1) If
an investigation pursuant to § 160.306 or a compliance review pursuant
to § 160.308 indicates a failure to comply, the Secretary will so inform
the covered entity and, if the matter arose from a complaint, the
complainant, in writing and attempt to resolve the matter by informal
means whenever possible.
\(2\) If the Secretary finds the covered entity is not in compliance and
determines that the matter cannot be resolved by informal means, the
Secretary may issue to the covered entity and, if the matter arose from
a complaint, to the complainant written findings documenting the
non-compliance.
\(b\) [Resolution when no violation is found.]{.underline} If, after an
investigation or compliance review, the Secretary determines that
further action is not warranted, the Secretary will so inform the
covered entity and, if the matter arose from a complaint, the
complainant in writing.
2\. A new Part 164 is added to read as follows:
**PART 164 -- SECURITY AND PRIVACY**
**Subpart A -- General Provisions**
Sec.
164.102 Statutory basis.
164.104 Applicability.
164.106 Relationship to other parts.
**Subparts B-D -- \[Reserved\]**
**Subpart E -- Privacy of Individually Identifiable Health Information**
164.500 Applicability.
164.501 Definitions.
164.502 Uses and disclosures of protected health information: general
rules.
164.504 Uses and disclosures: organizational requirements.
164.506 Consent for uses or disclosures to carry out treatment, payment,
and health care operations
164.508 Uses and disclosures for which an authorization is required.
164.510 Uses and disclosures requiring an opportunity for the individual
to agree or to object.
164.512 Uses and disclosures for which consent, an authorization, or
opportunity to agree or object is not required.
164.514 Other requirements relating to uses and disclosures of protected
health information.
164.520 Notice of privacy practices for protected health information.
164.522 Rights to request privacy protection for protected health
information.
164.524 Access of individuals to protected health information.
164.526 Amendment of protected health information.
164.528 Accounting of disclosures of protected health information.
164.530 Administrative requirements.
164.532 Transition requirements.
164.534 Compliance dates for initial implementation of the privacy
standards.
Authority: 42 U.S.C. 1320d-2 and 1320d-4, sec. 264 of Pub. L. 104-191,
110 Stat. 2033-2034(42 U.S.C. 1320(d-2(note)).
**Subpart A\--General Provisions**
[§ 164.102 Statutory basis.]{.underline}
The provisions of this part are adopted pursuant to the Secretary\'s
authority to prescribe standards, requirements, and implementation
standards under part C of title XI of the Act and section 264 of Public
Law 104-191.
[§ 164.104 Applicability.]{.underline}
Except as otherwise provided, the provisions of this part apply to
covered entities: health plans, health care clearinghouses, and health
care providers who transmit health information in electronic form in
connection with any transaction referred to in section 1173(a)(1) of the
Act.
[§ 164.106 Relationship to other parts.]{.underline}
In complying with the requirements of this part, covered entities are
required to comply with the applicable provisions of parts 160 and 162
of this subchapter.
**Subpart B-D\--\[Reserved\]**
**Subpart E - Privacy of Individually Identifiable Health Information**
[§ 164.500 Applicability.]{.underline}
\(a\) Except as otherwise provided herein, the standards, requirements,
and implementation specifications of this subpart apply to covered
entities with respect to protected health information.
\(b\) Health care clearinghouses must comply with the standards,
requirements, and implementation specifications as follows:
\(1\) When a health care clearinghouse creates or receives protected
health information as a business associate of another covered entity,
the clearinghouse must comply with:
\(i\) Section 164.500 relating to applicability;
\(ii\) Section 164.501 relating to definitions;
\(iii\) Section 164.502 relating to uses and disclosures of protected
health information, except that a clearinghouse is prohibited from using
or disclosing protected health information other than as permitted in
the business associate contract under which it created or received the
protected health information;
\(iv\) Section 164.504 relating to the organizational requirements for
covered entities, including the designation of health care components of
a covered entity;
\(v\) Section 164.512 relating to uses and disclosures for which
consent, individual authorization or an opportunity to agree or object
is not required, except that a clearinghouse is prohibited from using or
disclosing protected health information other than as permitted in the
business associate contract under which it created or received the
protected health information;
\(vi\) Section 164.532 relating to transition requirements; and
\(vii\) Section 164.534 relating to compliance dates for initial
implementation of the privacy standards.
\(2\) When a health care clearinghouse creates or receives protected
health information other than as a business associate of a covered
entity, the clearinghouse must comply with all of the standards,
requirements, and implementation specifications of this subpart.
\(c\) The standards, requirements, and implementation specifications of
this subpart do not apply to the Department of Defense or to any other
federal agency, or non-governmental organization acting on its behalf,
when providing health care to overseas foreign national beneficiaries.
[§ 164.501 Definitions.]{.underline}
As used in this subpart, the following terms have the following
meanings:
*Correctional institution* means any penal or correctional facility,
jail, reformatory, detention center, work farm, halfway house, or
residential community program center operated by, or under contract to,
the United States, a State, a territory, a political subdivision of a
State or territory, or an Indian tribe, for the confinement or
rehabilitation of persons charged with or convicted of a criminal
offense or other persons held in lawful custody. *Other persons held in
lawful custody* includes juvenile offenders adjudicated delinquent,
aliens detained awaiting deportation, persons committed to mental
institutions through the criminal justice system, witnesses, or others
awaiting charges or trial.
*Covered functions* means those functions of a covered entity the
performance of which makes the entity a health plan, health care
provider, or health care clearinghouse.
*Data aggregation* means, with respect to protected health information
created or received by a business associate in its capacity as the
business associate of a covered entity, the combining of such protected
health information by the business associate with the protected health
information received by the business associate in its capacity as a
business associate of another covered entity, to permit data analyses
that relate to the health care operations of the respective covered
entities.
*Designated record set* means:
\(1\) A group of records maintained by or for a covered entity that is:
\(i\) The medical records and billing records about individuals
maintained by or for a covered health care provider;
\(ii\) The enrollment, payment, claims adjudication, and case or medical
management record systems maintained by or for a health plan; or
\(iii\) Used, in whole or in part, by or for the covered entity to make
decisions about individuals.
\(2\) For purposes of this paragraph, the term *record* means any item,
collection, or grouping of information that includes protected health
information and is maintained, collected, used, or disseminated by or
for a covered entity.
*Direct treatment relationship* means a treatment relationship between
an individual and a health care provider that is not an indirect
treatment relationship.
*Disclosure* means the release, transfer, provision of access to, or
divulging in any other manner of information outside the entity holding
the information.
*Health care operations* means any of the following activities of the
covered entity to the extent that the activities are related to covered
functions, and any of the following activities of an organized health
care arrangement in which the covered entity participates:
\(1\) Conducting quality assessment and improvement activities,
including outcomes evaluation and development of clinical guidelines,
provided that the obtaining of generalizable knowledge is not the
primary purpose of any studies resulting from such activities;
population-based activities relating to improving health or reducing
health care costs, protocol development, case management and care
coordination, contacting of health care providers and patients with
information about treatment alternatives; and related functions that do
not include treatment;
\(2\) Reviewing the competence or qualifications of health care
professionals, evaluating practitioner and provider performance, health
plan performance, conducting training programs in which students,
trainees, or practitioners in areas of health care learn under
supervision to practice or improve their skills as health care
providers, training of non-health care professionals, accreditation,
certification, licensing, or credentialing activities;
\(3\) Underwriting, premium rating, and other activities relating to the
creation, renewal or replacement of a contract of health insurance or
health benefits, and ceding, securing, or placing a contract for
reinsurance of risk relating to claims for health care (including
stop-loss insurance and excess of loss insurance), provided that the
requirements of § 164.514(g) are met, if applicable;
\(4\) Conducting or arranging for medical review, legal services, and
auditing functions, including fraud and abuse detection and compliance
programs;
\(5\) Business planning and development, such as conducting
cost-management and planning-related analyses related to managing and
operating the entity, including formulary development and
administration, development or improvement of methods of payment or
coverage policies; and
\(6\) Business management and general administrative activities of the
entity, including, but not limited to:
\(i\) Management activities relating to implementation of and compliance
with the requirements of this subchapter;
\(ii\) Customer service, including the provision of data analyses for
policy holders, plan sponsors, or other customers, provided that
protected health information is not disclosed to such policy holder,
plan sponsor, or customer.
\(iii\) Resolution of internal grievances;
\(iv\) Due diligence in connection with the sale or transfer of assets
to a potential successor in interest, if the potential successor in
interest is a covered entity or, following completion of the sale or
transfer, will become a covered entity; and
\(v\) Consistent with the applicable requirements of § 164.514, creating
de-identified health information, fundraising for the benefit of the
covered entity, and marketing for which an individual authorization is
not required as described in § 164.514(e)(2).
*Health oversight agency* means an agency or authority of the United
States, a State, a territory, a political subdivision of a State or
territory, or an Indian tribe, or a person or entity acting under a
grant of authority from or contract with such public agency, including
the employees or agents of such public agency or its contractors or
persons or entities to whom it has granted authority, that is authorized
by law to oversee the health care system (whether public or private) or
government programs in which health information is necessary to
determine eligibility or compliance, or to enforce civil rights laws for
which health information is relevant.
*Indirect treatment relationship* means a relationship between an
individual and a health care provider in which:
\(1\) The health care provider delivers health care to the individual
based on the orders of another health care provider; and
\(2\) The health care provider typically provides services or products,
or reports the diagnosis or results associated with the health care,
directly to another health care provider, who provides the services or
products or reports to the individual.
*Individual* means the person who is the subject of protected health
information.
*Individually identifiable health information* is information that is a
subset of health information, including demographic information
collected from an individual, and:
\(1\) Is created or received by a health care provider, health plan,
employer, or health care clearinghouse; and
\(2\) Relates to the past, present, or future physical or mental health
or condition of an individual; the provision of health care to an
individual; or the past, present, or future payment for the provision of
health care to an individual; and
\(i\) That identifies the individual; or
\(ii\) With respect to which there is a reasonable basis to believe the
information can be used to identify the individual.
*Inmate* means a person incarcerated in or otherwise confined to a
correctional institution.
*Law enforcement official* means an officer or employee of any agency or
authority of the United States, a State, a territory, a political
subdivision of a State or territory, or an Indian tribe, who is
empowered by law to:
\(1\) Investigate or conduct an official inquiry into a potential
violation of law; or
\(2\) Prosecute or otherwise conduct a criminal, civil, or
administrative proceeding arising from an alleged violation of law.
*Marketing* means to make a communication about a product or service a
purpose of which is to encourage recipients of the communication to
purchase or use the product or service.
\(1\) *Marketing* does not include communications that meet the
requirements of paragraph (2) of this definition and that are made by a
covered entity:
\(i\) For the purpose of describing the entities participating in a
health care provider network or health plan network, or for the purpose
of describing if and the extent to which a product or service (or
payment for such product or service) is provided by a covered entity or
included in a plan of benefits; or
\(ii\) That are tailored to the circumstances of a particular individual
and the communications are:
\(A\) Made by a health care provider to an individual as part of the
treatment of the individual, and for the purpose of furthering the
treatment of that individual; or
\(B\) Made by a health care provider or health plan to an individual in
the course of managing the treatment of that individual, or for the
purpose of directing or recommending to that individual alternative
treatments, therapies, health care providers, or settings of care.
\(2\) A communication described in paragraph (1) of this definition is
not included in marketing if:
\(i\) The communication is made orally; or
\(ii\) The communication is in writing and the covered entity does not
receive direct or indirect remuneration from a third party for making
the communication.
*Organized health care arrangement* means:
\(1\) A clinically integrated care setting in which individuals
typically receive health care from more than one health care provider;
\(2\) An organized system of health care in which more than one covered
entity participates, and in which the participating covered entities:
\(i\) Hold themselves out to the public as participating in a joint
arrangement; and
\(ii\) Participate in joint activities that include at least one of the
following:
\(A\) Utilization review, in which health care decisions by
participating covered entities are reviewed by other participating
covered entities or by a third party on their behalf;
\(B\) Quality assessment and improvement activities, in which treatment
provided by participating covered entities is assessed by other
participating covered entities or by a third party on their behalf; or
\(C\) Payment activities, if the financial risk for delivering health
care is shared, in part or in whole, by participating covered entities
through the joint arrangement and if protected health information
created or received by a covered entity is reviewed by other
participating covered entities or by a third party on their behalf for
the purpose of administering the sharing of financial risk.
\(3\) A group health plan and a health insurance issuer or HMO with
respect to such group health plan, but only with respect to protected
health information created or received by such health insurance issuer
or HMO that relates to individuals who are or who have been participants
or beneficiaries in such group health plan;
\(4\) A group health plan and one or more other group health plans each
of which are maintained by the same plan sponsor; or
\(5\) The group health plans described in paragraph (4) of this
definition and health insurance issuers or HMOs with respect to such
group health plans, but only with respect to protected health
information created or received by such health insurance issuers or HMOs
that relates to individuals who are or have been participants or
beneficiaries in any of such group health plans.
*Payment* means:
\(1\) The activities undertaken by:
\(i\) A health plan to obtain premiums or to determine or fulfill its
responsibility for coverage and provision of benefits under the health
plan; or
\(ii\) A covered health care provider or health plan to obtain or
provide reimbursement for the provision of health care; and
\(2\) The activities in paragraph (1) of this definition relate to the
individual to whom health care is provided and include, but are not
limited to:
\(i\) Determinations of eligibility or coverage (including coordination
of benefits or the determination of cost sharing amounts), and
adjudication or subrogation of health benefit claims;
\(ii\) Risk adjusting amounts due based on enrollee health status and
demographic characteristics;
\(iii\) Billing, claims management, collection activities, obtaining
payment under a contract for reinsurance (including stop-loss insurance
and excess of loss insurance), and related health care data processing;
\(iv\) Review of health care services with respect to medical necessity,
coverage under a health plan, appropriateness of care, or justification
of charges;
\(v\) Utilization review activities, including precertification and
preauthorization of services, concurrent and retrospective review of
services; and
\(vi\) Disclosure to consumer reporting agencies of any of the following
protected health information relating to collection of premiums or
reimbursement:
\(A\) Name and address;
\(B\) Date of birth;
\(C\) Social security number;
\(D\) Payment history;
\(E\) Account number; and
\(F\) Name and address of the health care provider and/or health plan.
*Plan sponsor* is defined as defined at section 3(16)(B) of ERISA, 29
U.S.C. 1002(16)(B).
*Protected health information* means individually identifiable health
information:
\(1\) Except as provided in paragraph (2) of this definition, that is:
\(i\) Transmitted by electronic media;
\(ii\) Maintained in any medium described in the definition of
*electronic media* at § 162.103 of this subchapter; or
\(iii\) Transmitted or maintained in any other form or medium.
\(2\) *Protected health information* excludes individually identifiable
health information in:
\(i\) Education records covered by the Family Educational Right and
Privacy Act, as amended, 20 U.S.C. 1232g; and
\(ii\) Records described at 20 U.S.C. 1232g(a)(4)(B)(iv).
*Psychotherapy notes* means notes recorded (in any medium) by a health
care provider who is a mental health professional documenting or
analyzing the contents of conversation during a private counseling
session or a group, joint, or family counseling session and that are
separated from the rest of the individual's medical record.
*Psychotherapy notes* excludes medication prescription and monitoring,
counseling session start and stop times, the modalities and frequencies
of treatment furnished, results of clinical tests, and any summary of
the following items: diagnosis, functional status, the treatment plan,
symptoms, prognosis, and progress to date.
*Public health authority* means an agency or authority of the United
States, a State, a territory, a political subdivision of a State or
territory, or an Indian tribe, or a person or entity acting under a
grant of authority from or contract with such public agency, including
the employees or agents of such public agency or its contractors or
persons or entities to whom it has granted authority, that is
responsible for public health matters as part of its official mandate.
*Required by law* means a mandate contained in law that compels a
covered entity to make a use or disclosure of protected health
information and that is enforceable in a court of law. *Required by law*
includes, but is not limited to, court orders and court-ordered
warrants; subpoenas or summons issued by a court, grand jury, a
governmental or tribal inspector general, or an administrative body
authorized to require the production of information; a civil or an
authorized investigative demand; Medicare conditions of participation
with respect to health care providers participating in the program; and
statutes or regulations that require the production of information,
including statutes or regulations that require such information if
payment is sought under a government program providing public benefits.
*Research* means a systematic investigation, including research
development, testing, and evaluation, designed to develop or contribute
to generalizable knowledge.
*Treatment* means 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.
*Use* means, with respect to individually identifiable health
information, the sharing, employment, application, utilization,
examination, or analysis of such information within an entity that
maintains such information.
[§ 164.502 Uses and disclosures of protected health information: general
rules.]{.underline}
\(a\) [Standard.]{.underline} A covered entity may not use or disclose
protected health information, except as permitted or required by this
subpart or by subpart C of part 160 of this subchapter.
\(1\) [Permitted uses and disclosures.]{.underline} A covered entity is
permitted to use or disclose protected health information as follows:
\(i\) To the individual;
\(ii\) Pursuant to and in compliance with a consent that complies with §
164.506, to carry out treatment, payment, or health care operations;
\(iii\) Without consent, if consent is not required under § 164.506(a)
and has not been sought under § 164.506(a)(4), to carry out treatment,
payment, or health care operations, except with respect to psychotherapy
notes;
\(iv\) Pursuant to and in compliance with an authorization that complies
with § 164.508;
\(v\) Pursuant to an agreement under, or as otherwise permitted by, §
164.510; and
\(vi\) As permitted by and in compliance with this section, § 164.512,
or § 164.514(e), (f), and (g).
\(2\) [Required disclosures.]{.underline} A covered entity is required
to disclose protected health information:
\(i\) To an individual, when requested under, and as required by §§
164.524 or 164.528; and
\(ii\) When required by the Secretary under subpart C of part 160 of
this subchapter to investigate or determine the covered entity\'s
compliance with this subpart.
\(b\) [Standard: minimum necessary.]{.underline} (1) [Minimum necessary
applies.]{.underline} When using or disclosing protected health
information or when requesting protected health information from another
covered entity, a covered entity must make reasonable efforts to limit
protected health information to the minimum necessary to accomplish the
intended purpose of the use, disclosure, or request.
\(2\) [Minimum necessary does not apply.]{.underline} This requirement
does not apply to:
\(i\) Disclosures to or requests by a health care provider for
treatment;
\(ii\) Uses or disclosures made to the individual, as permitted under
paragraph (a)(1)(i) of this section, as required by paragraph (a)(2)(i)
of this section, or pursuant to an authorization under § 164.508, except
for authorizations requested by the covered entity under § 164.508(d),
(e), or (f);
\(iii\) Disclosures made to the Secretary in accordance with subpart C
of part 160 of this subchapter;
\(iv\) Uses or disclosures that are required by law, as described by §
164.512(a); and
\(v\) Uses or disclosures that are required for compliance with
applicable requirements of this subchapter.
\(c\) [Standard: uses and disclosures of protected health information
subject to an agreed upon restriction.]{.underline} A covered entity
that has agreed to a restriction pursuant to § 164.522(a)(1) may not use
or disclose the protected health information covered by the restriction
in violation of such restriction, except as otherwise provided in §
164.522(a).
\(d\) [Standard: uses and disclosures of de-identified protected health
information.]{.underline}
\(1\) [Uses and disclosures to create de-identified
information.]{.underline} A covered entity may use protected health
information to create information that is not individually identifiable
health information or disclose protected health information only to a
business associate for such purpose, whether or not the de-identified
information is to be used by the covered entity.
\(2\) [Uses and disclosures of de-identified information.]{.underline}
Health information that meets the standard and implementation
specifications for de-identification under § 164.514(a) and (b) is
considered not to be individually identifiable health information, i.e.,
de-identified. The requirements of this subpart do not apply to
information that has been de-identified in accordance with the
applicable requirements of § 164.514, provided that:
\(i\) Disclosure of a code or other means of record identification
designed to enable coded or otherwise de-identified information to be
re-identified constitutes disclosure of protected health information;
and
\(ii\) If de-identified information is re-identified, a covered entity
may use or disclose such re-identified information only as permitted or
required by this subpart.
(e)(1) [Standard: disclosures to business associates.]{.underline} (i) A
covered entity may disclose protected health information to a business
associate and may allow a business associate to create or receive
protected health information on its behalf, if the covered entity
obtains satisfactory assurance that the business associate will
appropriately safeguard the information.
\(ii\) This standard does not apply:
\(A\) With respect to disclosures by a covered entity to a health care
provider concerning the treatment of the individual;
\(B\) With respect to disclosures by a group health plan or a health
insurance issuer or HMO with respect to a group health plan to the plan
sponsor, to the extent that the requirements of § 164.504(f) apply and
are met; or
\(C\) With respect to uses or disclosures by a health plan that is a
government program providing public benefits, if eligibility for, or
enrollment in, the health plan is determined by an agency other than the
agency administering the health plan, or if the protected health
information used to determine enrollment or eligibility in the health
plan is collected by an agency other than the agency administering the
health plan, and such activity is authorized by law, with respect to the
collection and sharing of individually identifiable health information
for the performance of such functions by the health plan and the agency
other than the agency administering the health plan.
\(iii\) A covered entity that violates the satisfactory assurances it
provided as a business associate of another covered entity will be in
noncompliance with the standards, implementation specifications, and
requirements of this paragraph and § 164.504(e).
\(2\) [Implementation specification: documentation.]{.underline} A
covered entity must document the satisfactory assurances required by
paragraph (e)(1) of this section through a written contract or other
written agreement or arrangement with the business associate that meets
the applicable requirements of § 164.504(e).
\(f\) [Standard: deceased individuals.]{.underline} A covered entity
must comply with the requirements of this subpart with respect to the
protected health information of a deceased individual.
(g)(1) [Standard: personal representatives.]{.underline} As specified in
this paragraph, a covered entity must, except as provided in paragraphs
(g)(3) and (g)(5) of this section, treat a personal representative as
the individual for purposes of this subchapter.
\(2\) [Implementation specification: adults and emancipated
minors.]{.underline} If under applicable law a person has authority to
act on behalf of an individual who is an adult or an emancipated minor
in making decisions related to health care, a covered entity must treat
such person as a personal representative under this subchapter, with
respect to protected health information relevant to such personal
representation.
\(3\) [Implementation specification: unemancipated minors.]{.underline}
If under applicable law a parent, guardian, or other person acting *in
loco parentis* has authority to act on behalf of an individual who is an
unemancipated minor in making decisions related to health care, a
covered entity must treat such person as a personal representative under
this subchapter, with respect to protected health information relevant
to such personal representation, except that such person may not be a
personal representative of an unemancipated minor, and the minor has the
authority to act as an individual, with respect to protected health
information pertaining to a health care service, if:
\(i\) The minor consents to such health care service; no other consent
to such health care service is required by law, regardless of whether
the consent of another person has also been obtained; and the minor has
not requested that such person be treated as the personal
representative;
\(ii\) The minor may lawfully obtain such health care service without
the consent of a parent, guardian, or other person acting *in loco
parentis*, and the minor, a court, or another person authorized by law
consents to such health care service; or
\(iii\) A parent, guardian, or other person acting *in loco parentis*
assents to an agreement of confidentiality between a covered health care
provider and the minor with respect to such health care service.
\(4\) [Implementation specification: deceased individuals.]{.underline}
If under applicable law an executor, administrator, or other person has
authority to act on behalf of a deceased individual or of the
individual\'s estate, a covered entity must treat such person as a
personal representative under this subchapter, with respect to protected
health information relevant to such personal representation.
\(5\) [Implementation specification: abuse, neglect, endangerment
situations.]{.underline} Notwithstanding a State law or any requirement
of this paragraph to the contrary, a covered entity may elect not to
treat a person as the personal representative of an individual if:
\(i\) The covered entity has a reasonable belief that:
\(A\) The individual has been or may be subjected to domestic violence,
abuse, or neglect by such person; or
\(B\) Treating such person as the personal representative could endanger
the individual; and
\(ii\) The covered entity, in the exercise of professional judgment,
decides that it is not in the best interest of the individual to treat
the person as the individual's personal representative.
\(h\) [Standard: confidential communications.]{.underline} A covered
health care provider or health plan must comply with the applicable
requirements of § 164.522(b) in communicating protected health
information.
\(i\) [Standard: uses and disclosures consistent with
notice.]{.underline} A covered entity that is required by § 164.520 to
have a notice may not use or disclose protected health information in a
manner inconsistent with such notice. A covered entity that is required
by § 164.520(b)(1)(iii) to include a specific statement in its notice if
it intends to engage in an activity listed in §
164.520(b)(1)(iii)(A)-(C), may not use or disclose protected health
information for such activities, unless the required statement is
included in the notice.
\(j\) [Standard: disclosures by whistleblowers and workforce member
crime victims.]{.underline}
\(1\) [Disclosures by whistleblowers.]{.underline} A covered entity is
not considered to have violated the requirements of this subpart if a
member of its workforce or a business associate discloses protected
health information, provided that:
\(i\) The workforce member or business associate believes in good faith
that the covered entity has engaged in conduct that is unlawful or
otherwise violates professional or clinical standards, or that the care,
services, or conditions provided by the covered entity potentially
endangers one or more patients, workers, or the public; and
\(ii\) The disclosure is to:
\(A\) A health oversight agency or public health authority authorized by
law to investigate or otherwise oversee the relevant conduct or
conditions of the covered entity or to an appropriate health care
accreditation organization for the purpose of reporting the allegation
of failure to meet professional standards or misconduct by the covered
entity; or
\(B\) An attorney retained by or on behalf of the workforce member or
business associate for the purpose of determining the legal options of
the workforce member or business associate with regard to the conduct
described in paragraph (j)(1)(i) of this section.
\(2\) [Disclosures by workforce members who are victims of a
crime.]{.underline} A covered entity is not considered to have violated
the requirements of this subpart if a member of its workforce who is the
victim of a criminal act discloses protected health information to a law
enforcement official, provided that:
\(i\) The protected health information disclosed is about the suspected
perpetrator of the criminal act; and
\(ii\) The protected health information disclosed is limited to the
information listed in § 164.512(f)(2)(i).
[§ 164.504 Uses and disclosures: organizational
requirements.]{.underline}
\(a\) [Definitions.]{.underline} As used in this section:
*Common control* exists if an entity has the power, directly or
indirectly, significantly to influence or direct the actions or policies
of another entity.
*Common ownership* exists if an entity or entities possess an ownership
or equity interest of 5 percent or more in another entity.
*Health care component* has the following meaning:
\(1\) Components of a covered entity that perform covered functions are
part of the health care component.
\(2\) Another component of the covered entity is part of the entity's
health care component to the extent that:
\(i\) It performs, with respect to a component that performs covered
functions, activities that would make such other component a business
associate of the component that performs covered functions if the two
components were separate legal entities; and
\(ii\) The activities involve the use or disclosure of protected health
information that such other component creates or receives from or on
behalf of the component that performs covered functions.
*Hybrid entity* means a single legal entity that is a covered entity and
whose covered functions are not its primary functions.
*Plan administration functions* means administration functions performed
by the plan sponsor of a group health plan on behalf of the group health
plan and excludes functions performed by the plan sponsor in connection
with any other benefit or benefit plan of the plan sponsor.
*Summary health information* means information, that may be individually
identifiable health information, and:
\(1\) That summarizes the claims history, claims expenses, or type of
claims experienced by individuals for whom a plan sponsor has provided
health benefits under a group health plan; and
\(2\) From which the information described at § 164.514(b)(2)(i) has
been deleted, except that the geographic information described in §
164.514(b)(2)(i)(B) need only be aggregated to the level of a five digit
zip code.
\(b\) [Standard: health care component.]{.underline} If a covered entity
is a hybrid entity, the requirements of this subpart, other than the
requirements of this section, apply only to the health care component(s)
of the entity, as specified in this section.
(c)(1) [Implementation specification: application of other
provisions.]{.underline} In applying a provision of this subpart, other
than this section, to a hybrid entity:
\(i\) A reference in such provision to a "covered entity" refers to a
health care component of the covered entity;
\(ii\) A reference in such provision to a "health plan," "covered health
care provider," or "health care clearinghouse" refers to a health care
component of the covered entity if such health care component performs
the functions of a health plan, covered health care provider, or health
care clearinghouse, as applicable; and
\(iii\) A reference in such provision to "protected health information"
refers to protected health information that is created or received by or
on behalf of the health care component of the covered entity.
\(2\) [Implementation specifications: safeguard
requirements.]{.underline} The covered entity that is a hybrid entity
must ensure that a health care component of the entity complies with the
applicable requirements of this subpart. In particular, and without
limiting this requirement, such covered entity must ensure that:
\(i\) Its health care component does not disclose protected health
information to another component of the covered entity in circumstances
in which this subpart would prohibit such disclosure if the health care
component and the other component were separate and distinct legal
entities;
\(ii\) A component that is described by paragraph (2)(i) of the
definition of *health care component* in this section does not use or
disclose protected health information that is within paragraph (2)(ii)
of such definition for purposes of its activities other than those
described by paragraph (2)(i) of such definition in a way prohibited by
this subpart; and
\(iii\) If a person performs duties for both the health care component
in the capacity of a member of the workforce of such component and for
another component of the entity in the same capacity with respect to
that component, such workforce member must not use or disclose protected
health information created or received in the course of or incident to
the member's work for the health care component in a way prohibited by
this subpart.
\(3\) [Implementation specifications: responsibilities of the covered
entity.]{.underline} A covered entity that is a hybrid entity has the
following responsibilities:
\(i\) For purposes of subpart C of part 160 of this subchapter,
pertaining to compliance and enforcement, the covered entity has the
responsibility to comply with this subpart.
\(ii\) The covered entity has the responsibility for complying with §
164.530(i), pertaining to the implementation of policies and procedures
to ensure compliance with this subpart, including the safeguard
requirements in paragraph (c)(2) of this section.
\(iii\) The covered entity is responsible for designating the components
that are part of one or more health care components of the covered
entity and documenting the designation as required by § 164.530(j).
(d)(1) [Standard: affiliated covered entities.]{.underline} Legally
separate covered entities that are affiliated may designate themselves
as a single covered entity for purposes of this subpart.
\(2\) [Implementation specifications: requirements for designation of an
affiliated covered entity.]{.underline} (i) Legally separate covered
entities may designate themselves (including any health care component
of such covered entity) as a single affiliated covered entity, for
purposes of this subpart, if all of the covered entities designated are
under common ownership or control.
\(ii\) The designation of an affiliated covered entity must be
documented and the documentation maintained as required by § 164.530(j).
\(3\) [Implementation specifications: safeguard
requirements.]{.underline} An affiliated covered entity must ensure
that:
\(i\) The affiliated covered entity's use and disclosure of protected
health information comply with the applicable requirements of this
subpart; and
\(ii\) If the affiliated covered entity combines the functions of a
health plan, health care provider, or health care clearinghouse, the
affiliated covered entity complies with paragraph (g) of this section.
(e)(1) [Standard: business associate contracts.]{.underline} (i) The
contract or other arrangement between the covered entity and the
business associate required by § 164.502(e)(2) must meet the
requirements of paragraph (e)(2) or (e)(3) of this section, as
applicable.
\(ii\) A covered entity is not in compliance with the standards in §
164.502(e) and paragraph (e) of this section, if the covered entity knew
of a pattern of activity or practice of the business associate that
constituted a material breach or violation of the business associate's
obligation under the contract or other arrangement, unless the covered
entity took reasonable steps to cure the breach or end the violation, as
applicable, and, if such steps were unsuccessful:
\(A\) Terminated the contract or arrangement, if feasible; or
\(B\) If termination is not feasible, reported the problem to the
Secretary.
\(2\) [Implementation specifications: business associate
contracts.]{.underline} A contract between the covered entity and a
business associate must:
\(i\) Establish the permitted and required uses and disclosures of such
information by the business associate. The contract may not authorize
the business associate to use or further disclose the information in a
manner that would violate the requirements of this subpart, if done by
the covered entity, except that:
\(A\) The contract may permit the business associate to use and disclose
protected health information for the proper management and
administration of the business associate, as provided in paragraph
(e)(4) of this section; and
\(B\) The contract may permit the business associate to provide data
aggregation services relating to the health care operations of the
covered entity.
\(ii\) Provide that the business associate will:
\(A\) Not use or further disclose the information other than as
permitted or required by the contract or as required by law;
\(B\) Use appropriate safeguards to prevent use or disclosure of the
information other than as provided for by its contract;
\(C\) Report to the covered entity any use or disclosure of the
information not provided for by its contract of which it becomes aware;
\(D\) Ensure that any agents, including a subcontractor, to whom it
provides protected health information received from, or created or
received by the business associate on behalf of, the covered entity
agrees to the same restrictions and conditions that apply to the
business associate with respect to such information;
\(E\) Make available protected health information in accordance with §
164.524;
\(F\) Make available protected health information for amendment and
incorporate any amendments to protected health information in accordance
with §164.526;
\(G\) Make available the information required to provide an accounting
of disclosures in accordance with § 164.528;
\(H\) Make its internal practices, books, and records relating to the
use and disclosure of protected health information received from, or
created or received by the business associate on behalf of, the covered
entity available to the Secretary for purposes of determining the
covered entity\'s compliance with this subpart; and
\(I\) At termination of the contract, if feasible, return or destroy all
protected health information received from, or created or received by
the business associate on behalf of, the covered entity that the
business associate still maintains in any form and retain no copies of
such information or, if such return or destruction is not feasible,
extend the protections of the contract to the information and limit
further uses and disclosures to those purposes that make the return or
destruction of the information infeasible.
\(iii\) Authorize termination of the contract by the covered entity, if
the covered entity determines that the business associate has violated a
material term of the contract.
\(3\) [Implementation specifications: other arrangements.]{.underline}
(i) If a covered entity and its business associate are both governmental
entities:
\(A\) The covered entity may comply with paragraph (e) of this section
by entering into a memorandum of understanding with the business
associate that contains terms that accomplish the objectives of
paragraph (e)(2) of this section.
\(B\) The covered entity may comply with paragraph (e) of this section,
if other law (including regulations adopted by the covered entity or its
business associate) contains requirements applicable to the business
associate that accomplish the objectives of paragraph (e)(2) of this
section.
\(ii\) If a business associate is required by law to perform a function
or activity on behalf of a covered entity or to provide a service
described in the definition of *business associate* in § 160.103 of this
subchapter to a covered entity, such covered entity may disclose
protected health information to the business associate to the extent
necessary to comply with the legal mandate without meeting the
requirements of this paragraph (e), provided that the covered entity
attempts in good faith to obtain satisfactory assurances as required by
paragraph (e)(3)(i) of this section, and, if such attempt fails,
documents the attempt and the reasons that such assurances cannot be
obtained.
\(iii\) The covered entity may omit from its other arrangements the
termination authorization required by paragraph (e)(2)(iii) of this
section, if such authorization is inconsistent with the statutory
obligations of the covered entity or its business associate.
\(4\) [Implementation specifications: other requirements for contracts
and other arrangements.]{.underline} (i) The contract or other
arrangement between the covered entity and the business associate may
permit the business associate to use the information received by the
business associate in its capacity as a business associate to the
covered entity, if necessary:
\(A\) For the proper management and administration of the business
associate; or
\(B\) To carry out the legal responsibilities of the business associate.
\(ii\) The contract or other arrangement between the covered entity and
the business associate may permit the business associate to disclose the
information received by the business associate in its capacity as a
business associate for the purposes described in paragraph (e)(4)(i) of
this section, if:
\(A\) The disclosure is required by law; or
(B)(*1*) The business associate obtains reasonable assurances from the
person to whom the information is disclosed that it will be held
confidentially and used or further disclosed only as required by law or
for the purpose for which it was disclosed to the person; and
(*2*) The person notifies the business associate of any instances of
which it is aware in which the confidentiality of the information has
been breached.
(f)(1)[Standard: requirements for group health plans.]{.underline} (i)
Except as provided under paragraph (f)(1)(ii) of this section or as
otherwise authorized under § 164.508, a group health plan, in order to
disclose protected health information to the plan sponsor or to provide
for or permit the disclosure of protected health information to the plan
sponsor by a health insurance issuer or HMO with respect to the group
health plan, must ensure that the plan documents restrict uses and
discloses of such information by the plan sponsor consistent with the
requirements of this subpart.
\(ii\) The group health plan, or a health insurance issuer or HMO with
respect to the group health plan, may disclose summary health
information to the plan sponsor, if the plan sponsor requests the
summary health information for the purpose of :
\(A\) Obtaining premium bids from health plans for providing health
insurance coverage under the group health plan; or
\(B\) Modifying, amending, or terminating the group health plan.
\(2\) [Implementation specifications: requirements for plan
documents.]{.underline} The plan documents of the group health plan must
be amended to incorporate provisions to:
\(i\) Establish the permitted and required uses and disclosures of such
information by the plan sponsor, provided that such permitted and
required uses and disclosures may not be inconsistent with this subpart.
\(ii\) Provide that the group health plan will disclose protected health
information to the plan sponsor only upon receipt of a certification by
the plan sponsor that the plan documents have been amended to
incorporate the following provisions and that the plan sponsor agrees
to:
\(A\) Not use or further disclose the information other than as
permitted or required by the plan documents or as required by law;
\(B\) Ensure that any agents, including a subcontractor, to whom it
provides protected health information received from the group health
plan agree to the same restrictions and conditions that apply to the
plan sponsor with respect to such information;
\(C\) Not use or disclose the information for employment-related actions
and decisions or in connection with any other benefit or employee
benefit plan of the plan sponsor;
\(D\) Report to the group health plan any use or disclosure of the
information that is inconsistent with the uses or disclosures provided
for of which it becomes aware;
\(E\) Make available protected health information in accordance with §
164.524;
\(F\) Make available protected health information for amendment and
incorporate any amendments to protected health information in accordance
with §164.526;
\(G\) Make available the information required to provide an accounting
of disclosures in accordance with § 164.528;
\(H\) Make its internal practices, books, and records relating to the
use and disclosure of protected health information received from the
group health plan available to the Secretary for purposes of determining
compliance by the group health plan with this subpart;
\(I\) If feasible, return or destroy all protected health information
received from the group health plan that the sponsor still maintains in
any form and retain no copies of such information when no longer needed
for the purpose for which disclosure was made, except that, if such
return or destruction is not feasible, limit further uses and
disclosures to those purposes that make the return or destruction of the
information infeasible; and
\(J\) Ensure that the adequate separation required in paragraph
(f)(2)(iii) of this section is established.
\(iii\) Provide for adequate separation between the group health plan
and the plan sponsor. The plan documents must:
\(A\) Describe those employees or classes of employees or other persons
under the control of the plan sponsor to be given access to the
protected health information to be disclosed, provided that any employee
or person who receives protected health information relating to payment
under, health care operations of, or other matters pertaining to the
group health plan in the ordinary course of business must be included in
such description;
\(B\) Restrict the access to and use by such employees and other persons
described in paragraph (f)(2)(iii)(A) of this section to the plan
administration functions that the plan sponsor performs for the group
health plan; and
\(C\) Provide an effective mechanism for resolving any issues of
noncompliance by persons described in paragraph (f)(2)(iii)(A) of this
section with the plan document provisions required by this paragraph.
\(3\) [Implementation specifications: uses and disclosures.]{.underline}
A group health plan may:
\(i\) Disclose protected health information to a plan sponsor to carry
out plan administration functions that the plan sponsor performs only
consistent with the provisions of paragraph (f)(2) of this section;
\(ii\) Not permit a health insurance issuer or HMO with respect to the
group health plan to disclose protected health information to the plan
sponsor except as permitted by this paragraph;
\(iii\) Not disclose and may not permit a health insurance issuer or HMO
to disclose protected health information to a plan sponsor as otherwise
permitted by this paragraph unless a statement required by §
164.520(b)(1)(iii)(C) is included in the appropriate notice; and
\(iv\) Not disclose protected health information to the plan sponsor for
the purpose of employment-related actions or decisions or in connection
with any other benefit or employee benefit plan of the plan sponsor.
\(g\) [Standard: requirements for a covered entity with multiple covered
functions.]{.underline}
\(1\) A covered entity that performs multiple covered functions that
would make the entity any combination of a health plan, a covered health
care provider, and a health care clearinghouse, must comply with the
standards, requirements, and implementation specifications of this
subpart, as applicable to the health plan, health care provider, or
health care clearinghouse covered functions performed.
\(2\) A covered entity that performs multiple covered functions may use
or disclose the protected health information of individuals who receive
the covered entity's health plan or health care provider services, but
not both, only for purposes related to the appropriate function being
performed.
[§ 164.506 Consent for uses or disclosures to carry out treatment,
payment, or health care operations.]{.underline}
\(a\) [Standard: consent requirement.]{.underline} (1) Except as
provided in paragraph (a)(2) or (a)(3) of this section, a covered health
care provider must obtain the individual's consent, in accordance with
this section, prior to using or disclosing protected health information
to carry out treatment, payment, or health care operations.
\(2\) A covered health care provider may, without consent, use or
disclose protected health information to carry out treatment, payment,
or health care operations, if:
\(i\) The covered health care provider has an indirect treatment
relationship with the individual; or
\(ii\) The covered health care provider created or received the
protected health information in the course of providing health care to
an individual who is an inmate.
(3)(i) A covered health care provider may, without prior consent, use or
disclose protected health information created or received under
paragraph (a)(3)(i)(A)-(C) of this section to carry out treatment,
payment, or health care operations:
\(A\) In emergency treatment situations, if the covered health care
provider attempts to obtain such consent as soon as reasonably
practicable after the delivery of such treatment;
\(B\) If the covered health care provider is required by law to treat
the individual, and the covered health care provider attempts to obtain
such consent but is unable to obtain such consent; or
\(C\) If a covered health care provider attempts to obtain such consent
from the individual but is unable to obtain such consent due to
substantial barriers to communicating with the individual, and the
covered health care provider determines, in the exercise of professional
judgment, that the individual's consent to receive treatment is clearly
inferred from the circumstances.
\(ii\) A covered health care provider that fails to obtain such consent
in accordance with paragraph (a)(3)(i) of this section must document its
attempt to obtain consent and the reason why consent was not obtained.
\(4\) If a covered entity is not required to obtain consent by paragraph
(a)(1) of this section, it may obtain an individual's consent for the
covered entity's own use or disclosure of protected health information
to carry out treatment, payment, or health care operations, provided
that such consent meets the requirements of this section.
\(5\) Except as provided in paragraph (f)(1) of this section, a consent
obtained by a covered entity under this section is not effective to
permit another covered entity to use or disclose protected health
information.
\(b\) [Implementation specifications: general requirements.]{.underline}
(1) A covered health care provider may condition treatment on the
provision by the individual of a consent under this section.
\(2\) A health plan may condition enrollment in the health plan on the
provision by the individual of a consent under this section sought in
conjunction with such enrollment.
\(3\) A consent under this section may not be combined in a single
document with the notice required by § 164.520.
(4)(i) A consent for use or disclosure may be combined with other types
of written legal permission from the individual (e.g., an informed
consent for treatment or a consent to assignment of benefits), if the
consent under this section:
\(A\) Is visually and organizationally separate from such other written
legal permission; and
\(B\) Is separately signed by the individual and dated.
\(ii\) A consent for use or disclosure may be combined with a research
authorization under § 164.508(f).
\(5\) An individual may revoke a consent under this section at any time,
except to the extent that the covered entity has taken action in
reliance thereon. Such revocation must be in writing.
\(6\) A covered entity must document and retain any signed consent under
this section as required by § 164.530(j).
\(c\) [Implementation specifications: content requirements.]{.underline}
A consent under this section must be in plain language and:
\(1\) Inform the individual that protected health information may be
used and disclosed to carry out treatment, payment, or health care
operations;
\(2\) Refer the individual to the notice required by § 164.520 for a
more complete description of such uses and disclosures and state that
the individual has the right to review the notice prior to signing the
consent;
\(3\) If the covered entity has reserved the right to change its privacy
practices that are described in the notice in accordance with §
164.520(b)(1)(v)(C), state that the terms of its notice may change and
describe how the individual may obtain a revised notice;
\(4\) State that:
\(i\) The individual has the right to request that the covered entity
restrict how protected health information is used or disclosed to carry
out treatment, payment, or health care operations;
\(ii\) The covered entity is not required to agree to requested
restrictions; and
\(iii\) If the covered entity agrees to a requested restriction, the
restriction is binding on the covered entity;
\(5\) State that the individual has the right to revoke the consent in
writing, except to the extent that the covered entity has taken action
in reliance thereon; and
\(6\) Be signed by the individual and dated.
\(d\) [Implementation specifications: defective consents.]{.underline}
There is no consent under this section, if the document submitted has
any of the following defects:
\(1\) The consent lacks an element required by paragraph (c) of this
section, as applicable; or
\(2\) The consent has been revoked in accordance with paragraph (b)(5)
of this section.
\(e\) [Standard: resolving conflicting consents and
authorizations.]{.underline} (1) If a covered entity has obtained a
consent under this section and receives any other authorization or
written legal permission from the individual for a disclosure of
protected health information to carry out treatment, payment, or health
care operations, the covered entity may disclose such protected health
information only in accordance with the more restrictive consent,
authorization, or other written legal permission from the individual.
\(2\) A covered entity may attempt to resolve a conflict between a
consent and an authorization or other written legal permission from the
individual described in paragraph (e)(1) of this section by:
\(i\) Obtaining a new consent from the individual under this section for
the disclosure to carry out treatment, payment, or health care
operations; or
\(ii\) Communicating orally or in writing with the individual in order
to determine the individual's preference in resolving the conflict. The
covered entity must document the individual's preference and may only
disclose protected health information in accordance with the
individual's preference.
(f)(1) [Standard: joint consents.]{.underline} Covered entities that
participate in an organized health care arrangement and that have a
joint notice under § 164.520(d) may comply with this section by a joint
consent.
\(2\) [Implementation specifications: requirements for joint
consents.]{.underline} (i) A joint consent must:
\(A\) Include the name or other specific identification of the covered
entities, or classes of covered entities, to which the joint consent
applies; and
\(B\) Meet the requirements of this section, except that the statements
required by this section may be altered to reflect the fact that the
consent covers more than one covered entity.
\(ii\) If an individual revokes a joint consent, the covered entity that
receives the revocation must inform the other entities covered by the
joint consent of the revocation as soon as practicable.
[§164.508 Uses and disclosures for which an authorization is
required.]{.underline}
\(a\) [Standard: authorizations for uses and disclosures.]{.underline}
(1) [Authorization required: general rule.]{.underline} Except as
otherwise permitted or required by this subchapter, a covered entity may
not use or disclose protected health information without an
authorization that is valid under this section. When a covered entity
obtains or receives a valid authorization for its use or disclosure of
protected health information, such use or disclosure must be consistent
with such authorization.
\(2\) [Authorization required: psychotherapy notes.]{.underline}
Notwithstanding any other provision of this subpart, other than
transition provisions provided for in § 164.532, a covered entity must
obtain an authorization for any use or disclosure of psychotherapy
notes, except:
\(i\) To carry out the following treatment, payment, or health care
operations, consistent with consent requirements in § 164.506:
\(A\) Use by originator of the psychotherapy notes for treatment;
\(B\) Use or disclosure by the covered entity in training programs in
which students, trainees, or practitioners in mental health learn under
supervision to practice or improve their skills in group, joint, family,
or individual counseling; or
\(C\) Use or disclosure by the covered entity to defend a legal action
or other proceeding brought by the individual; and
\(ii\) A use or disclosure that is required by § 164.502(a)(2)(ii) or
permitted by § 164.512(a); § 164.512(d) with respect to the oversight of
the originator of the psychotherapy notes; § 164.512(g)(1); or §
164.512(j)(1)(i).
\(b\) [Implementation specifications: general requirements.]{.underline}
(1) [Valid authorizations.]{.underline}
\(i\) A valid authorization is a document that contains the elements
listed in paragraph (c) and, as applicable, paragraph (d), (e), or (f)
of this section.
\(ii\) A valid authorization may contain elements or information in
addition to the elements required by this section, provided that such
additional elements or information are not be inconsistent with the
elements required by this section.
\(2\) [Defective authorizations.]{.underline} An authorization is not
valid, if the document submitted has any of the following defects:
\(i\) The expiration date has passed or the expiration event is known by
the covered entity to have occurred;
\(ii\) The authorization has not been filled out completely, with
respect to an element described by paragraph (c), (d), (e), or (f) of
this section, if applicable;
\(iii\) The authorization is known by the covered entity to have been
revoked;
\(iv\) The authorization lacks an element required by paragraph (c),
(d), (e), or (f) of this section, if applicable;
\(v\) The authorization violates paragraph (b)(3) of this section, if
applicable;
\(vi\) Any material information in the authorization is known by the
covered entity to be false.
\(3\) [Compound authorizations.]{.underline} An authorization for use or
disclosure of protected health information may not be combined with any
other document to create a compound authorization, except as follows:
\(i\) An authorization for the use or disclosure of protected health
information created for research that includes treatment of the
individual may be combined as permitted by § 164.506(b)(4)(ii) or
paragraph (f) of this section;
\(ii\) An authorization for a use or disclosure of psychotherapy notes
may only be combined with another authorization for a use or disclosure
of psychotherapy notes;
\(iii\) An authorization under this section, other than an authorization
for a use or disclosure of psychotherapy notes may be combined with any
other such authorization under this section, except when a covered
entity has conditioned the provision of treatment, payment, enrollment
in the health plan, or eligibility for benefits under paragraph (b)(4)
of this section on the provision of one of the authorizations.
\(4\) [Prohibition on conditioning of authorizations.]{.underline} A
covered entity may not condition the provision to an individual of
treatment, payment, enrollment in the health plan, or eligibility for
benefits on the provision of an authorization, except:
\(i\) A covered health care provider may condition the provision of
research-related treatment on provision of an authorization under
paragraph (f) of this section;
\(ii\) A health plan may condition enrollment in the health plan or
eligibility for benefits on provision of an authorization requested by
the health plan prior to an individual\'s enrollment in the health plan,
if:
\(A\) The authorization sought is for the health plan's eligibility or
enrollment determinations relating to the individual or for its
underwriting or risk rating determinations; and
\(B\) The authorization is not for a use or disclosure of psychotherapy
notes under paragraph (a)(2) of this section;
\(iii\) A health plan may condition payment of a claim for specified
benefits on provision of an authorization under paragraph (e) of this
section, if:
\(A\) The disclosure is necessary to determine payment of such claim;
and
\(B\) The authorization is not for a use or disclosure of psychotherapy
notes under paragraph (a)(2) of this section; and
\(iv\) A covered entity may condition the provision of health care that
is solely for the purpose of creating protected health information for
disclosure to a third party on provision of an authorization for the
disclosure of the protected health information to such third party.
\(5\) [Revocation of authorizations.]{.underline} An individual may
revoke an authorization provided under this section at any time,
provided that the revocation is in writing, except to the extent that:
\(i\) The covered entity has taken action in reliance thereon; or
\(ii\) If the authorization was obtained as a condition of obtaining
insurance coverage, other law provides the insurer with the right to
contest a claim under the policy.
\(6\) [Documentation.]{.underline} A covered entity must document and
retain any signed authorization under this section as required by §
164.530(j).
\(c\) [Implementation specifications: core elements and
requirements.]{.underline} (1) [Core elements.]{.underline} A valid
authorization under this section must contain at least the following
elements:
\(i\) A description of the information to be used or disclosed that
identifies the information in a specific and meaningful fashion;
\(ii\) The name or other specific identification of the person(s), or
class of persons, authorized to make the requested use or disclosure;
\(iii\) The name or other specific identification of the person(s), or
class of persons, to whom the covered entity may make the requested use
or disclosure;
\(iv\) An expiration date or an expiration event that relates to the
individual or the purpose of the use or disclosure;
\(v\) A statement of the individual's right to revoke the authorization
in writing and the exceptions to the right to revoke, together with a
description of how the individual may revoke the authorization;
\(vi\) A statement that information used or disclosed pursuant to the
authorization may be subject to redisclosure by the recipient and no
longer be protected by this rule;
\(vii\) Signature of the individual and date; and
\(viii\) If the authorization is signed by a personal representative of
the individual, a description of such representative's authority to act
for the individual.
\(2\) [Plain language requirement.]{.underline} The authorization must
be written in plain language.
\(d\) [Implementation specifications: authorizations requested by a
covered entity for its own uses and disclosures.]{.underline} If an
authorization is requested by a covered entity for its own use or
disclosure of protected health information that it maintains, the
covered entity must comply with the following requirements.
\(1\) [Required elements.]{.underline} The authorization for the uses or
disclosures described in this paragraph must, in addition to meeting the
requirements of paragraph (c) of this section, contain the following
elements:
\(i\) For any authorization to which the prohibition on conditioning in
paragraph (b)(4) of this section applies, a statement that the covered
entity will not condition treatment, payment, enrollment in the health
plan, or eligibility for benefits on the individual\'s providing
authorization for the requested use or disclosure;
\(ii\) A description of each purpose of the requested use or disclosure;
\(iii\) A statement that the individual may:
\(A\) Inspect or copy the protected health information to be used or
disclosed as provided in § 164.524; and
\(B\) Refuse to sign the authorization; and
\(iv\) If use or disclosure of the requested information will result in
direct or indirect remuneration to the covered entity from a third
party, a statement that such remuneration will result.
\(2\) [Copy to the individual.]{.underline} A covered entity must
provide the individual with a copy of the signed authorization.
\(e\) [Implementation specifications: authorizations requested by a
covered entity for disclosures by others.]{.underline} If an
authorization is requested by a covered entity for another covered
entity to disclose protected health information to the covered entity
requesting the authorization to carry out treatment, payment, or health
care operations, the covered entity requesting the authorization must
comply with the following requirements.
\(1\) [Required elements.]{.underline} The authorization for the
disclosures described in this paragraph must, in addition to meeting the
requirements of paragraph (c) of this section, contain the following
elements:
\(i\) A description of each purpose of the requested disclosure;
\(ii\) Except for an authorization on which payment may be conditioned
under paragraph (b)(4)(iii) of this section, a statement that the
covered entity will not condition treatment, payment, enrollment in the
health plan, or eligibility for benefits on the individual\'s providing
authorization for the requested use or disclosure; and
\(iii\) A statement that the individual may refuse to sign the
authorization.
\(2\) [Copy to the individual.]{.underline} A covered entity must
provide the individual with a copy of the signed authorization.
\(f\) [Implementation specifications: authorizations for uses and
disclosures of protected health information created for research that
includes treatment of the individual.]{.underline} (1) [Required
elements.]{.underline} Except as otherwise permitted by § 164.512(i), a
covered entity that creates protected health information for the
purpose, in whole or in part, of research that includes treatment of
individuals must obtain an authorization for the use or disclosure of
such information. Such authorization must:
\(i\) For uses and disclosures not otherwise permitted or required under
this subpart, meet the requirements of paragraphs (c) and (d) of this
section; and
\(ii\) Contain:
\(A\) A description of the extent to which such protected health
information will be used or disclosed to carry out treatment, payment,
or health care operations;
\(B\) A description of any protected health information that will not be
used or disclosed for purposes permitted in accordance with §§ 164.510
and 164.512, provided that the covered entity may not include a
limitation affecting its right to make a use or disclosure that is
required by law or permitted by § 164.512(j)(1)(i); and
\(C\) If the covered entity has obtained or intends to obtain the
individual's consent under § 164.506, or has provided or intends to
provide the individual with a notice under § 164.520, the authorization
must refer to that consent or notice, as applicable, and state that the
statements made pursuant to this section are binding.
\(2\) [Optional procedure.]{.underline} An authorization under this
paragraph may be in the same document as:
\(i\) A consent to participate in the research;
\(ii\) A consent to use or disclose protected health information to
carry out treatment, payment, or health care operations under § 164.506;
or
\(iii\) A notice of privacy practices under § 164.520.
[§ 164.510 Uses and disclosures requiring an opportunity for the
individual to agree or to object.]{.underline}
A covered entity may use or disclose protected health information
without the written consent or authorization of the individual as
described by §§ 164.506 and 164.508, respectively, provided that the
individual is informed in advance of the use or disclosure and has the
opportunity to agree to or prohibit or restrict the disclosure in
accordance with the applicable requirements of this section. The covered
entity may orally inform the individual of and obtain the individual's
oral agreement or objection to a use or disclosure permitted by this
section.
\(a\) [Standard: use and disclosure for facility
directories.]{.underline}
\(1\) [Permitted uses and disclosure.]{.underline} Except when an
objection is expressed in accordance with paragraphs (a)(2) or (3) of
this section, a covered health care provider may:
\(i\) Use the following protected health information to maintain a
directory of individuals in its facility:
\(A\) The individual's name;
\(B\) The individual's location in the covered health care provider's
facility;
\(C\) The individual's condition described in general terms that does
not communicate specific medical information about the individual; and
\(D\) The individual's religious affiliation; and
\(ii\) Disclose for directory purposes such information:
\(A\) To members of the clergy; or
\(B\) Except for religious affiliation, to other persons who ask for the
individual by name.
\(2\) [Opportunity to object.]{.underline} A covered health care
provider must inform an individual of the protected health information
that it may include in a directory and the persons to whom it may
disclose such information (including disclosures to clergy of
information regarding religious affiliation) and provide the individual
with the opportunity to restrict or prohibit some or all of the uses or
disclosures permitted by paragraph (a)(1) of this section.
\(3\) [Emergency circumstances.]{.underline} (i) If the opportunity to
object to uses or disclosures required by paragraph (a)(2) of this
section cannot practicably be provided because of the individual's
incapacity or an emergency treatment circumstance, a covered health care
provider may use or disclose some or all of the protected health
information permitted by paragraph (a)(1) of this section for the
facility's directory, if such disclosure is:
\(A\) Consistent with a prior expressed preference of the individual, if
any, that is known to the covered health care provider; and
\(B\) In the individual's best interest as determined by the covered
health care provider, in the exercise of professional judgment.
\(ii\) The covered health care provider must inform the individual and
provide an opportunity to object to uses or disclosures for directory
purposes as required by paragraph (a)(2) of this section when it becomes
practicable to do so.
\(b\) [Standard: uses and disclosures for involvement in the
individual's care and notification purposes.]{.underline}
\(1\) [Permitted uses and disclosures.]{.underline} (i) A covered entity
may, in accordance with paragraphs (b)(2) or (3) of this section,
disclose to a family member, other relative, or a close personal friend
of the individual, or any other person identified by the individual, the
protected health information directly relevant to such person's
involvement with the individual's care or payment related to the
individual's health care.
\(ii\) A covered entity may use or disclose protected health information
to notify, or assist in the notification of (including identifying or
locating), a family member, a personal representative of the individual,
or another person responsible for the care of the individual of the
individual's location, general condition, or death. Any such use or
disclosure of protected health information for such notification
purposes must be in accordance with paragraphs (b)(2), (3), or (4) of
this section, as applicable.
\(2\) [Uses and disclosures with the individual present.]{.underline} If
the individual is present for, or otherwise available prior to, a use or
disclosure permitted by paragraph (b)(1) of this section and has the
capacity to make health care decisions, the covered entity may use or
disclose the protected health information if it:
\(i\) Obtains the individual's agreement;
\(ii\) Provides the individual with the opportunity to object to the
disclosure, and the individual does not express an objection; or
\(iii\) Reasonably infers from the circumstances, based the exercise of
professional judgment, that the individual does not object to the
disclosure.
\(3\) [Limited uses and disclosures when the individual is not
present.]{.underline} If the individual is not present for, or the
opportunity to agree or object to the use or disclosure cannot
practicably be provided because of the individual's incapacity or an
emergency circumstance, the covered entity may, in the exercise of
professional judgment, determine whether the disclosure is in the best
interests of the individual and, if so, disclose only the protected
health information that is directly relevant to the person's involvement
with the individual's health care. A covered entity may use professional
judgment and its experience with common practice to make reasonable
inferences of the individual's best interest in allowing a person to act
on behalf of the individual to pick up filled prescriptions, medical
supplies, X-rays, or other similar forms of protected health
information.
\(4\) [Use and disclosures for disaster relief purposes.]{.underline} A
covered entity may use or disclose protected health information to a
public or private entity authorized by law or by its charter to assist
in disaster relief efforts, for the purpose of coordinating with such
entities the uses or disclosures permitted by paragraph (b)(1)(ii) of
this section. The requirements in paragraphs (b)(2) and (3) of this
section apply to such uses and disclosure to the extent that the covered
entity, in the exercise of professional judgment, determines that the
requirements do not interfere with the ability to respond to the
emergency circumstances.
[§ 164.512 Uses and disclosures for which consent, an authorization, or
opportunity to agree or object is not required.]{.underline}
A covered entity may use or disclose protected health information
without the written consent or authorization of the individual as
described in §§ 164.506 and 164.508, respectively, or the opportunity
for the individual to agree or object as described in § 164.510, in the
situations covered by this section, subject to the applicable
requirements of this section. When the covered entity is required by
this section to inform the individual of, or when the individual may
agree to, a use or disclosure permitted by this section, the covered
entity's information and the individual's agreement may be given orally.
\(a\) [Standard: uses and disclosures required by law.]{.underline} (1)
A covered entity may use or disclose protected health information to the
extent that such use or disclosure is required by law and the use or
disclosure complies with and is limited to the relevant requirements of
such law.
\(2\) A covered entity must meet the requirements described in paragraph
(c), (e), or (f) of this section for uses or disclosures required by
law.
\(b\) [Standard: uses and disclosures for public health
activities.]{.underline}
\(1\) [Permitted disclosures.]{.underline} A covered entity may disclose
protected health information for the public health activities and
purposes described in this paragraph to:
\(i\) A public health authority that is authorized by law to collect or
receive such information for the purpose of preventing or controlling
disease, injury, or disability, including, but not limited to, the
reporting of disease, injury, vital events such as birth or death, and
the conduct of public health surveillance, public health investigations,
and public health interventions; or, at the direction of a public health
authority, to an official of a foreign government agency that is acting
in collaboration with a public health authority;
\(ii\) A public health authority or other appropriate government
authority authorized by law to receive reports of child abuse or
neglect;
\(iii\) A person subject to the jurisdiction of the Food and Drug
Administration:
\(A\) To report adverse events (or similar reports with respect to food
or dietary supplements), product defects or problems (including problems
with the use or labeling of a product), or biological product deviations
if the disclosure is made to the person required or directed to report
such information to the Food and Drug Administration;
\(B\) To track products if the disclosure is made to a person required
or directed by the Food and Drug Administration to track the product;
\(C\) To enable product recalls, repairs, or replacement (including
locating and notifying individuals who have received products of product
recalls, withdrawals, or other problems); or
\(D\) To conduct post marketing surveillance to comply with requirements
or at the direction of the Food and Drug Administration;
\(iv\) A person who may have been exposed to a communicable disease or
may otherwise be at risk of contracting or spreading a disease or
condition, if the covered entity or public health authority is
authorized by law to notify such person as necessary in the conduct of a
public health intervention or investigation; or
\(v\) An employer, about an individual who is a member of the workforce
of the employer, if:
\(A\) The covered entity is a covered health care provider who is a
member of the workforce of such employer or who provides a health care
to the individual at the request of the employer:
(*1*) To conduct an evaluation relating to medical surveillance of the
workplace; or
(*2*) To evaluate whether the individual has a work‑related illness or
injury;
\(B\) The protected health information that is disclosed consists of
findings concerning a work‑related illness or injury or a
workplace-related medical surveillance;
\(C\) The employer needs such findings in order to comply with its
obligations, under 29 CFR parts 1904 through 1928, 30 CFR parts 50
through 90, or under state law having a similar purpose, to record such
illness or injury or to carry out responsibilities for workplace medical
surveillance;
\(D\) The covered health care provider provides written notice to the
individual that protected health information relating to the medical
surveillance of the workplace and work‑related illnesses and injuries is
disclosed to the employer:
(*1*) By giving a copy of the notice to the individual at the time the
health care is provided; or
(*2*) If the health care is provided on the work site of the employer,
by posting the notice in a prominent place at the location where the
health care is provided.
\(2\) [Permitted uses.]{.underline} If the covered entity also is a
public health authority, the covered entity is permitted to use
protected health information in all cases in which it is permitted to
disclose such information for public health activities under paragraph
(b)(1) of this section.
\(c\) [Standard: disclosures about victims of abuse, neglect or domestic
violence.]{.underline}
\(1\) [Permitted disclosures.]{.underline} Except for reports of child
abuse or neglect permitted by paragraph (b)(1)(ii) of this section, a
covered entity may disclose protected health information about an
individual whom the covered entity reasonably believes to be a victim of
abuse, neglect, or domestic violence to a government authority,
including a social service or protective services agency, authorized by
law to receive reports of such abuse, neglect, or domestic violence:
\(i\) To the extent the disclosure is required by law and the disclosure
complies with and is limited to the relevant requirements of such law;
\(ii\) If the individual agrees to the disclosure; or
\(iii\) To the extent the disclosure is expressly authorized by statute
or regulation and:
\(A\) The covered entity, in the exercise of professional judgment,
believes the disclosure is necessary to prevent serious harm to the
individual or other potential victims; or
\(B\) If the individual is unable to agree because of incapacity, a law
enforcement or other public official authorized to receive the report
represents that the protected health information for which disclosure is
sought is not intended to be used against the individual and that an
immediate enforcement activity that depends upon the disclosure would be
materially and adversely affected by waiting until the individual is
able to agree to the disclosure.
\(2\) [Informing the individual.]{.underline} A covered entity that
makes a disclosure permitted by paragraph (c)(1) of this section must
promptly inform the individual that such a report has been or will be
made, except if:
\(i\) The covered entity, in the exercise of professional judgment,
believes informing the individual would place the individual at risk of
serious harm; or
\(ii\) The covered entity would be informing a personal representative,
and the covered entity reasonably believes the personal representative
is responsible for the abuse, neglect, or other injury, and that
informing such person would not be in the best interests of the
individual as determined by the covered entity, in the exercise of
professional judgment.
\(d\) [Standard: uses and disclosures for health oversight
activities.]{.underline}
\(1\) [Permitted disclosures.]{.underline} A covered entity may disclose
protected health information to a health oversight agency for oversight
activities authorized by law, including audits; civil, administrative,
or criminal investigations; inspections; licensure or disciplinary
actions; civil, administrative, or criminal proceedings or actions; or
other activities necessary for appropriate oversight of:
\(i\) The health care system;
\(ii\) Government benefit programs for which health information is
relevant to beneficiary eligibility;
\(iii\) Entities subject to government regulatory programs for which
health information is necessary for determining compliance with program
standards; or
\(iv\) Entities subject to civil rights laws for which health
information is necessary for determining compliance.
\(2\) [Exception to health oversight activities.]{.underline} For the
purpose of the disclosures permitted by paragraph (d)(1) of this
section, a health oversight activity does not include an investigation
or other activity in which the individual is the subject of the
investigation or activity and such investigation or other activity does
not arise out of and is not directly related to:
\(i\) The receipt of health care;
\(ii\) A claim for public benefits related to health; or
\(iii\) Qualification for, or receipt of, public benefits or services
when a patient's health is integral to the claim for public benefits or
services.
\(3\) [Joint activities or investigations.]{.underline} Nothwithstanding
paragraph (d)(2) of this section, if a health oversight activity or
investigation is conducted in conjunction with an oversight activity or
investigation relating to a claim for public benefits not related to
health, the joint activity or investigation is considered a health
oversight activity for purposes of paragraph (d) of this section.
\(4\) [Permitted uses.]{.underline} If a covered entity also is a health
oversight agency, the covered entity may use protected health
information for health oversight activities as permitted by paragraph
(d) of this section.
\(e\) [Standard: disclosures for judicial and administrative
proceedings.]{.underline}
\(1\) [Permitted disclosures]{.underline}. A covered entity may disclose
protected health information in the course of any judicial or
administrative proceeding:
\(i\) In response to an order of a court or administrative tribunal,
provided that the covered entity discloses only the protected health
information expressly authorized by such order; or
\(ii\) In response to a subpoena, discovery request, or other lawful
process, that is not accompanied by an order of a court or
administrative tribunal, if:
\(A\) The covered entity receives satisfactory assurance, as described
in paragraph (e)(1)(iii) of this section, from the party seeking the
information that reasonable efforts have been made by such party to
ensure that the individual who is the subject of the protected health
information that has been requested has been given notice of the
request; or
\(B\) The covered entity receives satisfactory assurance, as described
in paragraph (e)(1)(iv) of this section, from the party seeking the
information that reasonable efforts have been made by such party to
secure a qualified protective order that meets the requirements of
paragraph (e)(1)(v) of this section.
\(iii\) For the purposes of paragraph (e)(1)(ii)(A) of this section, a
covered entity receives satisfactory assurances from a party seeking
protecting health information if the covered entity receives from such
party a written statement and accompanying documentation demonstrating
that:
\(A\) The party requesting such information has made a good faith
attempt to provide written notice to the individual (or, if the
individual's location is unknown, to mail a notice to the individual's
last known address);
\(B\) The notice included sufficient information about the litigation or
proceeding in which the protected health information is requested to
permit the individual to raise an objection to the court or
administrative tribunal; and
\(C\) The time for the individual to raise objections to the court or
administrative tribunal has elapsed, and:
(*1*) No objections were filed; or
(*2*) All objections filed by the individual have been resolved by the
court or the administrative tribunal and the disclosures being sought
are consistent with such resolution.
\(iv\) For the purposes of paragraph (e)(1)(ii)(B) of this section, a
covered entity receives satisfactory assurances from a party seeking
protected health information, if the covered entity receives from such
party a written statement and accompanying documentation demonstrating
that:
\(A\) The parties to the dispute giving rise to the request for
information have agreed to a qualified protective order and have
presented it to the court or administrative tribunal with jurisdiction
over the dispute; or
\(B\) The party seeking the protected health information has requested a
qualified protective order from such court or administrative tribunal.
\(v\) For purposes of paragraph (e)(1) of this section, a *qualified
protective order* means, with respect to protected health information
requested under paragraph (e)(1)(ii) of this section, an order of a
court or of an administrative tribunal or a stipulation by the parties
to the litigation or administrative proceeding that:
\(A\) Prohibits the parties from using or disclosing the protected
health information for any purpose other than the litigation or
proceeding for which such information was requested; and
\(B\) Requires the return to the covered entity or destruction of the
protected health information (including all copies made) at the end of
the litigation or proceeding.
\(vi\) Nothwithstanding paragraph (e)(1)(ii) of this section, a covered
entity may disclose protected health information in response to lawful
process described in paragraph (e)(1)(ii) of this section without
receiving satisfactory assurance under paragraph (e)(1)(ii)(A) or (B) of
this section, if the covered entity makes reasonable efforts to provide
notice to the individual sufficient to meet the requirements of
paragraph (e)(1)(iii) of this section or to seek a qualified protective
order sufficient to meet the requirements of paragraph (e)(1)(iv) of
this section.
\(2\) [Other uses and disclosures under this section.]{.underline} The
provisions of this paragraph do not supersede other provisions of this
section that otherwise permit or restrict uses or disclosures of
protected health information.
\(f\) [Standard: disclosures for law enforcement purposes.]{.underline}
A covered entity may disclose protected health information for a law
enforcement purpose to a law enforcement official if the conditions in
paragraphs (f)(1) through (f)(6) of this section are met, as applicable.
\(1\) [Permitted disclosures: pursuant to process and as otherwise
required by law]{.underline}. A covered entity may disclose protected
health information:
\(i\) As required by law including laws that require the reporting of
certain types of wounds or other physical injuries, except for laws
subject to paragraph (b)(1)(ii) or (c)(1)(i) of this section; or
\(ii\) In compliance with and as limited by the relevant requirements
of:
\(A\) A court order or court-ordered warrant, or a subpoena or summons
issued by a judicial officer;
\(B\) A grand jury subpoena; or
\(C\) An administrative request, including an administrative subpoena or
summons, a civil or an authorized investigative demand, or similar
process authorized under law, provided that:
(*1*) The information sought is relevant and material to a legitimate
law enforcement inquiry;
(*2*) The request is specific and limited in scope to the extent
reasonably practicable in light of the purpose for which the information
is sought; and
(*3*) De-identified information could not reasonably be used.
\(2\) [Permitted disclosures: limited information for identification and
location purposes.]{.underline} Except for disclosures required by law
as permitted by paragraph (f)(1) of this section, a covered entity may
disclose protected health information in response to a law enforcement
official's request for such information for the purpose of identifying
or locating a suspect, fugitive, material witness, or missing person,
provided that:
\(i\) The covered entity may disclose only the following information:
\(A\) Name and address;
\(B\) Date and place of birth;
\(C\) Social security number;
\(D\) ABO blood type and rh factor;
\(E\) Type of injury;
\(F\) Date and time of treatment;
\(G\) Date and time of death, if applicable; and
\(H\) A description of distinguishing physical characteristics,
including height, weight, gender, race, hair and eye color, presence or
absence of facial hair (beard or moustache), scars, and tattoos.
\(ii\) Except as permitted by paragraph (f)(2)(i) of this section, the
covered entity may not disclose for the purposes of identification or
location under paragraph (f)(2) of this section any protected health
information related to the individual's DNA or DNA analysis, dental
records, or typing, samples or analysis of body fluids or tissue.
\(3\) [Permitted disclosure: victims of a crime.]{.underline} Except for
disclosures required by law as permitted by paragraph (f)(1) of this
section, a covered entity may disclose protected health information in
response to a law enforcement official's request for such information
about an individual who is or is suspected to be a victim of a crime,
other than disclosures that are subject to paragraph (b) or (c) of this
section, if:
\(ii\) The individual agrees to the disclosure; or
\(iii\) The covered entity is unable to obtain the individual's
agreement because of incapacity or other emergency circumstance,
provided that:
\(A\) The law enforcement official represents that such information is
needed to determine whether a violation of law by a person other than
the victim has occurred, and such information is not intended to be used
against the victim;
\(B\) The law enforcement official represents that immediate law
enforcement activity that depends upon the disclosure would be
materially and adversely affected by waiting until the individual is
able to agree to the disclosure; and
\(C\) The disclosure is in the best interests of the individual as
determined by the covered entity, in the exercise of professional
judgment.
\(4\) [Permitted disclosure: decedents.]{.underline} A covered entity
may disclose protected health information about an individual who has
died to a law enforcement official for the purpose of alerting law
enforcement of the death of the individual if the covered entity has a
suspicion that such death may have resulted from criminal conduct.
\(5\) [Permitted disclosure: crime on premises.]{.underline} A covered
entity may disclose to a law enforcement official protected health
information that the covered entity believes in good faith constitutes
evidence of criminal conduct that occurred on the premises of the
covered entity.
\(6\) [Permitted disclosure: reporting crime in
emergencies.]{.underline} (i) A covered health care provider providing
emergency health care in response to a medical emergency, other than
such emergency on the premises of the covered health care provider, may
disclose protected health information to a law enforcement official if
such disclosure appears necessary to alert law enforcement to:
\(A\) The commission and nature of a crime;
\(B\) The location of such crime or of the victim(s) of such crime; and
\(C\) The identity, description, and location of the perpetrator of such
crime.
\(ii\) If a covered health care provider believes that the medical
emergency described in paragraph (f)(6)(i) of this section is the result
of abuse, neglect, or domestic violence of the individual in need of
emergency health care, paragraph (f)(6)(i) of this section does not
apply and any disclosure to a law enforcement official for law
enforcement purposes is subject to paragraph (c) of this section.
\(g\) [Standard: uses and disclosures about decedents.]{.underline} (1)
[Coroners and medical examiners.]{.underline} A covered entity may
disclose protected health information to a coroner or medical examiner
for the purpose of identifying a deceased person, determining a cause of
death, or other duties as authorized by law. A covered entity that also
performs the duties of a coroner or medical examiner may use protected
health information for the purposes described in this paragraph.
\(2\) [Funeral directors.]{.underline} A covered entity may disclose
protected health information to funeral directors, consistent with
applicable law, as necessary to carry out their duties with respect to
the decedent. If necessary for funeral directors carry out their duties,
the covered entity may disclose the protected health information prior
to, and in reasonable anticipation of, the individual's death.
\(h\) [Standard: uses and disclosures for cadaveric organ, eye or tissue
donation purposes.]{.underline} A covered entity may use or disclose
protected health information to organ procurement organizations or other
entities engaged in the procurement, banking, or transplantation of
cadaveric organs, eyes, or tissue for the purpose of facilitating organ,
eye or tissue donation and transplantation.
\(i\) [Standard: uses and disclosures for research
purposes.]{.underline} (1) [Permitted uses and disclosures.]{.underline}
A covered entity may use or disclose protected health information for
research, regardless of the source of funding of the research, provided
that:
\(i\) [Board approval of a waiver of authorization.]{.underline} The
covered entity obtains documentation that an alteration to or waiver, in
whole or in part, of the individual authorization required by §164.508
for use or disclosure of protected health information has been approved
by either:
\(A\) An Institutional Review Board (IRB), established in accordance
with 7 CFR 1c.107, 10 CFR 745.107, 14 CFR 1230.107, 15 CFR 27.107, 16
CFR 1028.107, 21 CFR 56.107, 22 CFR 225.107, 24 CFR 60.107, 28 CFR
46.107, 32 CFR 219.107, 34 CFR 97.107, 38 CFR 16.107, 40 CFR 26.107, 45
CFR 46.107, 45 CFR 690.107, or 49 CFR 11.107; or
\(B\) A privacy board that:
(*1*) Has members with varying backgrounds and appropriate professional
competency as necessary to review the effect of the research protocol on
the individual's privacy rights and related interests;
(*2*) Includes at least one member who is not affiliated with the
covered entity, not affiliated with any entity conducting or sponsoring
the research, and not related to any person who is affiliated with any
of such entities; and
(*3*) Does not have any member participating in a review of any project
in which the member has a conflict of interest.
\(ii\) [Reviews preparatory to research.]{.underline} The covered entity
obtains from the researcher representations that:
\(A\) Use or disclosure is sought solely to review protected health
information as necessary to prepare a research protocol or for similar
purposes preparatory to research;
\(B\) No protected health information is to be removed from the covered
entity by the researcher in the course of the review; and
\(C\) The protected health information for which use or access is sought
is necessary for the research purposes.
\(iii\) [Research on decedent's information.]{.underline} The covered
entity obtains from the researcher:
\(A\) Representation that the use or disclosure is sought is solely for
research on the protected health information of decedents;
\(B\) Documentation, at the request of the covered entity, of the death
of such individuals; and
\(C\) Representation that the protected health information for which use
or disclosure is sought is necessary for the research purposes.
\(2\) [Documentation of waiver approval.]{.underline} For a use or
disclosure to be permitted based on documentation of approval of an
alteration or waiver, under paragraph (i)(1)(i) of this section, the
documentation must include all of the following:
\(i\) [Identification and date of action.]{.underline} A statement
identifying the IRB or privacy board and the date on which the
alteration or waiver of authorization was approved;
\(ii\) [Waiver criteria.]{.underline} A statement that the IRB or
privacy board has determined that the alteration or waiver, in whole or
in part, of authorization satisfies the following criteria:
\(A\) The use or disclosure of protected health information involves no
more than minimal risk to the individuals;
\(B\) The alteration or waiver will not adversely affect the privacy
rights and the welfare of the individuals;
\(C\) The research could not practicably be conducted without the
alteration or waiver;
\(D\) The research could not practicably be conducted without access to
and use of the protected health information;
\(E\) The privacy risks to individuals whose protected health
information is to be used or disclosed are reasonable in relation to the
anticipated benefits if any to the individuals, and the importance of
the knowledge that may reasonably be expected to result from the
research;
\(F\) There is an adequate plan to protect the identifiers from improper
use and disclosure;
\(G\) There is an adequate plan to destroy the identifiers at the
earliest opportunity consistent with conduct of the research, unless
there is a health or research justification for retaining the
identifiers, or such retention is otherwise required by law; and
\(H\) There are adequate written assurances that the protected health
information will not be reused or disclosed to any other person or
entity, except as required by law, for authorized oversight of the
research project, or for other research for which the use or disclosure
of protected health information would be permitted by this subpart.
\(iii\) [Protected health information needed.]{.underline} A brief
description of the protected health information for which use or access
has been determined to be necessary by the IRB or privacy board has
determined, pursuant to paragraph (i)(2)(ii)(D) of this section;
\(iv\) [Review and approval procedures.]{.underline} A statement that
the alteration or waiver of authorization has been reviewed and approved
under either normal or expedited review procedures, as follows:
\(A\) An IRB must follow the requirements of the Common Rule, including
the normal review procedures (7 CFR 1c.108(b), 10 CFR 745.108(b), 14 CFR
1230.108(b), 15 CFR 27.108(b), 16 CFR 1028.108(b), 21 CFR 56.108(b), 22
CFR 225.108(b), 24 CFR 60.108(b), 28 CFR 46.108(b), 32 CFR 219.108(b),
34 CFR 97.108(b), 38 CFR 16.108(b), 40 CFR 26.108(b), 45 CFR 46.108(b),
45 CFR 690.108(b), or 49 CFR 11.108(b)) or the expedited review
procedures (7 CFR 1c.110, 10 CFR 745.110, 14 CFR 1230.110, 15 CFR
27.110, 16 CFR 1028.110, 21 CFR 56.110, 22 CFR 225.110, 24 CFR 60.110,
28 CFR 46.110, 32 CFR 219.110, 34 CFR 97.110, 38 CFR 16.110, 40 CFR
26.110, 45 CFR 46.110, 45 CFR 690.110, or 49 CFR 11.110);
\(B\) A privacy board must review the proposed research at convened
meetings at which a majority of the privacy board members are present,
including at least one member who satisfies the criterion stated in
paragraph (i)(1)(i)(B)(*2*) of this section, and the alteration or
waiver of authorization must be approved by the majority of the privacy
board members present at the meeting, unless the privacy board elects to
use an expedited review procedure in accordance with paragraph
(i)(2)(iv)(C) of this section;
\(C\) A privacy board may use an expedited review procedure if the
research involves no more than minimal risk to the privacy of the
individuals who are the subject of the protected health information for
which use or disclosure is being sought. If the privacy board elects to
use an expedited review procedure, the review and approval of the
alteration or waiver of authorization may be carried out by the chair of
the privacy board, or by one or more members of the privacy board as
designated by the chair; and
\(v\) [Required signature.]{.underline} The documentation of the
alteration or waiver of authorization must be signed by the chair or
other member, as designated by the chair, of the IRB or the privacy
board, as applicable.
\(j\) [Standard: uses and disclosures to avert a serious threat to
health or safety.]{.underline} (1) [Permitted disclosures.]{.underline}
A covered entity may, consistent with applicable law and standards of
ethical conduct, use or disclose protected health information, if the
covered entity, in good faith, believes the use or disclosure:
(i)(A) Is necessary to prevent or lessen a serious and imminent threat
to the health or safety of a person or the public; and
\(B\) Is to a person or persons reasonably able to prevent or lessen the
threat, including the target of the threat; or
\(ii\) Is necessary for law enforcement authorities to identify or
apprehend an individual:
\(A\) Because of a statement by an individual admitting participation in
a violent crime that the covered entity reasonably believes may have
caused serious physical harm to the victim; or
\(B\) Where it appears from all the circumstances that the individual
has escaped from a correctional institution or from lawful custody, as
those terms are defined in § 164.501.
\(2\) [Use or disclosure not permitted..]{.underline} A use or
disclosure pursuant to paragraph (j)(1)(ii)(A) of this section may not
be made if the information described in paragraph (j)(1)(ii)(A) of this
section is learned by the covered entity:
\(i\) In the course of treatment to affect the propensity to commit the
criminal conduct that is the basis for the disclosure under paragraph
(j)(1)(ii)(A) of this section, or counseling or therapy; or
\(ii\) Through a request by the individual to initiate or to be referred
for the treatment, counseling, or therapy described in paragraph
(j)(2)(i) of this section.
\(3\) [Limit on information that may be disclosed.]{.underline} A
disclosure made pursuant to paragraph (j)(1)(ii)(A) of this section
shall contain only the statement described in paragraph (j)(1)(ii)(A) of
this section and the protected health information described in paragraph
(f)(2)(i) of this section.
\(4\) [Presumption of good faith belief.]{.underline} A covered entity
that uses or discloses protected health information pursuant to
paragraph (j)(1) of this section is presumed to have acted in good faith
with regard to a belief described in paragraph (j)(1)(i) or (ii) of this
section, if the belief is based upon the covered entity's actual
knowledge or in reliance on a credible representation by a person with
apparent knowledge or authority.
\(k\) [Standard: uses and disclosures for specialized government
functions.]{.underline} (1) [Military and veterans
activities.]{.underline} (i) [Armed Forces personnel.]{.underline} A
covered entity may use and disclose the protected health information of
individuals who are Armed Forces personnel for activities deemed
necessary by appropriate military command authorities to assure the
proper execution of the military mission, if the appropriate military
authority has published by notice in the **Federal Register** the
following information:
\(A\) Appropriate military command authorities; and
\(B\) The purposes for which the protected health information may be
used or disclosed.
\(ii\) [Separation or discharge from military service.]{.underline} A
covered entity that is a component of the Departments of Defense or
Transportation may disclose to the Department of Veterans Affairs (DVA)
the protected health information of an individual who is a member of the
Armed Forces upon the separation or discharge of the individual from
military service for the purpose of a determination by DVA of the
individual's eligibility for or entitlement to benefits under laws
administered by the Secretary of Veterans Affairs.
\(iii\) [Veterans.]{.underline} A covered entity that is a component of
the Department of Veterans Affairs may use and disclose protected health
information to components of the Department that determine eligibility
for or entitlement to, or that provide, benefits under the laws
administered by the Secretary of Veterans Affairs.
\(iv\) [Foreign military personnel.]{.underline} A covered entity may
use and disclose the protected health information of individuals who are
foreign military personnel to their appropriate foreign military
authority for the same purposes for which uses and disclosures are
permitted for Armed Forces personnel under the notice published in the
**Federal Register** pursuant to paragraph (k)(1)(i) of this section.
\(2\) [National security and intelligence activities.]{.underline} A
covered entity may disclose protected health information to authorized
federal officials for the conduct of lawful intelligence,
counter-intelligence, and other national security activities authorized
by the National Security Act (50 U.S.C. 401, *et seq.*) and implementing
authority (e.g., Executive Order 12333).
\(3\) [Protective services for the President and others.]{.underline} A
covered entity may disclose protected health information to authorized
federal officials for the provision of protective services to the
President or other persons authorized by 18 U.S.C. 3056, or to foreign
heads of state or other persons authorized by 22 U.S.C. 2709(a)(3), or
to for the conduct of investigations authorized by 18 U.S.C. 871 and
879.
\(4\) [Medical suitability determinations.]{.underline} A covered entity
that is a component of the Department of State may use protected health
information to make medical suitability determinations and may disclose
whether or not the individual was determined to be medically suitable to
the officials in the Department of State who need access to such
information for the following purposes:
\(i\) For the purpose of a required security clearance conducted
pursuant to Executive Orders 10450 and 12698;
\(ii\) As necessary to determine worldwide availability or availability
for mandatory service abroad under sections 101(a)(4) and 504 of the
Foreign Service Act; or
\(iii\) For a family to accompany a Foreign Service member abroad,
consistent with section 101(b)(5) and 904 of the Foreign Service Act.
\(5\) [Correctional institutions and other law enforcement custodial
situations.]{.underline} (i) [Permitted disclosures.]{.underline} A
covered entity may disclose to a correctional institution or a law
enforcement official having lawful custody of an inmate or other
individual protected health information about such inmate or individual,
if the correctional institution or such law enforcement official
represents that such protected health information is necessary for:
\(A\) The provision of health care to such individuals;
\(B\) The health and safety of such individual or other inmates;
\(C\) The health and safety of the officers or employees of or others at
the correctional institution;
\(D\) The health and safety of such individuals and officers or other
persons responsible for the transporting of inmates or their transfer
from one institution, facility, or setting to another;
\(E\) Law enforcement on the premises of the correctional institution;
and
\(F\) The administration and maintenance of the safety, security, and
good order of the correctional institution.
\(ii\) [Permitted uses.]{.underline} A covered entity that is a
correctional institution may use protected health information of
individuals who are inmates for any purpose for which such protected
health information may be disclosed.
\(iii\) [No application after release.]{.underline} For the purposes of
this provision, an individual is no longer an inmate when released on
parole, probation, supervised release, or otherwise is no longer in
lawful custody.
\(6\) [Covered entities that are government programs providing public
benefits.]{.underline} (i) A health plan that is a government program
providing public benefits may disclose protected health information
relating to eligibility for or enrollment in the health plan to another
agency administering a government program providing public benefits if
the sharing of eligibility or enrollment information among such
government agencies or the maintenance of such information in a single
or combined data system accessible to all such government agencies is
required or expressly authorized by statute or regulation.
\(ii\) A covered entity that is a government agency administering a
government program providing public benefits may disclose protected
health information relating to the program to another covered entity
that is a government agency administering a government program providing
public benefits if the programs serve the same or similar populations
and the disclosure of protected health information is necessary to
coordinate the covered functions of such programs or to improve
administration and management relating to the covered functions of such
programs.
\(l\) [Standard: disclosures for workers' compensation.]{.underline} A
covered entity may disclose protected health information as authorized
by and to the extent necessary to comply with laws relating to workers'
compensation or other similar programs, established by law, that provide
benefits for work-related injuries or illness without regard to fault.
[§ 164.514 Other requirements relating to uses and disclosures of
protected health information.]{.underline}
\(a\) [Standard: de-identification of protected health
information.]{.underline} Health information that does not identify an
individual and with respect to which there is no reasonable basis to
believe that the information can be used to identify an individual is
not individually identifiable health information.
\(b\) [Implementation specifications: requirements for de-identification
of protected health information.]{.underline} A covered entity may
determine that health information is not individually identifiable
health information only if:
\(1\) A person with appropriate knowledge of and experience with
generally accepted statistical and scientific principles and methods for
rendering information not individually identifiable:
\(i\) Applying such principles and methods, determines that the risk is
very small that the information could be used, alone or in combination
with other reasonably available information, by an anticipated recipient
to identify an individual who is a subject of the information; and
\(ii\) Documents the methods and results of the analysis that justify
such determination; or
(2)(i) The following identifiers of the individual or of relatives,
employers, or household members of the individual, are removed:
\(A\) Names;
\(B\) All geographic subdivisions smaller than a State, including street
address, city, county, precinct, zip code, and their equivalent
geocodes, except for the initial three digits of a zip code if,
according to the current publicly available data from the Bureau of the
Census:
(*1*) The geographic unit formed by combining all zip codes with the
same three initial digits contains more than 20,000 people; and
(*2*) The initial three digits of a zip code for all such geographic
units containing 20,000 or fewer people is changed to 000.
\(C\) All elements of dates (except year) for dates directly related to
an individual, including birth date, admission date, discharge date,
date of death; and all ages over 89 and all elements of dates (including
year) indicative of such age, except that such ages and elements may be
aggregated into a single category of age 90 or older;
\(D\) Telephone numbers;
\(E\) Fax numbers;
\(F\) Electronic mail addresses;
\(G\) Social security numbers;
\(H\) Medical record numbers;
\(I\) Health plan beneficiary numbers;
\(J\) Account numbers;
\(K\) Certificate/license numbers;
\(L\) Vehicle identifiers and serial numbers, including license plate
numbers;
\(M\) Device identifiers and serial numbers;
\(N\) Web Universal Resource Locators (URLs);
\(O\) Internet Protocol (IP) address numbers;
\(P\) Biometric identifiers, including finger and voice prints;
\(Q\) Full face photographic images and any comparable images; and
\(R\) Any other unique identifying number, characteristic, or code; and
\(ii\) The covered entity does not have actual knowledge that the
information could be used alone or in combination with other information
to identify an individual who is a subject of the information.
\(c\) [Implementation specifications: re-identification.]{.underline} A
covered entity may assign a code or other means of record identification
to allow information de-identified under this section to be
re-identified by the covered entity, provided that:
\(1\) [Derivation.]{.underline} The code or other means of record
identification is not derived from or related to information about the
individual and is not otherwise capable of being translated so as to
identify the individual; and
\(2\) [Security.]{.underline} The covered entity does not use or
disclose the code or other means of record identification for any other
purpose, and does not disclose the mechanism for re-identification.
(d)(1) [Standard: minimum necessary requirements.]{.underline} A covered
entity must reasonably ensure that the standards, requirements, and
implementation specifications of § 164.502(b) and this section relating
to a request for or the use and disclosure of the minimum necessary
protected health information are met.
\(2\) [Implementation specifications: minimum necessary uses of
protected health information.]{.underline} (i) A covered entity must
identify:
\(A\) Those persons or classes of persons, as appropriate, in its
workforce who need access to protected health information to carry out
their duties; and
\(B\) For each such person or class of persons, the category or
categories of protected health information to which access is needed and
any conditions appropriate to such access.
\(ii\) A covered entity must make reasonable efforts to limit the access
of such persons or classes identified in paragraph (d)(2)(i)(A) of this
section to protected health information consistent with paragraph
(d)(2)(i)(B) of this section.
\(3\) [Implementation specification: minimum necessary disclosures of
protected health information.]{.underline} (i) For any type of
disclosure that it makes on a routine and recurring basis, a covered
entity must implement policies and procedures (which may be standard
protocols) that limit the protected health information disclosed to the
amount reasonably necessary to achieve the purpose of the disclosure.
\(ii\) For all other disclosures, a covered entity must:
\(A\) Develop criteria designed to limit the protected health
information disclosed to the information reasonably necessary to
accomplish the purpose for which disclosure is sought; and
\(B\) Review requests for disclosure on an individual basis in
accordance with such criteria.
\(iii\) A covered entity may rely, if such reliance is reasonable under
the circumstances, on a requested disclosure as the minimum necessary
for the stated purpose when:
\(A\) Making disclosures to public officials that are permitted under §
164.512, if the public official represents that the information
requested is the minimum necessary for the stated purpose(s);
\(B\) The information is requested by another covered entity;
\(C\) The information is requested by a professional who is a member of
its workforce or is a business associate of the covered entity for the
purpose of providing professional services to the covered entity, if the
professional represents that the information requested is the minimum
necessary for the stated purpose(s); or
\(D\) Documentation or representations that comply with the applicable
requirements of § 164.512(i) have been provided by a person requesting
the information for research purposes.
\(4\) [Implementation specifications: minimum necessary requests for
protected health information.]{.underline} (i) A covered entity must
limit any request for protected health information to that which is
reasonably necessary to accomplish the purpose for which the request is
made, when requesting such information from other covered entities.
\(ii\) For a request that is made on a routine and recurring basis, a
covered entity must implement policies and procedures (which may be
standard protocols) that limit the protected health information
requested to the amount reasonably necessary to accomplish the purpose
for which the request is made.
\(iii\) For all other requests, a covered entity must review the request
on an individual basis to determine that the protected health
information sought is limited to the information reasonably necessary to
accomplish the purpose for which the request is made.
\(5\) [Implementation specification: other content
requirement.]{.underline} For all uses, disclosures, or requests to
which the requirements in paragraph (d) of this section apply, a covered
entity may not use, discloses or request an entire medical record,
except when the entire medical record is specifically justified as the
amount that is reasonably necessary to accomplish the purpose of the
use, disclosure, or request.
(e)(1) [Standard: uses and disclosures of protected health information
for marketing.]{.underline} A covered entity may not use or disclose
protected health information for marketing without an authorization that
meets the applicable requirements of § 164.508, except as provided for
by paragraph (e)(2) of this section.
\(2\) [Implementation specifications: requirements relating to
marketing.]{.underline} (i) A covered entity is not required to obtain
an authorization under § 164.508 when it uses or discloses protected
health information to make a marketing communication to an individual
that:
\(A\) Occurs in a face-to-face encounter with the individual;
\(B\) Concerns products or services of nominal value; or
\(C\) Concerns the health-related products and services of the covered
entity or of a third party and the communication meets the applicable
conditions in paragraph (e)(3) of this section.
\(ii\) A covered entity may disclose protected health information for
purposes of such communications only to a business associate that
assists the covered entity with such communications.
\(3\) [Implementation specifications: requirements for certain marketing
communications.]{.underline} For a marketing communication to qualify
under paragraph (e)(2)(i) of this section, the following conditions must
be met:
\(i\) The communication must:
\(A\) Identify the covered entity as the party making the communication;
\(B\) If the covered entity has received or will receive direct or
indirect remuneration for making the communication, prominently state
that fact; and
\(C\) Except when the communication is contained in a newsletter or
similar type of general communication device that the covered entity
distributes to a broad cross-section of patients, enrollees, or other
broad groups of individuals, contain instructions describing how the
individual may opt out of receiving future such communications.
\(ii\) If the covered entity uses or discloses protected health
information to target the communication to individuals based on their
health status or condition:
\(A\) The covered entity must make a determination prior to making the
communication that the product or service being marketed may be
beneficial to the health of the type or class of individual targeted;
and
\(B\) The communication must explain why the individual has been
targeted and how the product or service relates to the health of the
individual.
\(iii\) The covered entity must make reasonable efforts to ensure that
individuals who decide to opt out of receiving future marketing
communications, under paragraph (e)(3)(i)(C) of this section, are not
sent such communications.
(f)(1) [Standard: uses and disclosures for fundraising.]{.underline} A
covered entity may use, or disclose to a business associate or to an
institutionally related foundation, the following protected health
information for the purpose of raising funds for its own benefit,
without an authorization meeting the requirements of § 164.508:
\(i\) Demographic information relating to an individual; and
\(ii\) Dates of health care provided to an individual.
\(2\) [Implementation specifications: fundraising
requirements.]{.underline} (i) The covered entity may not use or
disclose protected health information for fundraising purposes as
otherwise permitted by paragraph (f)(1) of this section unless a
statement required by § 164.520(b)(1)(iii)(B) is included in the covered
entity's notice;
\(ii\) The covered entity must include in any fundraising materials it
sends to an individual under this paragraph a description of how the
individual may opt out of receiving any further fundraising
communications.
\(iii\) The covered entity must make reasonable efforts to ensure that
individuals who decide to opt out of receiving future fundraising
communications are not sent such communications.
\(g\) [Standard: uses and disclosures for underwriting and related
purposes.]{.underline} If a health plan receives protected heath
information for the purpose of underwriting, premium rating, or other
activities relating to the creation, renewal, or replacement of a
contract of health insurance or health benefits, and if such health
insurance or health benefits are not placed with the health plan, such
health plan may not use or disclose such protected health information
for any other purpose, except as may be required by law.
(h)(1) [Standard: verification requirements]{.underline}. Prior to any
disclosure permitted by this subpart, a covered entity must:
\(i\) Except with respect to disclosures under § 164.510, verify the
identity of a person requesting protected health information and the
authority of any such person to have access to protected health
information under this subpart, if the identity or any such authority of
such person is not known to the covered entity; and
\(ii\) Obtain any documentation, statements, or representations, whether
oral or written, from the person requesting the protected health
information when such documentation, statement, or representation is a
condition of the disclosure under this subpart.
\(2\) [Implementation specifications: verification]{.underline}. (i)
[Conditions on disclosures]{.underline}. If a disclosure is conditioned
by this subpart on particular documentation, statements, or
representations from the person requesting the protected health
information, a covered entity may rely, if such reliance is reasonable
under the circumstances, on documentation, statements, or
representations that, on their face, meet the applicable requirements.
\(A\) The conditions in § 164.512(f)(1)(ii)(C) may be satisfied by the
administrative subpoena or similar process or by a separate written
statement that, on its face, demonstrates that the applicable
requirements have been met.
\(B\) The documentation required by § 164.512(i)(2) may be satisfied by
one or more written statements, provided that each is appropriately
dated and signed in accordance with § 164.512(i)(2)(i) and (v).
\(ii\) [Identity of public officials]{.underline}. A covered entity may
rely, if such reliance is reasonable under the circumstances, on any of
the following to verify identity when the disclosure of protected health
information is to a public official or a person acting on behalf of the
public official:
\(A\) If the request is made in person, presentation of an agency
identification badge, other official credentials, or other proof of
government status;
\(B\) If the request is in writing, the request is on the appropriate
government letterhead; or
\(C\) If the disclosure is to a person acting on behalf of a public
official, a written statement on appropriate government letterhead that
the person is acting under the government\'s authority or other evidence
or documentation of agency, such as a contract for services, memorandum
of understanding, or purchase order, that establishes that the person is
acting on behalf of the public official.
\(iii\) [Authority of public officials]{.underline}. A covered entity
may rely, if such reliance is reasonable under the circumstances, on any
of the following to verify authority when the disclosure of protected
health information is to a public official or a person acting on behalf
of the public official:
\(A\) A written statement of the legal authority under which the
information is requested, or, if a written statement would be
impracticable, an oral statement of such legal authority;
\(B\) If a request is made pursuant to legal process, warrant, subpoena,
order, or other legal process issued by a grand jury or a judicial or
administrative tribunal is presumed to constitute legal authority.
\(iv\) [Exercise of professional judgment.]{.underline} The verification
requirements of this paragraph are met if the covered entity relies on
the exercise of professional judgment in making a use or disclosure in
accordance with § 164.510 or acts on a good faith belief in making a
disclosure in accordance with § 164.512(j).
[§ 164.520 Notice of privacy practices for protected health
information.]{.underline}
\(a\) [Standard: notice of privacy practices.]{.underline} (1) [Right to
notice.]{.underline} Except as provided by paragraph (a)(2) or (3) of
this section, an individual has a right to adequate notice of the uses
and disclosures of protected health information that may be made by the
covered entity, and of the individual's rights and the covered entity's
legal duties with respect to protected health information.
\(2\) [Exception for group health plans.]{.underline} (i) An individual
enrolled in a group health plan has a right to notice:
\(A\) From the group health plan, if, and to the extent that, such an
individual does not receive health benefits under the group health plan
through an insurance contract with a health insurance issuer or HMO; or
\(B\) From the health insurance issuer or HMO with respect to the group
health plan though which such individuals receive their health benefits
under the group health plan.
\(ii\) A group health plan that provides health benefits solely through
an insurance contract with a health insurance issuer or HMO, and that
creates or receives protected health information in addition to summary
health information as defined in § 164.504(a) or information on whether
the individual is participating in the group health plan, or is enrolled
in or has disenrolled from a health insurance issuer or HMO offered by
the plan, must:
\(A\) Maintain a notice under this section; and
\(B\) Provide such notice upon request to any person. The provisions of
paragraph (c)(1) of this section do not apply to such group health plan.
\(iii\) A group health plan that provides health benefits solely through
an insurance contract with a health insurance issuer or HMO, and does
not create or receive protected health information other than summary
health information as defined in § 164.504(a) or information on whether
an individual is participating in the group health plan, or is enrolled
in or has disenrolled from a health insurance issuer or HMO offered by
the plan, is not required to maintain or provide a notice under this
section.
\(3\) [Exception for inmates.]{.underline} An inmate does not have a
right to notice under this section, and the requirements of this section
do not apply to a correctional institution that is a covered entity.
\(b\) [Implementation specifications: content of notice.]{.underline}
\(1\) [Required elements.]{.underline} The covered entity must provide a
notice that is written in plain language and that contains the elements
required by this paragraph.
\(i\) [Header.]{.underline} The notice must contain the following
statement as a header or otherwise prominently displayed: "THIS NOTICE
DESCRIBES HOW MEDICAL INFORMATION ABOUT YOU MAY BE USED AND DISCLOSED
AND HOW YOU CAN GET ACCESS TO THIS INFORMATION. PLEASE REVIEW IT
CAREFULLY."
\(ii\) [Uses and disclosures.]{.underline} The notice must contain:
\(A\) A description, including at least one example, of the types of
uses and disclosures that the covered entity is permitted by this
subpart to make for each of the following purposes: treatment, payment,
and health care operations.
\(B\) A description of each of the other purposes for which the covered
entity is permitted or required by this subpart to use or disclose
protected health information without the individual's written consent or
authorization.
\(C\) If a use or disclosure for any purpose described in paragraphs
(b)(1)(ii)(A) or (B) of this section is prohibited or materially limited
by other applicable law, the description of such use or disclosure must
reflect the more stringent law as defined in § 160.202.
\(D\) For each purpose described in paragraph (b)(1)(ii)(A) or (B) of
this section, the description must include sufficient detail to place
the individual on notice of the uses and disclosures that are permitted
or required by this subpart and other applicable law.
\(E\) A statement that other uses and disclosures will be made only with
the individual\'s written authorization and that the individual may
revoke such authorization as provided by § 164.508(b)(5).
\(iii\) [Separate statements for certain uses or
disclosures.]{.underline} If the covered entity intends to engage in any
of the following activities, the description required by paragraph
(b)(1)(ii)(A) of this section must include a separate statement, as
applicable, that:
\(A\) The covered entity may contact the individual to provide
appointment reminders or information about treatment alternatives or
other heath-related benefits and services that may be of interest to the
individual;
\(B\) The covered entity may contact the individual to raise funds for
the covered entity; or
\(C\) A group health plan, or a health insurance issuer or HMO with
respect to a group health plan, may disclose protected health
information to the sponsor of the plan.
\(iv\) [Individual rights.]{.underline} The notice must contain a
statement of the individual's rights with respect to protected health
information and a brief description of how the individual may exercise
these rights, as follows:
\(A\) The right to request restrictions on certain uses and disclosures
of protected health information as provided by § 164.522(a), including a
statement that the covered entity is not required to agree to a
requested restriction;
\(B\) The right to receive confidential communications of protected
health information as provided by § 164.522(b), as applicable;
\(C\) The right to inspect and copy protected health information as
provided by § 164.524;
\(D\) The right to amend protected health information as provided by §
164.526;
\(E\) The right to receive an accounting of disclosures of protected
health information as provided by § 164.528; and
\(F\) The right of an individual, including an individual who has agreed
to receive the notice electronically in accordance with paragraph (c)(3)
of this section, to obtain a paper copy of the notice from the covered
entity upon request.
\(v\) [Covered entity's duties.]{.underline} The notice must contain:
\(A\) A statement that the covered entity is required by law to maintain
the privacy of protected health information and to provide individuals
with notice of its legal duties and privacy practices with respect to
protected health information;
\(B\) A statement that the covered entity is required to abide by the
terms of the notice currently in effect; and
\(C\) For the covered entity to apply a change in a privacy practice
that is described in the notice to protected health information that the
covered entity created or received prior to issuing a revised notice, in
accordance with § 164.530(i)(2)(ii), a statement that it reserves the
right to change the terms of its notice and to make the new notice
provisions effective for all protected health information that it
maintains. The statement must also describe how it will provide
individuals with a revised notice.
\(vi\) [Complaints.]{.underline} The notice must contain a statement
that individuals may complain to the covered entity and to the Secretary
if they believe their privacy rights have been violated, a brief
description of how the individual may file a complaint with the covered
entity, and a statement that the individual will not be retaliated
against for filing a complaint.
\(vii\) [Contact.]{.underline} The notice must contain the name, or
title, and telephone number of a person or office to contact for further
information as required by § 164.530(a)(1)(ii).
\(viii\) [Effective date.]{.underline} The notice must contain the date
on which the notice is first in effect, which may not be earlier than
the date on which the notice is printed or otherwise published.
\(2\) [Optional elements.]{.underline} (i) In addition to the
information required by paragraph (b)(1) of this section, if a covered
entity elects to limit the uses or disclosures that it is permitted to
make under this subpart, the covered entity may describe its more
limited uses or disclosures in its notice, provided that the covered
entity may not include in its notice a limitation affecting its right to
make a use or disclosure that is required by law or permitted by §
164.512(j)(1)(i).
\(ii\) For the covered entity to apply a change in its more limited uses
and disclosures to protected health information created or received
prior to issuing a revised notice, in accordance with §
164.530(i)(2)(ii), the notice must include the statements required by
paragraph (b)(1)(v)(C) of this section.
\(3\) [Revisions to the notice.]{.underline} The covered entity must
promptly revise and distribute its notice whenever there is a material
change to the uses or disclosures, the individual's rights, the covered
entity's legal duties, or other privacy practices stated in the notice.
Except when required by law, a material change to any term of the notice
may not be implemented prior to the effective date of the notice in
which such material change is reflected.
\(c\) [Implementation specifications: provision of notice.]{.underline}
A covered entity must make the notice required by this section available
on request to any person and to individuals as specified in paragraphs
(c)(1) through (c)(4) of this section, as applicable.
\(1\) [Specific requirements for health plans]{.underline}. (i) A health
plan must provide notice:
\(A\) No later than the compliance date for the health plan, to
individuals then covered by the plan;
\(B\) Thereafter, at the time of enrollment, to individuals who are new
enrollees; and
\(C\) Within 60 days of a material revision to the notice, to
individuals then
covered by the plan.
\(ii\) No less frequently than once every three years, the health plan
must notify individuals then covered by the plan of the availability of
the notice and how to obtain the notice.
\(iii\) The health plan satisfies the requirements of paragraph (c)(1)
of this section if notice is provided to the named insured of a policy
under which coverage is provided to the named insured and one or more
dependents.
\(iv\) If a health plan has more than one notice, it satisfies the
requirements of paragraph (c)(1) of this section by providing the notice
that is relevant to the individual or other person requesting the
notice.
\(2\) [Specific requirements for certain covered health care
providers.]{.underline} A covered health care provider that has a direct
treatment relationship with an individual must:
\(i\) Provide the notice no later than the date of the first service
delivery, including service delivered electronically, to such individual
after the compliance date for the covered health care provider;
\(ii\) If the covered health care provider maintains a physical service
delivery site:
\(A\) Have the notice available at the service delivery site for
individuals to request to take with them; and
\(B\) Post the notice in a clear and prominent location where it is
reasonable to expect individuals seeking service from the covered health
care provider to be able to read the notice; and
\(iii\) Whenever the notice is revised, make the notice available upon
request on or after the effective date of the revision and promptly
comply with the requirements of paragraph (c)(2)(ii) of this section, if
applicable.
\(3\) [Specific requirements for electronic notice.]{.underline} (i) A
covered entity that maintains a web site that provides information about
the covered entity's customer services or benefits must prominently post
its notice on the web site and make the notice available electronically
through the web site.
\(ii\) A covered entity may provide the notice required by this section
to an individual by e-mail, if the individual agrees to electronic
notice and such agreement has not been withdrawn. If the covered entity
knows that the e-mail transmission has failed, a paper copy of the
notice must be provided to the individual. Provision of electronic
notice by the covered entity will satisfy the provision requirements of
paragraph (c) of this section when timely made in accordance with
paragraph (c)(1) or (2) of this section.
\(iii\) For purposes of paragraph (c)(2)(i) of this section, if the
first service delivery to an individual is delivered electronically, the
covered health care provider must provide electronic notice
automatically and contemporaneously in response to the individual's
first request for service.
\(iv\) The individual who is the recipient of electronic notice retains
the right to obtain a paper copy of the notice from a covered entity
upon request.
\(d\) [Implementation specifications: joint notice by separate covered
entities.]{.underline} Covered entities that participate in organized
health care arrangements may comply with this section by a joint notice,
provided that:
\(1\) The covered entities participating in the organized health care
arrangement agree to abide by the terms of the notice with respect to
protected health information created or received by the covered entity
as part of its participation in the organized health care arrangement;
\(2\) The joint notice meets the implementation specifications in
paragraph (b) of this section, except that the statements required by
this section may be altered to reflect the fact that the notice covers
more than one covered entity; and
\(i\) Describes with reasonable specificity the covered entities, or
class of entities, to which the joint notice applies;
\(ii\) Describes with reasonable specificity the service delivery sites,
or classes of service delivery sites, to which the joint notice applies;
and
\(iii\) If applicable, states that the covered entities participating in
the organized health care arrangement will share protected health
information with each other, as necessary to carry out treatment,
payment, or health care operations relating to the organized health care
arrangement.
\(3\) The covered entities included in the joint notice must provide the
notice to individuals in accordance with the applicable implementation
specifications of paragraph (c) of this section. Provision of the joint
notice to an individual by any one of the covered entities included in
the joint notice will satisfy the provision requirement of paragraph (c)
of this section with respect to all others covered by the joint notice.
\(e\) [Implementation specifications: documentation.]{.underline} A
covered entity must document compliance with the notice requirements by
retaining copies of the notices issued by the covered entity as required
by § 164.530(j).
[§ 164.522 Rights to request privacy protection for protected health
information.]{.underline}
(a)(1) [Standard: right of an individual to request restriction of uses
and disclosures.]{.underline} (i) A covered entity must permit an
individual to request that the covered entity restrict:
\(A\) Uses or disclosures of protected health information about the
individual to carry out treatment, payment, or health care operations;
and
\(B\) Disclosures permitted under § 164.510(b).
\(ii\) A covered entity is not required to agree to a restriction.
\(iii\) A covered entity that agrees to a restriction under paragraph
(a)(1)(i) of this section may not use or disclose protected health
information in violation of such restriction, except that, if the
individual who requested the restriction is in need of emergency
treatment and the restricted protected health information is needed to
provide the emergency treatment, the covered entity may use the
restricted protected health information, or may disclose such
information to a health care provider, to provide such treatment to the
individual.
\(iv\) If restricted protected health information is disclosed to a
health care provider for emergency treatment under paragraph (a)(1)(iii)
of this section, the covered entity must request that such health care
provider not further use or disclose the information.
\(v\) A restriction agreed to by a covered entity under paragraph (a) of
this section, is not effective under this subpart to prevent uses or
disclosures permitted or required under §§ 164.502(a)(2)(i), 164.510(a)
or 164.512.
\(2\) [Implementation specifications: terminating a
restriction.]{.underline} A covered entity may terminate its agreement
to a restriction, if :
\(i\) The individual agrees to or requests the termination in writing;
\(ii\) The individual orally agrees to the termination and the oral
agreement is documented; or
\(iii\) The covered entity informs the individual that it is terminating
its agreement to a restriction, except that such termination is only
effective with respect to protected health information created or
received after it has so informed the individual.
\(3\) [Implementation specification: documentation.]{.underline} A
covered entity that agrees to a restriction must document the
restriction in accordance with § 164.530(j).
(b)(1) [Standard: confidential communications requirements.]{.underline}
(i) A covered health care provider must permit individuals to request
and must accommodate reasonable requests by individuals to receive
communications of protected health information from the covered health
care provider by alternative means or at alternative locations.
\(ii\) A health plan must permit individuals to request and must
accommodate reasonable requests by individuals to receive communications
of protected health information from the health plan by alternative
means or at alternative locations, if the individual clearly states that
the disclosure of all or part of that information could endanger the
individual,
\(2\) [Implementation specifications: conditions on providing
confidential communications.]{.underline}
\(i\) A covered entity may require the individual to make a request for
a confidential communication described in paragraph (b)(1) of this
section in writing.
\(ii\) A covered entity may condition the provision of a reasonable
accommodation on:
\(A\) When appropriate, information as to how payment, if any, will be
handled; and
\(B\) Specification of an alternative address or other method of
contact.
\(iii\) A covered health care provider may not require an explanation
from the individual as to the basis for the request as a condition of
providing communications on a confidential basis.
\(iv\) A health plan may require that a request contain a statement that
disclosure of all or part of the information to which the request
pertains could endanger the individual.
[§ 164.524 Access of individuals to protected health
information.]{.underline}
\(a\) [Standard: access to protected health information.]{.underline}
(1) [Right of access.]{.underline} Except as otherwise provided in
paragraph (a)(2) or (a)(3) of this section, an individual has a right of
access to inspect and obtain a copy of protected health information
about the individual in a designated record set, for as long as the
protected health information is maintained in the designated record set,
except for:
\(i\) Psychotherapy notes;
\(ii\) Information compiled in reasonable anticipation of, or for use
in, a civil, criminal, or administrative action or proceeding; and
\(iii\) Protected health information maintained by a covered entity that
is:
\(A\) Subject to the Clinical Laboratory Improvements Amendments of
1988, 42 U.S.C. 263a, to the extent the provision of access to the
individual would be prohibited by law; or
\(B\) Exempt from the Clinical Laboratory Improvements Amendments of
1988, pursuant to 42 CFR 493.3(a)(2).
\(2\) [Unreviewable grounds for denial.]{.underline} A covered entity
may deny an individual access without providing the individual an
opportunity for review, in the following circumstances.
\(i\) The protected health information is excepted from the right of
access by paragraph (a)(1) of this section.
\(ii\) A covered entity that is a correctional institution or a covered
health care provider acting under the direction of the correctional
institution may deny, in whole or in part, an inmate's request to obtain
a copy of protected health information, if obtaining such copy would
jeopardize the health, safety, security, custody, or rehabilitation of
the individual or of other inmates, or the safety of any officer,
employee, or other person at the correctional institution or responsible
for the transporting of the inmate.
\(iii\) An individual's access to protected health information created
or obtained by a covered health care provider in the course of research
that includes treatment may be temporarily suspended for as long as the
research is in progress, provided that the individual has agreed to the
denial of access when consenting to participate in the research that
includes treatment, and the covered health care provider has informed
the individual that the right of access will be reinstated upon
completion of the research.
\(iv\) An individual's access to protected health information that is
contained in records that are subject to the Privacy Act, 5 U.S.C. §
552a, may be denied, if the denial of access under the Privacy Act would
meet the requirements of that law.
\(v\) An individual's access may be denied if the protected health
information was obtained from someone other than a health care provider
under a promise of confidentiality and the access requested would be
reasonably likely to reveal the source of the information.
\(3\) [Reviewable grounds for denial.]{.underline} A covered entity may
deny an individual access, provided that the individual is given a right
to have such denials reviewed, as required by paragraph (a)(4) of this
section, in the following circumstances:
\(i\) A licensed health care professional has determined, in the
exercise of professional judgment, that the access requested is
reasonably likely to endanger the life or physical safety of the
individual or another person;
\(ii\) The protected health information makes reference to another
person (unless such other person is a health care provider) and a
licensed health care professional has determined, in the exercise of
professional judgment, that the access requested is reasonably likely to
cause substantial harm to such other person; or
\(iii\) The request for access is made by the individual's personal
representative and a licensed health care professional has determined,
in the exercise of professional judgment, that the provision of access
to such personal representative is reasonably likely to cause
substantial harm to the individual or another person.
\(4\) [Review of a denial of access.]{.underline} If access is denied on
a ground permitted under paragraph (a)(3) of this section, the
individual has the right to have the denial reviewed by a licensed
health care professional who is designated by the covered entity to act
as a reviewing official and who did not participate in the original
decision to deny. The covered entity must provide or deny access in
accordance with the determination of the reviewing official under
paragraph (d)(4) of this section.
\(b\) [Implementation specifications: requests for access and timely
action.]{.underline}
\(1\) [Individual's request for access.]{.underline} The covered entity
must permit an individual to request access to inspect or to obtain a
copy of the protected health information about the individual that is
maintained in a designated record set. The covered entity may require
individuals to make requests for access in writing, provided that it
informs individuals of such a requirement.
\(2\) [Timely action by the covered entity.]{.underline} (i) Except as
provided in paragraph (b)(2)(ii) of this section, the covered entity
must act on a request for access no later than 30 days after receipt of
the request as follows.
\(A\) If the covered entity grants the request, in whole or in part, it
must inform the individual of the acceptance of the request and provide
the access requested, in accordance with paragraph (c) of this section.
\(B\) If the covered entity denies the request, in whole or in part, it
must provide the individual with a written denial, in accordance with
paragraph (d) of this section.
\(ii\) If the request for access is for protected health information
that is not maintained or accessible to the covered entity on-site, the
covered entity must take an action required by paragraph (b)(2)(i) of
this section by no later than 60 days from the receipt of such a
request.
\(iii\) If the covered entity is unable to take an action required by
paragraph (b)(2)(i)(A) or (B) of this section within the time required
by paragraph (b)(2)(i) or (ii) of this section, as applicable, the
covered entity may extend the time for such actions by no more than 30
days, provided that:
\(A\) The covered entity, within the time limit set by paragraph
(b)(2)(i) or (ii) of this section, as applicable, provides the
individual with a written statement of the reasons for the delay and the
date by which the covered entity will complete its action on the
request; and
\(B\) The covered entity may have only one such extension of time for
action on a request for access.
\(c\) [Implementation specifications: provision of access.]{.underline}
If the covered entity provides an individual with access, in whole or in
part, to protected health information, the covered entity must comply
with the following requirements.
\(1\) [Providing the access requested.]{.underline} The covered entity
must provide the access requested by individuals, including inspection
or obtaining a copy, or both, of the protected health information about
them in designated record sets. If the same protected health information
that is the subject of a request for access is maintained in more than
one designated record set or at more than one location, the covered
entity need only produce the protected health information once in
response to a request for access.
\(2\) [Form of access requested.]{.underline} (i) The covered entity
must provide the individual with access to the protected health
information in the form or format requested by the individual, if it is
readily producible in such form or format; or, if not, in a readable
hard copy form or such other form or format as agreed to by the covered
entity and the individual.
\(ii\) The covered entity may provide the individual with a summary of
the protected health information requested, in lieu of providing access
to the protected health information or may provide an explanation of the
protected health information to which access has been provided, if:
\(A\) The individual agrees in advance to such a summary or explanation;
and
\(B\) The individual agrees in advance to the fees imposed, if any, by
the covered entity for such summary or explanation.
\(3\) [Time and manner of access.]{.underline} The covered entity must
provide the access as requested by the individual in a timely manner as
required by paragraph (b)(2) of this section, including arranging with
the individual for a convenient time and place to inspect or obtain a
copy of the protected health information, or mailing the copy of the
protected health information at the individual's request. The covered
entity may discuss the scope, format, and other aspects of the request
for access with the individual as necessary to facilitate the timely
provision of access.
\(4\) [Fees.]{.underline} If the individual requests a copy of the
protected health information or agrees to a summary or explanation of
such information, the covered entity may impose a reasonable, cost-based
fee, provided that the fee includes only the cost of:
\(i\) Copying, including the cost of supplies for and labor of copying,
the protected health information requested by the individual;
\(ii\) Postage, when the individual has requested the copy, or the
summary or explanation, be mailed; and
\(iii\) Preparing an explanation or summary of the protected health
information, if agreed to by the individual as required by paragraph
(c)(2)(ii) of this section.
\(d\) [Implementation specifications: denial of access.]{.underline} If
the covered entity denies access, in whole or in part, to protected
health information, the covered entity must comply with the following
requirements.
\(1\) [Making other information accessible.]{.underline} The covered
entity must, to the extent possible, give the individual access to any
other protected health information requested, after excluding the
protected health information as to which the covered entity has a ground
to deny access.
\(2\) [Denial.]{.underline} The covered entity must provide a timely,
written denial to the individual, in accordance with paragraph (b)(2) of
this section. The denial must be in plain language and contain:
\(i\) The basis for the denial;
\(ii\) If applicable, a statement of the individual's review rights
under paragraph (a)(4) of this section, including a description of how
the individual may exercise such review rights; and
\(iii\) A description of how the individual may complain to the covered
entity pursuant to the complaint procedures in § 164.530(d) or to the
Secretary pursuant to the procedures in § 160.306. The description must
include the name, or title, and telephone number of the contact person
or office designated in § 164.530(a)(1)(ii).
\(3\) [Other responsibility.]{.underline} If the covered entity does not
maintain the protected health information that is the subject of the
individual's request for access, and the covered entity knows where the
requested information is maintained, the covered entity must inform the
individual where to direct the request for access.
\(4\) [Review of denial requested.]{.underline} If the individual has
requested a review of a denial under paragraph (a)(4) of this section,
the covered entity must designate a licensed health care professional,
who was not directly involved in the denial to review the decision to
deny access. The covered entity must promptly refer a request for review
to such designated reviewing official. The designated reviewing official
must determine, within a reasonable period of time, whether or not to
deny the access requested based on the standards in paragraph (a)(3) of
this section. The covered entity must promptly provide written notice to
the individual of the determination of the designated reviewing official
and take other action as required by this section to carry out the
designated reviewing official's determination.
\(e\) [Implementation specification: documentation.]{.underline} A
covered entity must document the following and retain the documentation
as required by § 164.530(j):
\(1\) The designated record sets that are subject to access by
individuals; and
\(2\) The titles of the persons or offices responsible for receiving and
processing requests for access by individuals.
[§ 164.526 Amendment of protected health information.]{.underline}
\(a\) [Standard: right to amend.]{.underline}
\(1\) [Right to amend.]{.underline} An individual has the right to have
a covered entity amend protected health information or a record about
the individual in a designated record set for as long as the protected
health information is maintained in the designated record set.
\(2\) [Denial of amendment.]{.underline} A covered entity may deny an
individual's request for amendment, if it determines that the protected
health information or record that is the subject of the request:
\(i\) Was not created by the covered entity, unless the individual
provides a reasonable basis to believe that the originator of protected
health information is no longer available to act on the requested
amendment;
\(ii\) Is not part of the designated record set;
\(iii\) Would not be available for inspection under § 164.524; or
\(iv\) Is accurate and complete.
\(b\) [Implementation specifications: requests for amendment and timely
action.]{.underline}
\(1\) [Individual's request for amendment.]{.underline} The covered
entity must permit an individual to request that the covered entity
amend the protected health information maintained in the designated
record set. The covered entity may require individuals to make requests
for amendment in writing and to provide a reason to support a requested
amendment, provided that it informs individuals in advance of such
requirements.
\(2\) [Timely action by the covered entity.]{.underline} (i) The covered
entity must act on the individual's request for an amendment no later
than 60 days after receipt of such a request, as follows.
\(A\) If the covered entity grants the requested amendment, in whole or
in part, it must take the actions required by paragraphs (c)(1) and (2)
of this section.
\(B\) If the covered entity denies the requested amendment, in whole or
in part, it must provide the individual with a written denial, in
accordance with paragraph (d)(1) of this section.
\(ii\) If the covered entity is unable to act on the amendment within
the time required by paragraph (b)(2)(i) of this section, the covered
entity may extend the time for such action by no more than 30 days,
provided that:
\(A\) The covered entity, within the time limit set by paragraph
(b)(2)(i) of this section, provides the individual with a written
statement of the reasons for the delay and the date by which the covered
entity will complete its action on the request; and
\(B\) The covered entity may have only one such extension of time for
action on a request for an amendment.
\(c\) [Implementation specifications: accepting the
amendment.]{.underline} If the covered entity accepts the requested
amendment, in whole or in part, the covered entity must comply with the
following requirements.
\(1\) [Making the amendment.]{.underline} The covered entity must make
the appropriate amendment to the protected health information or record
that is the subject of the request for amendment by, at a minimum,
identifying the records in the designated record set that are affected
by the amendment and appending or otherwise providing a link to the
location of the amendment.
\(2\) [Informing the individual.]{.underline} In accordance with
paragraph (b) of this section, the covered entity must timely inform the
individual that the amendment is accepted and obtain the individual's
identification of and agreement to have the covered entity notify the
relevant persons with which the amendment needs to be shared in
accordance with paragraph (c)(3) of this section.
\(3\) [Informing others.]{.underline} The covered entity must make
reasonable efforts to inform and provide the amendment within a
reasonable time to:
\(i\) Persons identified by the individual as having received protected
health information about the individual and needing the amendment; and
\(ii\) Persons, including business associates, that the covered entity
knows have the protected health information that is the subject of the
amendment and that may have relied, or could foreseeably rely, on such
information to the detriment of the individual.
\(d\) [Implementation specifications: denying the
amendment.]{.underline} If the covered entity denies the requested
amendment, in whole or in part, the covered entity must comply with the
following requirements.
\(1\) [Denial.]{.underline} The covered entity must provide the
individual with a timely, written denial, in accordance with paragraph
(b)(2) of this section. The denial must use plain language and contain:
\(i\) The basis for the denial, in accordance with paragraph (a)(2) of
this section;
\(ii\) The individual's right to submit a written statement disagreeing
with the denial and how the individual may file such a statement;
\(iii\) A statement that, if the individual does not submit a statement
of disagreement, the individual may request that the covered entity
provide the individual's request for amendment and the denial with any
future disclosures of the protected health information that is the
subject of the amendment; and
\(iv\) A description of how the individual may complain to the covered
entity pursuant to the complaint procedures established in § 164.530(d)
or to the Secretary pursuant to the procedures established in § 160.306.
The description must include the name, or title, and telephone number of
the contact person or office designated in §164.530(a)(1)(ii).
\(2\) [Statement of disagreement.]{.underline} The covered entity must
permit the individual to submit to the covered entity a written
statement disagreeing with the denial of all or part of a requested
amendment and the basis of such disagreement. The covered entity may
reasonably limit the length of a statement of disagreement.
\(3\) [Rebuttal statement.]{.underline} The covered entity may prepare a
written rebuttal to the individual's statement of disagreement. Whenever
such a rebuttal is prepared, the covered entity must provide a copy to
the individual who submitted the statement of disagreement.
\(4\) [Recordkeeping.]{.underline} The covered entity must, as
appropriate, identify the record or protected health information in the
designated record set that is the subject of the disputed amendment and
append or otherwise link the individual's request for an amendment, the
covered entity's denial of the request, the individual's statement of
disagreement, if any, and the covered entity's rebuttal, if any, to the
designated record set.
\(5\) [Future disclosures.]{.underline} (i) If a statement of
disagreement has been submitted by the individual, the covered entity
must include the material appended in accordance with paragraph (d)(4)
of this section, or, at the election of the covered entity, an accurate
summary of any such information, with any subsequent disclosure of the
protected health information to which the disagreement relates.
\(ii\) If the individual has not submitted a written statement of
disagreement, the covered entity must include the individual's request
for amendment and its denial, or an accurate summary of such
information, with any subsequent disclosure of the protected health
information only if the individual has requested such action in
accordance with paragraph (d)(1)(iii) of this section.
\(iii\) When a subsequent disclosure described in paragraph (d)(5)(i) or
(ii) of this section is made using a standard transaction under part 162
of this subchapter that does not permit the additional material to be
included with the disclosure, the covered entity may separately transmit
the material required by paragraph (d)(5)(i) or (ii) of this section, as
applicable, to the recipient of the standard transaction.
\(e\) [Implementation specification: actions on notices of
amendment.]{.underline} A covered entity that is informed by another
covered entity of an amendment to an individual's protected health
information, in accordance with paragraph (c)(3) of this section, must
amend the protected health information in designated record sets as
provided by paragraph (c)(1) of this section.
\(f\) [Implementation specification: documentation.]{.underline} A
covered entity must document the titles of the persons or offices
responsible for receiving and processing requests for amendments by
individuals and retain the documentation as required by § 164.530(j).
[§ 164.528 Accounting of disclosures of protected health
information.]{.underline}
\(a\) [Standard: right to an accounting of disclosures of protected
health information.]{.underline}
\(1\) An individual has a right to receive an accounting of disclosures
of protected health information made by a covered entity in the six
years prior to the date on which the accounting is requested, except for
disclosures:
\(i\) To carry out treatment, payment and health care operations as
provided in § 164.502;
\(ii\) To individuals of protected health information about them as
provided in § 164.502;
\(iii\) For the facility's directory or to persons involved in the
individual's care or other notification purposes as provided in §
164.510;
\(iv\) For national security or intelligence purposes as provided in §
164.512(k)(2);
\(v\) To correctional institutions or law enforcement officials as
provided in § 164.512(k)(5); or
\(vi\) That occurred prior to the compliance date for the covered
entity.
(2)(i) The covered entity must temporarily suspend an individual's right
to receive an accounting of disclosures to a health oversight agency or
law enforcement official, as provided in § 164.512(d) or (f),
respectively, for the time specified by such agency or official, if such
agency or official provides the covered entity with a written statement
that such an accounting to the individual would be reasonably likely to
impede the agency\'s activities and specifying the time for which such a
suspension is required.
\(ii\) If the agency or official statement in paragraph (a)(2)(i) of
this section is made orally, the covered entity must:
\(A\) Document the statement, including the identity of the agency or
official making the statement;
\(B\) Temporarily suspend the individual's right to an accounting of
disclosures subject to the statement; and
\(C\) Limit the temporary suspension to no longer than 30 days from the
date of the oral statement, unless a written statement pursuant to
paragraph (a)(2)(i) of this section is submitted during that time.
\(3\) An individual may request an accounting of disclosures for a
period of time less than six years from the date of the request.
\(b\) [Implementation specifications: content of the
accounting.]{.underline} The covered entity must provide the individual
with a written accounting that meets the following requirements.
\(1\) Except as otherwise provided by paragraph (a) of this section, the
accounting must include disclosures of protected health information that
occurred during the six years (or such shorter time period at the
request of the individual as provided in paragraph (a)(3) of this
section) prior to the date of the request for an accounting, including
disclosures to or by business associates of the covered entity.
\(2\) The accounting must include for each disclosure:
\(i\) The date of the disclosure;
\(ii\) The name of the entity or person who received the protected
health information and, if known, the address of such entity or person;
\(iii\) A brief description of the protected health information
disclosed; and
\(iv\) A brief statement of the purpose of the disclosure that
reasonably informs the individual of the basis for the disclosure; or,
in lieu of such statement:
\(A\) A copy of the individual's written authorization pursuant to §
164.508; or
\(B\) A copy of a written request for a disclosure under §§
164.502(a)(2)(ii) or 164.512, if any.
\(3\) If, during the period covered by the accounting, the covered
entity has made multiple disclosures of protected health information to
the same person or entity for a single purpose under §§
164.502(a)(2)(ii) or 164.512, or pursuant to a single authorization
under § 164.508, the accounting may, with respect to such multiple
disclosures, provide:
\(i\) The information required by paragraph (b)(2) of this section for
the first disclosure during the accounting period;
\(ii\) The frequency, periodicity, or number of the disclosures made
during the accounting period; and
\(iii\) The date of the last such disclosure during the accounting
period.
\(c\) [Implementation specifications: provision of the
accounting.]{.underline}
\(1\) The covered entity must act on the individual's request for an
accounting, no later than 60 days after receipt of such a request, as
follows.
\(i\) The covered entity must provide the individual with the accounting
requested; or
\(ii\) If the covered entity is unable to provide the accounting within
the time required by paragraph (c)(1) of this section, the covered
entity may extend the time to provide the accounting by no more than 30
days, provided that:
\(A\) The covered entity, within the time limit set by paragraph (c)(1)
of this section, provides the individual with a written statement of the
reasons for the delay and the date by which the covered entity will
provide the accounting; and
\(B\) The covered entity may have only one such extension of time for
action on a request for an accounting.
\(2\) The covered entity must provide the first accounting to an
individual in any 12 month period without charge. The covered entity may
impose a reasonable, cost-based fee for each subsequent request for an
accounting by the same individual within the 12 month period, provided
that the covered entity informs the individual in advance of the fee and
provides the individual with an opportunity to withdraw or modify the
request for a subsequent accounting in order to avoid or reduce the fee.
\(d\) [Implementation specification: documentation.]{.underline} A
covered entity must document the following and retain the documentation
as required by § 164.530(j):
\(1\) The information required to be included in an accounting under
paragraph (b) of this section for disclosures of protected health
information that are subject to an accounting under paragraph (a) of
this section;
\(2\) The written accounting that is provided to the individual under
this section; and
\(3\) The titles of the persons or offices responsible for receiving and
processing requests for an accounting by individuals.
[§ 164.530 Administrative requirements.]{.underline}
(a)(1) [Standard: personnel designations.]{.underline} (i) A covered
entity must designate a privacy official who is responsible for the
development and implementation of the policies and procedures of the
entity.
\(ii\) A covered entity must designate a contact person or office who is
responsible for receiving complaints under this section and who is able
to provide further information about matters covered by the notice
required by § 164.520.
\(2\) [Implementation specification: personnel
designations.]{.underline} A covered entity must document the personnel
designations in paragraph (a)(1) of this section as required by
paragraph (j) of this section.
(b)(1) [Standard: training.]{.underline} A covered entity must train all
members of its workforce on the policies and procedures with respect to
protected health information required by this subpart, as necessary and
appropriate for the members of the workforce to carry out their function
within the covered entity.
\(2\) [Implementation specifications: training.]{.underline} (i) A
covered entity must provide training that meets the requirements of
paragraph (b)(1) of this section, as follows:
\(A\) To each member of the covered entity\'s workforce by no later than
the compliance date for the covered entity;
\(B\) Thereafter, to each new member of the workforce within a
reasonable period of time after the person joins the covered entity's
workforce; and
\(C\) To each member of the covered entity's workforce whose functions
are affected by a material change in the policies or procedures required
by this subpart, within a reasonable period of time after the material
change becomes effective in accordance with paragraph (i) of this
section.
\(ii\) A covered entity must document that the training as described in
paragraph (b)(2)(i) of this section has been provided, as required by
paragraph (j) of this section.
(c)(1) [Standard: safeguards.]{.underline} A covered entity must have in
place appropriate administrative, technical, and physical safeguards to
protect the privacy of protected health information.
\(2\) [Implementation specification: safeguards.]{.underline} A covered
entity must reasonably safeguard protected health information from any
intentional or unintentional use or disclosure that is in violation of
the standards, implementation specifications or other requirements of
this subpart.
(d)(1) [Standard: complaints to the covered entity.]{.underline} A
covered entity must provide a process for individuals to make complaints
concerning the covered entity\'s policies and procedures required by
this subpart or its compliance with such policies and procedures or the
requirements of this subpart.
\(2\) [Implementation specification: documentation of
complaints.]{.underline} As required by paragraph (j) of this section, a
covered entity must document all complaints received, and their
disposition, if any.
(e)(1) [Standard: sanctions]{.underline}. A covered entity must have and
apply appropriate sanctions against members of its workforce who fail to
comply with the privacy policies and procedures of the covered entity or
the requirements of this subpart. This standard does not apply to a
member of the covered entity's workforce with respect to actions that
are covered by and that meet the conditions of § 164.502(j) or paragraph
(g)(2) of this section.
\(2\) [Implementation specification: documentation.]{.underline} As
required by paragraph (j) of this section, a covered entity must
document the sanctions that are applied, if any.
\(f\) [Standard: mitigation.]{.underline} A covered entity must
mitigate, to the extent practicable, any harmful effect that is known to
the covered entity of a use or disclosure of protected health
information in violation of its policies and procedures or the
requirements of this subpart by the covered entity or its business
associate.
\(g\) [Standard: refraining from intimidating or retaliatory
acts.]{.underline} A covered entity may not intimidate, threaten,
coerce, discriminate against, or take other retaliatory action against:
\(1\) [Individuals.]{.underline} Any individual for the exercise by the
individual of any right under, or for participation by the individual in
any process established by this subpart, including the filing of a
complaint under this section;
\(2\) [Individuals and others.]{.underline} Any individual or other
person for:
\(i\) Filing of a complaint with the Secretary under subpart C of part
160 of this subchapter;
\(ii\) Testifying, assisting, or participating in an investigation,
compliance review, proceeding, or hearing under Part C of Title XI; or
\(iii\) Opposing any act or practice made unlawful by this subpart,
provided the individual or person has a good faith belief that the
practice opposed is unlawful, and the manner of the opposition is
reasonable and does not involve a disclosure of protected health
information in violation of this subpart.
\(h\) [Standard: waiver of rights.]{.underline} A covered entity may not
require individuals to waive their rights under § 160.306 of this
subchapter or this subpart as a condition of the provision of treatment,
payment, enrollment in a health plan, or eligibility for benefits.
(i)(1) [Standard: policies and procedures.]{.underline} A covered entity
must implement policies and procedures with respect to protected health
information that are designed to comply with the standards,
implementation specifications, or other requirements of this subpart.
The policies and procedures must be reasonably designed, taking into
account the size of and the type of activities that relate to protected
health information undertaken by the covered entity, to ensure such
compliance. This standard is not to be construed to permit or excuse an
action that violates any other standard, implementation specification,
or other requirement of this subpart.
\(2\) [Standard: changes to policies or procedures.]{.underline} (i) A
covered entity must change its policies and procedures as necessary and
appropriate to comply with changes in the law, including the standards,
requirements, and implementation specifications of this subpart;
\(ii\) When a covered entity changes a privacy practice that is stated
in the notice described in § 164.520, and makes corresponding changes to
its policies and procedures, it may make the changes effective for
protected health information that it created or received prior to the
effective date of the notice revision, if the covered entity has, in
accordance with § 164.520(b)(1)(v)(C), included in the notice a
statement reserving its right to make such a change in its privacy
practices; or
\(iii\) A covered entity may make any other changes to policies and
procedures at any time, provided that the changes are documented and
implemented in accordance with paragraph (i)(5) of this section.
\(3\) [Implementation specification: changes in law.]{.underline}
Whenever there is a change in law that necessitates a change to the
covered entity's policies or procedures, the covered entity must
promptly document and implement the revised policy or procedure. If the
change in law materially affects the content of the notice required by §
164.520, the covered entity must promptly make the appropriate revisions
to the notice in accordance with § 164.520(b)(3). Nothing in this
paragraph may be used by a covered entity to excuse a failure to comply
with the law.
\(4\) [Implementation specifications: changes to privacy practices
stated in the notice.]{.underline} (i) To implement a change as provided
by paragraph (i)(2)(ii) of this section, a covered entity must:
\(A\) Ensure that the policy or procedure, as revised to reflect a
change in the covered entity's privacy practice as stated in its notice,
complies with the standards, requirements, and implementation
specifications of this subpart;
\(B\) Document the policy or procedure, as revised, as required by
paragraph (j) of this section; and
\(C\) Revise the notice as required by § 164.520(b)(3) to state the
changed practice and make the revised notice available as required by §
164.520(c). The covered entity may not implement a change to a policy or
procedure prior to the effective date of the revised notice.
\(ii\) If a covered entity has not reserved its right under §
164.520(b)(1)(v)(C) to change a privacy practice that is stated in the
notice, the covered entity is bound by the privacy practices as stated
in the notice with respect to protected health information created or
received while such notice is in effect. A covered entity may change a
privacy practice that is stated in the notice, and the related policies
and procedures, without having reserved the right to do so, provided
that:
\(A\) Such change meets the implementation the requirements in
paragraphs (i)(4)(i)(A)-(C) of this section; and
\(B\) Such change is effective only with respect to protected health
information created or received after the effective date of the notice.
\(5\) [Implementation specification: changes to other policies or
procedures.]{.underline} A covered entity may change, at any time, a
policy or procedure that does not materially affect the content of the
notice required by § 164.520, provided that:
\(i\) The policy or procedure, as revised, complies with the standards,
requirements, and implementation specifications of this subpart; and
\(ii\) Prior to the effective date of the change, the policy or
procedure, as revised, is documented as required by paragraph (j) of
this section.
(j)(1) [Standard: documentation.]{.underline} A covered entity must:
\(i\) Maintain the policies and procedures provided for in paragraph (i)
of this section in written or electronic form;
\(ii\) If a communication is required by this subpart to be in writing,
maintain such writing, or an electronic copy, as documentation; and
\(iii\) If an action, activity, or designation is required by this
subpart to be documented, maintain a written or electronic record of
such action, activity, or designation.
\(2\) [Implementation specification: retention period.]{.underline} A
covered entity must retain the documentation required by paragraph
(j)(1) of this section for six years from the date of its creation or
the date when it last was in effect, whichever is later.
\(k\) [Standard: group health plans.]{.underline} (1) A group health
plan is not subject to the standards or implementation specifications in
paragraphs (a) through (f) and (i) of this section, to the extent that:
\(i\) The group health plan provides health benefits solely through an
insurance contract with a health insurance issuer or an HMO; and
\(ii\) The group health plan does not create or receive protected health
information, except for:
\(A\) Summary health information as defined in § 164.504(a); or
\(B\) Information on whether the individual is participating in the
group health plan, or is enrolled in or has disenrolled from a health
insurance issuer or HMO offered by the plan.
\(2\) A group health plan described in paragraph (k)(1) of this section
is subject to the standard and implementation specification in paragraph
(j) of this section only with respect to plan documents amended in
accordance with § 164.504(f).
[§ 164.532 Transition provisions.]{.underline}
\(a\) [Standard: effect of prior consents and
authorizations.]{.underline} Notwithstanding other sections of this
subpart, a covered entity may continue to use or disclose protected
health information pursuant to a consent, authorization, or other
express legal permission obtained from an individual permitting the use
or disclosure of protected health information that does not comply with
§§ 164.506 or 164.508 of this subpart consistent with paragraph (b) of
this section.
\(b\) [Implementation specification: requirements for retaining
effectiveness of prior consents and authorizations.]{.underline}
Notwithstanding other sections of this subpart, the following provisions
apply to use or disclosure by a covered entity of protected health
information pursuant to a consent, authorization, or other express legal
permission obtained from an individual permitting the use or disclosure
of protected health information, if the consent, authorization, or other
express legal permission was obtained from an individual before the
applicable compliance date of this subpart and does not comply with §§
164.506 or 164.508 of this subpart.
\(1\) If the consent, authorization, or other express legal permission
obtained from an individual permits a use or disclosure for purposes of
carrying out treatment, payment, or health care operations, the covered
entity may, with respect to protected health information that it created
or received before the applicable compliance date of this subpart and to
which the consent, authorization, or other express legal permission
obtained from an individual applies, use or disclose such information
for purposes of carrying out treatment, payment, or health care
operations, provided that:
\(i\) The covered entity does may not make any use or disclosure that is
expressly excluded from the a consent, authorization, or other express
legal permission obtained from an individual; and
\(ii\) The covered entity complies with all limitations placed by the
consent, authorization, or other express legal permission obtained from
an individual.
\(2\) If the consent, authorization, or other express legal permission
obtained from an individual specifically permits a use or disclosure for
a purpose other than to carry out treatment, payment, or health care
operations, the covered entity may, with respect to protected health
information that it created or received before the applicable compliance
date of this subpart and to which the consent, authorization, or other
express legal permission obtained from an individual applies, make such
use or disclosure, provided that:
\(i\) The covered entity does not make any use or disclosure that is
expressly excluded from the consent, authorization, or other express
legal permission obtained from an individual; and
\(ii\) The covered entity complies with all limitations placed by the
consent, authorization, or other express legal permission obtained from
an individual.
\(3\) In the case of a consent, authorization, or other express legal
permission obtained from an individual that identifies a specific
research project that includes treatment of individuals:
\(i\) If the consent, authorization, or other express legal permission
obtained from an individual specifically permits a use or disclosure for
purposes of the project, the covered entity may, with respect to
protected health information that it created or received either before
or after the applicable compliance date of this subpart and to which the
consent or authorization applies, make such use or disclosure for
purposes of that project, provided that the covered entity complies with
all limitations placed by the consent, authorization, or other express
legal permission obtained from an individual.
\(ii\) If the consent, authorization, or other express legal permission
obtained from an individual is a general consent to participate in the
project, and a covered entity is conducting or participating in the
research, such covered entity may, with respect to protected health
information that it created or received as part of the project before or
after the applicable compliance date of this subpart, make a use or
disclosure for purposes of that project, provided that the covered
entity complies with all limitations placed by the consent,
authorization, or other express legal permission obtained from an
individual.
\(4\) If, after the applicable compliance date of this subpart, a
covered entity agrees to a restriction requested by an individual under
§ 164.522(a), a subsequent use or disclosure of protected health
information that is subject to the restriction based on a consent,
authorization, or other express legal permission obtained from an
individual as given effect by paragraph (b) of this section, must comply
with such restriction.
[§ 164.534 Compliance dates for initial implementation of the privacy
standards.]{.underline}
\(a\) [Health care providers.]{.underline} A covered health care
provider must comply with the applicable requirements of this subpart no
later than \[OFR - insert date 24 months after the effective date of the
final rule in the **Federal Register**\].
\(b\) [Health plans.]{.underline} A health plan must comply with the
applicable requirements of this subpart no later than the following
date, as applicable:
\(1\) [Health plans other than small health plans --]{.underline}
\[OFR - insert date 24 months after the effective date of the final rule
in the **Federal Register**\].
\(2\) [Small health plans --]{.underline} \[OFR - insert date 36 months
after the effective date of the final rule in the **Federal
Register**\].
\(c\) [Health care clearinghouses.]{.underline} A health care
clearinghouse must comply with the applicable requirements of this
subpart no later than \[OFR - insert date 24 months after the effective
date of the final rule in the **Federal Register**\].
[^1]: The Principles are: (1) Notice; (2) Choice (*i.e.,* consent); (3)
Onward Transfer (*i.e.,* subsequent disclosures); (4) Security; (5)
Data Integrity; (6) Access; and (7) Enforcement. Department of
Commerce, Safe Harbor Principles, July 21, 2000 ("Principles"). They
do not apply to manually processed data.
[^2]: Privacy Protection Study Commission, "Personal Privacy in an
Information Society," July 1977, p. 298-299.
[^3]: Health Privacy Working Group, "Best Principles for Health
Privacy," Health Privacy Project, Institute for Health Care Research
and Policy, Georgetown University, July 1999.
[^4]: National Committee on Quality Assurance and the Joint Commission
on Accreditation of Healthcare Organizations, "Protecting Personal
Health Information: A Framework for Meeting the Challenges in a
Managed Care Environment,"1998, p. 25.
[^5]: ASTM, "Standard Guide for Confidentiality, Privacy, Access and
Data Security, Principles for Health Information Including
Computer-Based Patient Records," E 1869-97, § 11.1.1.
[^6]: Definition of Disease Management, October 1999 (from web site of
Disease Management Association of America
(www.dmaa.org/definition.html) accessed May 21, 2000.
Other references used for our analysis include:
Mary C. Gurnee, et al, Constructing Disease Management Programs,
Managed Care, June 1997, accessed at http://managedcaremag.com,
5/19/2000
Peter Wehrwein, Disease Management Gains a Degree of Respectability,
Managed Care, August 1997, accessed at www.managedcaremag.com,
5/18/00
John M. Harris, Jr., disease management: New Wine in Old Bottles,
124 Annals of Internal Medicine 838 (1996)
Robert S. Epstein and Louis M. Sherwood, From Outcomes research to
disease management: A Guide for the Perplexed, 124 Annals of
Internal Medicine 832 (1996)
Anne Mason et al, disease management, the Pharmaceutical Industry
and the NHS, Office of Health Economics (United Kingdom), accessed
at www.ohe.org, 5/19/2000
Thomas Bodenheimer, Disease Management \-- Promises and Pitfalls,
340 New Eng. J. Med, April 15, 1999, accessed at www.nejm.org,
4/20/99
Bernard Lo and Ann Alpers, Uses and Abuses of Prescription Drug
information in pharmacy benefits Management Programs, 283 JAMA 801
(2000)
Robert F. DeBusk, Correspondence, Disease Management, and Regina E.
Herzlinger, Correspondence, Disease Management, 341 New Eng. J. Med,
Sept 2, 1999, accessed 9/2/99
Letter, John A. Gans, American Pharmaceutical Association, to Health
Care Financing Administration, Reference HCFA-3002-P, April 12,
1999, accessed at www.aphanet.org, 1/18/2000
Ronald M. Davis, et al, Editorial, Advances in Managing Chronic
Disease, 320 BMJ 525 (2000), accessed at www.bmj.com, 2/25/00
Thomas Bodenheimer, Education and Debate, disease management in the
American Market, 320 BMJ 563 (2000), accessed at www.bmj.com,
2/25/2000
David J. Hunter, disease management: has it a future?, 320 BMJ 530
(2000), accessed www.bmj.com 2/25/2000
Trisha Greenhalgh, Commercial partnerships in chronic disease
management: proceeding with caution, 320 BMJ 566 (2000).
Edmund X. DeJesus, disease management in a Warehouse, Healthcare
Informatics, September 1999, accessed at
www.healthcare-informatics.com, 5/19/00
Regulation, 42 CFR 422.112, Medicare+Choice Program, subpart C,
Benefits and Beneficiary Protections, sec. 422.112, Access to
Services
Arnold Chen, Best Practices in Coordinated Care, Submitted by
Mathematica Policy Research, Inc., to Health Care Financing
Administration, March 22, 2000.
[^7]: *Confidentiality in Adolescent Health Care*, a joint policy
statement of the American Academy of Pediatrics; the American
Academy of Family Physicians; the American College of Obstetricians
and Gynecologists; NAACOG-The Organization for Obstetric,
Gynecologic, and Neonatal Nurses; and the National Medical
Association.
[^8]: J. Merz, P. Sankar, S.S. Yoo, "Hospital Consent for Disclosure of
Medical Records," *Journal of Law, Medicine & Ethics*, 26 (1998):
241-248.
[^9]: Privacy Protection Study Commission, "Personal Privacy in an
Information Society," July 1977, p. 306.
[^10]: Privacy Protection Study Commission, "Personal Privacy in an
Information Society," July 1977, pp. 215-217.
[^11]: Health Privacy Working Group, "Best Principles for Health
Privacy," Health Privacy Project, Institute for Health Care Research
and Policy, Georgetown University, July 1999, p. 19.
[^12]: AMA Council on Ethical and Judicial Affairs, "Opinion E-5.05:
Confidentiality," Issued December 1983, Updated June 1994.
[^13]: Privacy Protection Study Commission, "Personal Privacy in an
Information Society," July 1977, p. 196-197.
[^14]: Privacy Protection Study Commission, "Personal Privacy in an
Information Society," July 1977, p. 315
[^15]: ASTM, "Standard Guide for Confidentiality, Privacy, Access and
Data Security, Principles for Health Information Including
Computer-Based Patient Records," E 1869-97, § 12.1.4.
[^16]: Confidentiality and Data Access Committee, Federal Committee on
Statistical Methodology, Office of Management and Budget.
[^17]: Sweeney, L. Guaranteeing Anonymity when Sharing Medical Data, the
Datafly System. Masys, D., Ed. Proceedings, American Medical
Informatics Association, Nashville, TN: Hanley & Belfus, Inc.,
1997:51-55.
[^18]: The U.S. Census Bureau\'s Recommendations Concerning the Census
2000 Public Use Microdata Sample (PUMS) Files
\[http://www.ipums.org/\~census2000/2000pums_bureau.pdf\],
Population Division, U.S. Census Bureau, November 3, 2000.
[^19]: Figures derived from US Census data on 1990 Decennial Census of
Population and Housing, Summary Tape File 3B (STF3B). These data are
available to the public (for a fee) at
http://www.census.gov/mp/www/rom/msrom6af.html.
[^20]: *Statistical Policy Working Paper 22 ‑ Report on Statistical
Disclosure Limitation Methodology*
([http://www.fcsm.gov/working‑papers/wp22.html]{.underline})
(prepared by the Subcommittee on Disclosure Limitation Methodology,
Federal Committee on Statistical Methodology, Office of Management
and Budget).
[^21]: *The Geographic Component of Disclosure Risk for Microdata*.
Brian Greenberg and Laura Voshell. Bureau of the Census Statistical
Research Division Report: Census/SRD/RR-90-13, October, 1990.
[^22]: A Simulation Study of the Identifiability of Survey Respondents
when their Community of Residence is Known. John Horm, National
Center for Health Statistics, 2000.
[^23]: Privacy Protection Study Commission, "Personal Privacy in an
Information Society," July 1977, p. 313.
[^24]: Privacy Protection Study Commission, "Personal Privacy in an
Information Society," July 1977, p. 192.
[^25]: Health Privacy Working Group, "Best Principles for Health
Privacy," Health Privacy Project, Institute for Health Care Research
and Policy, Georgetown University, July 1999, p. 19.
[^26]: National Committee on Quality Assurance, "Surveyor Guidelines for
the Accreditation of MCOs,"effective July1, 2000 - June 30, 2001, p.
324.
[^27]: ASTM, "Standard Guide for Confidentiality, Privacy, Access and
Data Security, Principles for Health Information Including
Computer-Based Patient Records," E 1869-97, § 9.2.
[^28]: Privacy Protection Study Commission, "Personal Privacy in an
Information Society," July 1977, p. 300-303.
[^29]: Health Privacy Working Group, "Best Principles for Health
Privacy," Health Privacy Project, Institute for Health Care Research
and Policy, Georgetown University, July 1999.
[^30]: National Committee on Quality Assurance and the Joint Commission
on Accreditation of Healthcare Organizations, "Protecting Personal
Health Information: A Framework for Meeting the Challenges in a
Managed Care Environment,"1998, p. 25.
[^31]: ASTM, "Standard Guide for Confidentiality, Privacy, Access and
Data Security, Principles for Health Information Including
Computer-Based Patient Records," E 1869-97, § 11.1.1.
[^32]: Privacy Protection Study Commission, "Personal Privacy in an
Information Society," July 1977, p. 306-307.
[^33]: Janlori Goldman, Institute for Health Care Research and Policy,
Georgetown University: \<http://www.healthprivacy.org/resources\>.
[^34]: The proposed privacy rule provided an estimate for a five-year
period. However, the Transactions Rule provided a cost estimate for
a ten year period. The decision was made to provide the final
privacy estimates in a ten year period so that it would be possible
to compare the costs and benefits of the two regulations.
[^35]: This based on a seven percent real discount rate, explained in
OMB Circular A-94, and a projected 4.2 percent inflation rate
projected over the ten-year period covered by this analysis.
[^36]: The regulatory impact analysis in the Transactions Rule showed a
net savings of \$29.9 billion (net present value of \$19.1 billion
in 2002 dollars). The cost estimates included all electronic systems
changes that would be necessitated by the HIPAA administrative
standards (e.g., security, safeguards, and electronic signatures;
eligibility for a health plan; and remittance advice and payment
claim status), except privacy. At the time the Transactions Rule was
developed, the industry provided estimates for the systems changes
in the aggregate. The industry argued that affected parties would
seek to make all electronic changes in one effort because that
approach would be the most cost-efficient. The Department agreed,
and therefore, it "bundled" all the system change cost in the
Transactions Rule estimate. Privacy was not included because at the
time the Department had not made a decision to develop a privacy
rule. As the Department develops other HIPAA administrative
simplification standards, there may be additional costs and savings
due to the non-electronic components of those regulations, and they
will be identified in regulatory impact analyses that accompany
those regulations. The Department anticipates that such costs and
savings will be relatively small compared to the privacy and
Transactions rules. The Department anticipates that the net economic
impact of the rules will be a net savings to the health care system.
[^37]: Health spending projections from *National Health Expenditure
Projections 1998‑2008* (January 2000), Health Care Financing
Administration, Office of the Actuary,
\< [http://hcfa.hhs.gov/stats/nhe‑proj/]{.underline} \>.
[^38]: American Association of Health Plans, [Code of
Conduct]{.underline}; [http://www.aahp.org.;]{.underline} American
Dental Association, [Principles of Ethics and Professional
Conduct]{.underline}; [http://www.ada.org.;]{.underline} American
Hospital Association, "Disclosure of Medical Record Information,"
[Management Advisory: Information Management]{.underline}; 1990,
AHA: Chicago, IL.; American Medical Association, [AMA Policy
Finder - Current Opinions Council on Ethical and Judicial
Affairs]{.underline}; serval documents available through the Policy
Finder at [http://www.ama-assn.org.;]{.underline} American
Psychiatric Association, "APA Outlines Standards Needed to Protect
Patient's Medical Records"; Release No. 99-32, May27: 1999;
[http://www.psych.org.]{.underline}
[^39]: Ibid, Goldman, p. 6.
[^40]: "Practice Briefs," Journal of AHIMA; Harry Rhodes, Joan C.
Larson, Association of Health Information Outsourcing Service;
January 1999.
[^41]: Ibid, Goldman, p.20.
[^42]: Ibid, Goldman, p.21.
[^43]: "Medical records and privacy: empirical effects of legislation; A
memorial to Alice Hersh"; McCarthy, Douglas B; Shatin, Deborah; et
al.. [Health Service Research]{.underline}: April 1, 1999; No. 1,
Vol. 34; p 417. The article details the effects of the Minnesota law
conditioning disclosure of protected health information on patient
authorization.
[^44]: [Source Book of Health Insurance Data: 1997-1998]{.underline},
Health Insurance Association of America, 1998. p. 33.
[^45]: "Health plans," for purposes of the regulatory impact and
regulatory flexibility analyses, include licensed insurance carriers
who sell health products; third party administrators that will have
to comply with the regulation for the benefit of the plan sponsor;
and self-insured health plans that are at least partially
administered by the plan sponsor.
[^46]: Health Care Finance Administration, Office of the Actuary, 2000.
Estimates for the national health care expenditure accounts are only
available through 2008; hence, we are only able to make the
comparison through that year.
[^47]: These estimates were, in part, derived from a report prepared for
the Department by the Gartner Group, consultants in health care
information technology: "Gartner DHHS Privacy Regulation Study," by
Jim Klein and Wes Rishel, submitted to the Office of the Assistant
Secretary for Policy and Evaluation on OCTOBER 20, 2000.
[^48]: "Top Compensation in the Healthcare Industry, 1997\", Coopers &
Lybrand, New York, NY., \<http://www.pohly.com/salary/2.shtml\>.
[^49]: "A Unifif Survey of Compensation in Financial Services: 2000,"
July 2000, Unifi Network
Survey unit, PriceWaterhouseCoopers LLP and Global HR Solutions LLC,
Westport, Ct.,
\<http://public.wsj.com/careers/resources/documents/20000912-insuranceexecs-tab.htm\>.
[^50]: The cost for policies for minimum necessary, because they will be
distinct and extensive, are presented separately, above.
[^51]: "The Altman Weil 1999 Survey of Law Firm Economics,"
\<[http://www.altmanweil.com]{.underline}/publications/
survey/sife99/standard.htm\>.
[^52]: Equifax-Harris Consumer Privacy Survey, 1994
[^53]: [Consumer Privacy Survey]{.underline}, Harris-Equifax, 1994, p vi
[^54]: [Promoting Health: Protecting Privacy]{.underline}, California
Health Care Foundation and Consumers Union, January 1999, p 12
[^55]: [Health Information Privacy Survey]{.underline}, Harris-Equifax,
1993, pp 49-50
[^56]: American Cancer Society.
http://4a2z.com/cgi/rfr.cgi?4CANCER‑2‑http://www.cancer.org/frames.html
[^57]: American Cancer Society.
http://www3.cancer.org/cancerinfo/sitecenter.asp?ctid=8&scp=0&scs=0&scss=0&scdoc=40000
[^58]: Polednak, AP. "Estimating Prevalence of Cancer in the United
States," *Cancer* 1997; 8-:136-41.
[^59]: Martin Brown, "The Burden of Illness of Cancer: Economic Cost and
Quality of Life." *Annual Review of Public Health*, 2001:22:91-113.
[^60]: *Disease-Specific Estimates of Direct and Indirect Costs of
Illness and NIH Support: Fiscal Year 2000 Update*. Department of
Health and Human Services, National Institutes of Health, Office of
the Director, February 2000.
[^61]: DALY scores for 10 cancer sites are presented in Brown, "The
Burden of Illness of Cancer: Economic Cost and Quality of Life,"
figure 1.
[^62]: Breast Cancer Information Service.
http://trfn.clpgh.org/bcis/FAQ/facts2.html
[^63]: Jack S. Mandel, et al., "Reducing Mortality from Colorectal
Cancer by Screening for Fecal Occult Blood," *The New England
Journal of Medicine*, May 13, 1993, Vol. 328, No. 19.
[^64]: [Promoting Health: Protecting Privacy]{.underline}, California
Health Care Foundation and Consumers Union, January 1999, p 13
[^65]: For example, Roger Detels, M.D., et al., in "Effectiveness of
Potent Anti-retroviral Therapy\..." JAMA, 1998;280:1497-1503 note
the impact of therapy on HIV persons with respect to lengthening the
time to development of AIDS, not just delaying death in persons who
already have AIDS.
[^66]: John Hornberger et al, \"Early treatment with highly active
anti-retroviral therapy (HAART) is cost-effective compared to
delayed treatment,\" 12th World AIDS conference, 1998.
[^67]: [Sexually Transmitted Diseases in America]{.underline}, Kaiser
Family Foundation, 1998, p 12
[^68]: Standard Medical information; see http://www.mayohealth.org for
examples.
[^69]: Substance Abuse and Mental Health Services Administration.
[http://www.samhsa.gov/oas/srcbk/costs-02.htm.]{.underline} Source
of data: DP Rice, *Costs of Mental Illness* (unpublished data).
[^70]: Department of Health and Human Services. *Mental Health: A Report
of the Surgeon General*. Rockville, MD: 1999, page 408.
[^71]: According to the Surgeon General's Report, 28 percent of the
adult population have either a mental or addictive disorder,
*whether or not they receive services*: 19 percent have a mental
disorder alone, 6 percent have a substance abuse disorder alone, and
3 percent have both. Subtracting the 3 percent who have both, about
three-quarters of the population with either a mental or addictive
disorder have a mental disorder and one-quarter have a substance
abuse disorder. We assume that this ratio (three-quarter to
one-quarter) is the same for the adult population with either a
mental or addictive disorder *who do not receive services*. Thus, we
assume that 15 percent of the population have an untreated mental
disorder (three-quarters of 20percent) and 5 percent have an
untreated addictive disorder (one-quarter of 20 percent).
[^72]: According to the Population Estimates Program, Population
Division, U.S. Census Bureau, the U.S. population age 20 and older
is 197.1 million on Sept. 1, 2000. This estimate of the adult
population is used throughout this section.
[^73]: The number of adults with mental illness is calculated by
multiplying the U.S. Census Bureau estimate of the U.S. adult
population -- 197.1 million -- by the percent of the adult
population with mental illness -- 22 percent, according to the
Surgeon General's Report on Mental Health, which says that 19
percent of the population have a mental disorder alone and three
percent have a mental and substance abuse disorder.
[^74]: "Entities" and "establishments" are synonymous in this analysis.
[^75]: "Entities" and "establishments" are used synonymously in this
RFA.
[^76]: "Small governments" were not included in this analysis directly;
rather we have included the kinds of institutions within those
governments that are likely to incur costs, such as government
hospitals and clinics.
[^77]: Entities are the physical location where an enterprise conducts
business. An enterprise may conduct business in more than one
establishment.
[^78]: Office of Advocacy, U.S. Small Business Administration, from data
provided by the Bureau of the Census, Statistics of U.S. Businesses,
1997.
[^79]: Op.cit, 1997
[^80]: Office of Advocacy, U.S. Small Business Administration, from data
provided by the Bureau of the Census, Statistics of U.S. Businesses,
1997.
[^81]: Op.cit., 1997
[^82]: Health Care Financing Administration, OSCAR.
|
en
|
converted_docs
|
523240
|
**Theory Group Publication List 11/2005-10/2006**
"Baryon Triality And Neutrino Masses From An Anomalous Flavor U(1)"
By Hitoshi Murayama, Herbi K. Dreiner, Christoph Luhn, Marc Thormeier.
# LBNL-61894
Oct 2006. 52pp., hep-ph/0610026
"A Paradox In The Global Description Of The Multiverse" By Raphael
Bousso, Ben Freivogel,
# LBNL-61893
Oct 2006. 8pp., hep-th/0610132
"Disentangling Dimension Six Operators Through Di-Higgs Boson
Production" By Jesse Thaler (UC, Berkeley & LBL, Berkeley),
Aaron Pierce (Harvard U., Phys. Dept. & Michigan U.), Lian-Tao Wang
(Harvard U., Phys. Dept.) HUTP-06-A0037,
*LBNL-61548*
Sep 2006. 20pp., hep-ph/0609049
"Hunting the Scalar Glueball: Prospects for BES III"
Michael S. Chanowitz (LBL, Berkeley) .
Proceedings International Workshop on Tau-Charm Physics, Beijing, China
5-7 June 2006, Eds: Yi-Fang Wang and Hai-Bo Li
International Journal Mod. Phys. A, 21:5535 (2006)
LBNL-61631, Sep 2006. 10pp.
hep-ph/0609217
"A New Lorentz Violating Nonlocal Field Theory From String-Theory" By
Ori J. Ganor, UCB-PTH-06-19,
# LBNL-61897
Sep 2006. 8pp., hep-th/0609107
"Partial Waves Of Baryon-Antibaryon In Three-Body B Meson Decay"
By Mahiko Suzuki
# LBNL-61605
Sep 2006. 15pp., hep-ph/0609133
"Visible Cascade Higgs Decays To Four Photons At Hadron Colliders" By
Patrick J. Fox (LBL, Berkeley), Spencer Chang (CCPP, New York), Neal
Weiner (CCPP, New York)
*LBNL-61896*
Aug 2006. 6pp.,hep-ph/0608310
"Studies Of The Over-Rotating BMPV Solution" By Lisa Dyson (UC, Berkeley
& LBL, Berkeley). UCB-PTH-06-16,
*LBNL-61474*
Aug 2006. 29pp., hep-th/0608137
"Landscape Prediction For The Higgs Boson And Top Quark Masses" By
Taizan Watari, Brian Feldstein, Lawrence J. Hall, UCB-PTH-06-15,
*LBNL-61940*
Aug 2006. 41pp., hep-ph/0608121
"Supersymmetry Without The Desert" By Yasunori Nomura, David Poland (UC,
Berkeley & LBL, Berkeley), UCB-PTH-06-17,
# LBNL-61484
Aug 2006. 40pp., hep-ph/0608253
"Little M-Theory" By Jesse Thaler (Harvard U., Phys. Dept. & UC,
Berkeley & LBL, Berkeley), Hsin-Chia Cheng (UC, Davis), Lian-Tao Wang
(Harvard U., Phys. Dept.)
# LBNL-61941
Jul 2006. 32pp., HEP 0609:003,2006, hep-ph/0607205
"Supersymmetry Without A Light Higgs Boson" By Lawrence J. Hall,
Yasunori Nomura (UC, Berkeley & LBL, Berkeley) ,Riccardo Barbieri (Pisa,
Scuola Normale Superiore & INFN, Pisa), Vyacheslav S. Rychkov (Pisa,
Scuola Normale Superiore). UCB-PTH-0614,
*LBNL-61281 J Art*
Jul 2006. 27pp., hep-ph/0607332
"Power Corrections In Charmless Nonleptonic B-Decays: Annihilation Is
Factorizable And Real" By Zoltan Ligeti (LBL, Berkeley & MIT, LNS),
Christian M. Arnesen (MIT, LNS) , Ira Z. Rothstein (Carnegie Mellon U.)
, Iain W. Stewart (MIT, LNS) . MIT-CTP-3751,
*LBNL-61942*, CMU-HEP-06-08,
Jul 2006. 31pp., hep-ph/0607001
"Probing Late Neutrino Mass Properties With Supernova Neutrinos" By
Gilad Perez,
J. Baker (Arizona U.), H. Goldberg (Northeastern U.) , I. Sarcevic
(Arizona U.),
# LBNL-61943
Jul 2006. 23pp.: hep-ph/0607281
"Event Generation From Effective Field Theory" By Matthew D. Schwartz,
Christian W. Bauer.,
# LBNL-61439
Jul 2006. 43pp., hep-ph/0607296
"Topological Strings And (Almost) Modular Forms" By Mina Aganagic,
Vincent
Bouchard, Albrecht Klemm ,
## LBNL-61944
Jul 2006. 62pp., hep-th/0607100
"Probing Dark Energy Via Neutrino & Supernova Observatories"By Lawrence
J. Hall, Hitoshi Murayama, Michele Papucci, Gilad Perez (LBL, Berkeley &
UC, Berkeley) . *LBNL-61023*, UCB-PTH-06-13,
Jul 2006. 30pp.,hep-ph/0607109
"Collider Signals Of Top Quark Flavor Violation From A Warped Extra
Dimension" By Gilad Perez, Kaustubh Agashe (Syracuse U.), Amarjit Soni
(Brookhaven),SU-4252-830, BNL-HET-06-4,
# LBNL-61945
Jun 2006. 5pp., hep-ph/06062
"Supersymmetry With Small Mu: Connections Between Naturalness, Dark
Matter, And (Possibly) Flavor" By Yasunori Nomura (UC, Berkeley & LBL,
Ryuichiro Kitano (SLAC), Berkeley), SLAC-PUB-11892, UCB-PTH-06-11,
# LBNL-60363
Jun 2006. 27pp., hep-ph/0606134
"Magic Supergravities, N= 8 And Black Hole Composites" By Eric G. Gimon
(UC, Berkeley & LBL, Berkeley), Sergio Ferrara (CERN & Frascati & UCLA)
, , Renata Kallosh (Stanford U., Phys. Dept.) . CERN-PH-TH-2006-116,
SU-ITP-2006-19,
*LBNL-60487*, UCLA-06-TEP-19,
Jun 2006. 35pp., hep-th/0606211
"Four Dimensional Black Hole Microstates: From D-Branes To Spacetime
Foam"
By Eric G. Gimon (UC, Berkeley & LBL, Berkeley),Vijay Balasubramanian
(Pennsylvania U.) , , Thomas S. Levi (LBL, Berkeley) . UPR-1154-T,
*LBNL-60486*,
Jun 2006. 32pp, hep-th/0606118
"A Holographic Framework For Eternal Inflation" By Ben Freivogel (UC,
Berkeley & LBL, Berkeley), Yasuhiro Sekino (Stanford U., Phys. Dept. &
Okayama Inst. Quantum Phys.), Leonard Susskind, Chen-Pin Yeh (Stanford
U., Phys. Dept.) . SU-ITP-06-18, OIQP-06-07, UCB-PTH-06-12,
*LBNL-60518*,
Jun 2006. 53pp., hep-th/0606204
"Eternal Inflation: The Inside Story" By Raphael Bousso, Ben Freivogel,
I-Sheng Yang, UCB-PTH-06-09,
*LBNL-60250*,
Jun 2006. 36pp., hep-th/0606114
"How Can We Test Seesaw Experimentally?" By Matthew R. Buckley,
Hitoshi Murayama
# LBNL-61946
Jun 2006. 5pp., hep-ph/0606088
"Holographic Grand Unification" By Yasunori Nomura, David Poland, Brock
Tweedie (UC, Berkeley & LBL, Berkeley), UCB-PTH-06-06,
# LBNL-60061
May 2006. 28pp., hep-ph/0605014
"CP Violation And The CKM Matrix" By Zoltan Ligeti (LBL, Berkeley & MIT,
LNS), Andreas Hocker (CERN), CERN-PH-EP-2006-007,
*LBNL-59882*, MIT-CTP-3729, CERN-PH-EP-2006-007,
May 2006. 59pp., Submitted to Ann.Rev.Nucl.Part.Sci. , hep-ph/0605217
"Holographic Probabilities In Eternal Inflation" By Raphael Bousso,
UCB-PTH-06-10, *LBNL-60251*
May 2006. 14pp., hep-th/0605263
"Hadronic B Decays From SCET" By Christian W. Bauer, FPCP-2006-039, Jun
2006. 5pp. Invited talk at 4th Flavor Physics and CP Violation
Conference (FPCP 2006), Vancouver, British Columbia, Canada, 9-12
# LBNL-61440
Apr 2006,C060409:039,2006, hep-ph/0606018
"A Supersymmetric Twin Higgs" By Lawrence J. Hall (UC, Berkeley & LBL,
Berkeley), Spencer Chang (CCPP, New York), Neal Weiner (CCPP, New York),
# LBNL-61956
Apr 2006. 21pp., hep-ph/0604076
"Implications of the measurement of the B0(s) - anti-B0(s) mass
difference"
By Zoltan Ligeti (LBL, Berkeley & MIT, LNS), Michele Papucci (LBL,
Berkeley & UC, Berkeley) , Gilad Perez (LBL, Berkeley) .
*LBNL-59996*, UCB-PTH-06-05, MIT-CTP-3734,
Apr 2006. 5pp., Phys.Rev.Lett.97: 101801,2006, hep-ph/0604112
"A Universe Without Weak Interactions" By Gilad Perez, Roni Harnik (SLAC
& Stanford U., Phys. Dept.), Graham D. Kribs (Oregon U.),
SLAC-PUB-11795,
### LBNL-61955
Apr 2006. 27pp., Phys.Rev.D74:035006,2006, hep-ph/0604027
"Improving Jet Distributions With Effective Field Theory" By Christian
W. Bauer, Matthew D. Schwartz,
*LBNL-59964,*
Apr 2006. 4pp., hep-ph/0604065
"Improved Naturalness With A Heavy Higgs: An Alternative Road To LHC
Physics"
By Lawrence J. Hall (UC, Berkeley & LBL, Berkeley), Riccardo Barbieri
(Pisa, Scuola Normale Superiore & INFN, Pisa), Vyacheslav S. Rychkov
(Pisa, Scuola Normale Superiore & INFN, Pisa) . UCB-PTH-06-04,
# LBNL-59894
Mar 2006. 25pp., Phys.Rev.D74:015007,2006, hep-ph/0603188
"Probabilities In The Landscape: The Decay Of Nearly Flat Space" By
Raphael Bousso, Ben Freivogel, Matthew Lippert,
### LBNL-59843
Mar 2006. 18pp., Phys.Rev.D74:046008,2006, hep-th/0603105
"Polarization Of Lambda And Anti-Lambda In 920-Gev Fixed-Target
Proton-Nucleus Collisions" By Christian W. Bauer, HERA-B Collaboration
(I. Abt et al.), DESY-06-027,
### LBNL-61953
Mar 2006. 11pp., Phys.Lett.B638: 415-421,2006, hep-ex/0603047
"Supersymmetry, Naturalness, And Signatures At The LHC" By Yasunori
Nomura (UC, Berkeley & LBL, Berkeley), Ryuichiro Kitano (SLAC),
SLAC-PUB-11674, UCB-PTH-06-01,
# LBNL-59605
Feb 2006. 57pp., Phys.Rev.D73:095004,2006, hep-ph/0602096
"Summing Planar Bosonic Open Strings" By Korkut Bardakci,
## LBNL-59617
Feb 2006. 26pp., Nucl.Phys.B746: 136-154,2006, hep-th/0602131
"Transversity GPD In Photo- And Electroproduction Of Two Vector Mesons"
By R. Enberg (Ecole Polytechnique, CPHT & LBL, Berkeley), B. Pire (Ecole
Polytechnique, CPHT) , L. Szymanowski (Warsaw, Inst. Nucl. Studies &
Liege U. & Orsay, LPT), CPHT-RR005-0106,
# LBNL-59084
Jan 2006. 15pp., Eur.Phys.J.C47: 87-94,2006, hep-ph/0601138
**"Journal Of Physics G: Nuclear And Particle Physics",Review Of
Particle Physics, By J. David Jackson, Taizan Watari, Particle Data
Group (W.-M. Yao et al.). 2006.**
## **LBNL-**
**J.Phys.G33:1-1232,2006**
"Quantum Chromodynamics And It's Coupling" in Review of Particle
Properties,
By I. Hinchlifte, J. Phys. G33: 110, 2006.
### LBNL-61950
"The CKM Quark Mixing Matrix" in Review of Particle Properties, By Z.
Ligeti,
A. Ceccucci, and Y. Sakai, J. Phys. G33: 138, 2006.
*LBNL-61952*
"Branes, Black Holes And Topological Strings On Toric Calabi-Yau
Manifolds" By Mina Aganagic (UC, Berkeley), Daniel Jafferis, Natalia
Saulina (Harvard U., Phys. Dept.).
HUTP-05-A0050, UCB-PTH-05-42,
#### LBNL-59609 J Art
Dec 2005. 50pp., hep-th/0512245
"Holography And Entropy Bounds In The Plane Wave Matrix Model"
By Raphael Bousso, Aleksey L. Mints (UC, Berkeley & LBL, Berkeley) .
UCB-PTH-05-32,
*LBNL-58947*,
Dec 2005. 20pp. Phys.Rev.D73:126005, 2006, hep-th/0512201
"A Deformation Of Twistor Space And A Chiral Mass Term In N=4 Super
Yang-Mills Theory" By Ori J. Ganor (UC, Berkeley & LBL, Berkeley),
Dah-Wei Chiou, Bom Soo Kim.
*LBNL-54227*, UCB-PTH-05-39,
Dec 2005. 52pp., JHEP 0603:027,200, hep-th/0512242
"Thermodynamics Of Noncritical M-Theory And The Topological A-Model" By
Petr Horava, Cynthia A. Keeler (UC, Berkeley & LBL, Berkeley)
## LBNL-59513
Dec 2005. 35pp., Nucl.Phys.B745:1-28,2006, hep-th/0512325
"Universality And M(X) Cut Effects In B \-\--\> X(S) L+ L-" By Zoltan
Ligeti (LBL, Berkeley & MIT, LNS) , Frank J. Tackmann (LBL, Berkeley),
Keith S.M. Lee (MIT, LNS) , Iain W. Stewart (MIT, LNS) ,. MIT-CTP-3707,
# LBNL-59134
Dec 2005. 4pp. Phys.Rev.D74:011501,2006, hep-ph/0512191
"Search For The Invisible Decay Of Neutrons With Kamland"
By Hitoshi Murayama, KamLAND Collaboration (T. Araki et al.).
#### LBNL-59897
Dec 2005. 5pp. Phys.Rev.Lett.96:101802,2006, hep-ex/0512059
"Asymptotic States Of The Bounce Geometry" By Raphael Bousso, Ben
Freivogel (UC, Berkeley & LBL, Berkeley). UCB-PTH-05-33,
# LBNL-58948
Nov 2005. 20pp. Phys.Rev.D73:083507,2006 hep-th/0511084
"On Quadratic Divergences In Supergravity, Vacuum Energy And The
Supersymmetric Flavor Problem" By Mary K. Gaillard (UC, Berkeley & LBL,
Berkeley), Brent D. Nelson (Pennsylvania U.) .
*LBNL-59069*, UCB-PTH-05-38, UPR-1136-T,
Nov 2005. 41pp., Nucl.Phys.B751:75-107,2006, hep-ph/0511234
"Supersymmetry Parameter Analysis: SPA Convention And Project"
By Ian Hinchliffe, J.A. Aguilar-Saavedra et al. SLAC-PUB-11579,
CERN-PH-TH-2005-232, DESY-05-242, FERMILAB-PUB-05-524-T, KEK-TH-1054,
*LBNL-61048*
Nov 2005. 19pp., Eur.Phys.J.C46:43-60,2006, hep-ph/0511344
"Hard Pomeron In Exclusive Meson Production At ILC" By R. Enberg (Ecole
Polytechnique, CPHT & LBL, Berkeley), B. Pire (Ecole Polytechnique,
CPHT) , L. Szymanowski (Warsaw, Inst. Nucl. Studies & Liege U.), S.
Wallon (Orsay, LPT). LPT-05-77, CPHT-PC-064-1105,
Nov 2005. 4pp. Presented at Photon: Its First Hundred Years and the
Future. Includes PHOTON2005 and PLC2005, Warsaw and Kazimierz, Poland,
30 Aug - 8 Sep 2005.
Acta Phys.Polon.B37:847-852,2006, hep-ph/0511144
#### LBNL-61961 Poster
"On The Treatment Of Threshold Effects In SUSY Spectrum Computations" By
J. Ferrandis (LBL, Berkeley), H. Baer (Florida State U.), S. Kraml
(CERN) , W. Porod (Valencia U., IFIC & Zurich U.) . CERN-PH-TH-2005-217,
FSU-HEP-051107, IFIC-05-57,
*LBNL-59093*, ZU-TH-20-05,
Nov 2005. 15pp. Phys.Rev.D73:015010,2006 hep-ph/0511123
"Naturalness And Higgs Decays In The MSSM With A Singlet"
By Patrick J. Fox (LBL, Berkeley), Spencer Chang (CCPP, New York), Neal
Weiner (CCPP, New York).
#### LBNL-59010
Nov 2005. 35pp. JHEP 0608:068,2006 hep-ph/0511250
Revised 11/15/2006 @ 3:01pm
|
en
|
all-txt-docs
|
349985
|
*Pages 1--3 from Microsoft Word - 39165*
1
Statement of Commissioner Jonathan S. Adelstein Before the Children NOW Digital TV Conference
June 9, 2004 Washington, D. C.
Thank you, Patti.
Think about it. Parents wouldnt let their children wander by themselves through a neighborhood they dont know. But many parents let their kids do just that with their minds
through TV. A third of children under six have a TV in their bedroom. And, as Children NOW reported, by the first grade, most children will have spent the equivalent of three school years in
front of the TV.
Among other dangers, it turns out these neighborhoods are filled with slick storekeepers trying to lure kids in to buy candy, junk food and violent games. Not every street is Sesame
Street. Clearly, some people in the neighborhood dont have your kids best interests in mind.
The FCCs job is to make sure TV has safe places for children and that parents know how to keep their kids out of the dangerous places -- and out of candy stores.
Parents, be warned: the cops on the beat arent on top of the new developments in the neighborhood. The FCC is long overdue in defining the public interest obligations on
broadcasters in the digital age. Just this morning, Congress held another hearing on how to complete the digital transition but we still havent figured out the ground rules for kids!
Most parents naturally question what their kids are watching. There are some great programs on TV, and studies show that true educational TV can help young childrens
development.
So lets make sure that tomorrows digital television has more safe neighborhoods to wander in. Lets insist on more informative, educational, healthy choices for our children.
Broadcasters are the landlords of the television landscape. But the FCC is supposed to protect the public against the natural tendencies of corporations to seek out the bottom- line above
all else. We have two principal ways of doing that. First, we have protections against media concentration, but most of them were gutted last summer. Second, we have public interest
obligations.
Broadcasters bargain with the government is that in exchange for free use of the public airwaves, they are supposed to serve the public interest. They are supposed to be good
neighbors. To this day, many do it remarkably well. Many take pride in their local communities and their stewardship of the airwaves.
But the FCC provides very little assurance that all broadcasters will do so. It has so weakened the specific public interest obligations that broadcasters dont have much left to prove.
1
2
Its time to restore these public interest obligations for the new era of interactive, digital TV.
Digital TV promises to enhance the TV world for everyone, including children. Broadcasters can turn todays single analog channel into 5 or 6 channels. This makes room for
more programs to educate, inform, and inspire our nations children. And, as Senator Brownback said this morning, datacasting can give parents real- time ratings and content
information so they know what their kids are getting and can keep them out of the candy store if they want.
Broadcasters should use this capability to expand the diversity and quality of programming. They should use this opportunity to empower parents.
Interactivity can be both a positive and a negative for our children. We know that advertisers will exploit the opportunities and our childrens vulnerabilities. But it also offers
great potential to further learning and development. Broadcasters should understand the social responsibilities that come with interactivity targeted at children. And we on the FCC need to get
the right protections in place before its too late.
I firmly believe that new horizons in broadcasting should correspond to new horizons in serving the public interest. So we at the FCC must do our part. The FCC must urgently define
the new rules for the digital era, and that includes childrens television.
Six years ago, some broadcasters recognized that to the extent that multicasting expands broadcasting opportunities, the public interest obligations should also expand. It is time the FCC
adopts that basic principle. We cant afford to wait any longer. How many more stations will begin multicasting before they understand the rules of the road? Were spending more time
figuring out the end of the digital television transition when we havent even completed its beginning.
We started a proceeding on childrens obligations nearly four years ago. We need to complete it right away. Many issues involving childrens TV involve the complex relationships
between electronic media and a childs cognitive, social, emotional and physical development. Much more research needs to be done on how interactivity affects the balance. I applaud
Senators Brownback, Lieberman and Clinton for their legislation to do that. Compared to the complexity of those issues, defining public interest obligations should be easy.
Many organizations here today came together through the Childrens Media Policy Coalition to promote two alternative approaches to help meet childrens educational needs. They
said broadcasters should dedicate 3 hours per week on main channels, with additional obligations on other channels, or 3 percent of broadcast time, to educational and informational programming.
The Coalition also suggested important ways to avoid excessive commercialization and to give parents tools to help their children make appropriate viewing choices. The Benton Foundation
found that the vast bulk of Americans agree. So, with that strong support, its hard to understand why is this still lingering at the FCC.
2
3
With some hard work, I'm confident we can provide more safe places for our children to experience on TV.
It's about time we started. We cant let our children venture into an unknown, unprotected digital media environment all because the FCC didnt do its job.
I want to thank Children NOW, as well as the American Academy of Pediatrics and the American Psychological Association, for convening this excellent forum and taking the lead on
this critical issue.
3
|
en
|
markdown
|
215447
|
# Presentation: 215447
## Distributed Processing
**Craig E. Tull**
**HCG/NERSC/LBNL**
**(US) ATLAS Grid Software Workshop**
**BNL - May 7, 2002**
## Distributed Processing
**ATLAS distributed processing, PPDG year 2 program**
**role of MOP, other middleware & third party tools**
**objectives: deliverables to users**
**job description language: status, objectives, options**
**EDG JDL**
## Architecture
**Information & Monitoring**
**Replica Manager**
**Grid Scheduler**
- Replica Optimization
- Replica Catalog Interface
**Grid Application Layer**
**Job Management**
**Local Application**
**Local Database**
**Fabric services**
**Configuration**
**Management**
**Node **
**Installation &**
**Management**
**Monitoring**
**and**
**Fault Tolerance**
**Resource Management**
**Fabric Storage**
**Management**
**Grid**
**Fabric**
**Local Computing**
**Grid**
**Data Management**
**Metadata Management**
**Object to File Mapper**
**Underlying Grid Services**
**Computing Element Services**
**Authorisation, Authentication and Accounting**
**Replica Catalog**
**Storage Element Services**
**SQL Database Service**
**Service Index**
- pink: WP1yellow:WP2
**Architecture**
## Jul’01: PSEUDOCODE FOR ATLAS SHORT TERM UC01
- Logical File Name
- LFN = "lfn://"hostname"/"any_string
- Physical File Name
- PFN = "pfn://"hostname"/"path
- Transfer File Name
- TFN = "gridftp://"PFN_hostname"/path
- JDL
- InputData = {LFN[]}
- OutputSE = host.domain.name
- Worker Node
- LFN[] = WP1.LFNList()
- for (i=0;i<LFN.list;i++){
- PFN[] = ReplicaCatalog.getPhysicalFileNames(LFN[i])
- j = Athena.eventSelectonSrv.determineClosestPF(PFN[])
- localFile = GDMP.makeLocal(PFN[j],OutputSE)
- Athena.eventSelectionSrv.open(localFile)
- }
- PFN[] = getPhysicalFileNames(LFN):
- PFN = getBestPhysicalFileName(PFN[], String[] protocols)
- TFN = getTransportFileName(PFN, String protocol)
- filename = getPosixFileName(TFN)
## Sample Use Case: Simple Grid Job
**Submit and run a simple batch job to process one input file to produce one output file**
**The user specifies his job via a JDL file:**
**Executable=/usr/local/atlas.sh**
**Requirements = TS >= 1GB**
**Input.LFN = lfn://atlas.hep/foo.in**
**argv1 = TFN(Input.LFN)**
**Output.LFN= lfn://atlas.hep/foo.out**
**Output.SE = datastore.rl.ac.uk **
**argv2 = TFN(Output.LFN)**
**and where the submitted “job” is:**
**#!/bin/sh**
**gridcp $1 $HOME/tmp1**
**grep higgs $HOME/tmp1 > $HOME/tmp2**
**gridcp $HOME/tmp2 $2**
## Steps for Simple Job Example
- Grid Scheduler
- Replica Manager
- Compute
- Element
- Storage
- Element
- Compute
- Element
- Storage
- Element
- Replica
- Catalogue
- User
- Select CE and SE
- site A
- site B
## Steps to Execute this Simple Grid Job
**User submits the job to the Grid Scheduler. **
**Grid Scheduler asks the Replica Manager for list of all PFNs for the specified input file. **
**Grid Scheduler determines if it is possible to run the job at a Compute Element that is “local” to one of the PFNs. **
**If not, it locates the best CE for the job, and creates a new replica of the input file on a SE local to that CE. **
**Grid Scheduler then allocates space for the output file, and “pins” the input file so that is not deleted or staged to tape until after the job has completed.**
**Then the job is submitted to the CEs job queue. **
**When the Grid Scheduler is notified that the job has completed, it tells the Replica Manager to create a copy of the output file at the site specified in the Job Descriptions file. **
**Replica Manager then will tag this copy of the output file the “master”, and make the original file a “replica”.**
## WP1: Job Status
**SUBMITTED -- The user has submitted the job to the User Interface.**
**WAITING -- The Resource Broker has received the job.**
**READY -- A Computing Element matching job requirements has been selected.**
**SCHEDULED -- The Computing Element has received the job.**
**RUNNING -- The job is running on a Computing Element.**
**CHKPT -- The job has been suspended and check-pointed on a Computing Element.**
**DONE -- The execution of the job has completed.**
**ABORTED -- The job has been terminated.**
**CLEARED -- The user has retrieved all output files successfully. Bookkeeping information is purged some time after the job enters this state.**
## WP1: Job Submission Service (JSS)
- strictly coupled with a Resource Broker
- deployed for each installed RB
- single interface (non-blocking), used by the RB
- job_submit()
- submit a job to the specified Computing Element, managing also input and output sandboxes
- job_cancel()
- kill a list of jobs, identified by their dg_jobId.
- Logging and Bookkeeping (LB) Service - store & manage logging and bookkeeping information generated by Scheduler & JSS components (Information and Monitoring service
- Bookkeeping: currently active jobs - job definition, expressed in JDL, status, resource consumption, user-defined data(?)
- Logging - status of the Grid Scheduler & related components. These data are kept for a longer term and are used mainly for debugging, auditing and statistical purposes
## WP1: Job Description Language (JDL)
- Condor *classified advertisements* (*ClassAds*) adopted as Job Description Language (JDL)
- Semi-structured data model: no specific schema is required.
- Symmetry: all entities in the Grid, in particular applications and computing resources, should be expressible in the same language.
- Simplicity: the description language should be simple both syntactically and semantically.
- Executable = “simula”;
- Arguments = “1 2 3”;
- StdInput = “simula.config”;
- StdOutput = “simula.out”;
- StdError = “simula.err”;
- InputSandbox = {“/home/joe/simula.config”, “/usr/local/bin/simula”};
- OutputSandbox = {“simula.out”, “simula.err”, “core”};
- InputData = “LF:test367-2”;
- Replica Catalog = “ldap://pcrc.cern.ch:2010/rc=Replica Catalog, dc=pcrc, dc=cern, dc=ch”
- DataAccessProtocol = {“file”, “gridftp”};
- OutputSE = “lxde01.pd.infn.it”;
- Requirements = other.Architecture == “INTEL” && other.OpSys == “LINUX”;
- Rank = other.AverageSI00;
## WP1: Sandbox
**Working area (input & output) replicated on each CE to which Grid job is submitted.**
**Very convenient & natural.**
**My Concerns:**
**Requires network access (with associated privileges) to **_**all**_** CEs on Grid.**
**Could be a huge security issue with local administrators.**
**Not (yet) coordinated with WP2 services.**
**Sandbox contents not customizable to local (CE/SE/PFN) environment.**
**Temptation to Abuse (****not**** for data files)**
## EDG JDL
**job description language: status, objectives, options**
**Status: **
**Working in EDG testbed**
**Objectives:**
**Provide WP1 Scheduler enough information to locate necessary resources (CE, SE, data, software) to execute job.**
**Options:**
|
en
|
all-txt-docs
|
329751
|
IN THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF COLUMBIA
ELOUISE PEPION COBELL, et al., )
)
Plaintiffs, )
)
v. ) Case No. 1:96cv01285(JR)
)
DIRK KEMPTHORNE, Secretary of the Interior, )
et al., )
)
Defendants. )
__________________________________________)
NOTICE OF FILING OF MARCH 2008 STATUS REPORT BY THE DEPARTMENT OF THE INTERIOR OFFICE OF TRUST RECORDS
The Department of the Interior Office of Trust Records hereby submits its status report
for activity in March 2008. A copy of the report is attached hereto.
Dated: April 15, 2008 Respectfully submitted,
JEFFREY S. BUCHOLTZ Acting Assistant Attorney General MICHAEL F. HERTZ Deputy Assistant Attorney General
J. CHRISTOPHER KOHN Director
/s/ Robert E. Kirschman, Jr. ROBERT E. KIRSCHMAN, JR. Deputy Director
(D.C. Bar No. 406635) JOHN R. KRESSE Trial Attorney Commercial Litigation Branch Civil Division
P.O. Box 875, Ben Franklin Station Washington, D.C. 20044-0875 Telephone: (202) 616-0328
CERTIFICATE OF SERVICE
I hereby certify that, on April 15, 2008 the foregoing Notice of Filing of March 2008 Status Report by the Department of the Interior Office of Trust Records was served by Electronic Case Filing, and on the following who is not registered for Electronic Case Filing, by facsimile:
Earl Old Person (Pro se) Blackfeet Tribe
P.O. Box 850 Browning, MT 59417 Fax (406) 338-7530
/s/ Kevin P. Kingston Kevin P. Kingston
ACTIVITY REPORT
OFFICE-OFTRUSTRE CORDS
March 1 - 31, 2008
PROGRAMMATIC:
Labat-Anderson (Labat Indexing Project)
Labat reported that indexing of 1,921 boxes of inactiv~ Indian records was completed in March 2008. Th~ total number of box~!completed through March 2008 is approximately 171,340.
Movement of Records
The Bureau of Indian Affairs (BIA) and Office of the ~peeial Trustee (OST)
moved 2,909~ boxes of inactive records from various field locations to Lenexa, Kansas, for indexing and subsequent storage at the At~erican Indian Records Repository (AIRR) during this reporting period.
Site Assessments Statement
DuaSng themonth of March, OTRA performed 3 records assessments at the following locations: Hopi Agency BIA office, Cherokee Agency OST IIM office, and Tulsa OST IIM office. OTRA also performed 10 follow-up records assessments at the following locations: WestemRegi0n BIA office; San Carlos Agency BIA office; San Carlos OST IIM office; Salt River Agency BIA office; Salt River OST I]2vl office; Pima Agency BIA office; Pima OST IIM office; Fort ApaeheAgencyBIA office; Fort Apache OST IIM oft~. ce; and OST Office of Appraisal Services; Western Region. OTRA issued 4 records assessment reports, one for eadh oflthe following locations: Fort Defiance!~Agency BLA office (followrup);. Hopi Agency BIA office; Tulsa OST IIM:,Office; and Cherokee OST
IIM office.
Records Training
In March 2008, OTR provided records management tr~irtg for 46 BIAJOST records contacts and 49 tribal employees. OTR provided training on vital records for 25 BIA employees.
Equipment
30 pieces .of fireproof filing equipment were delivered .to BIA/OST and Tribal offices in March 2008.
Litigation Support and Research Requests
OTR continued to provide significant support to the Office of the Solicitor, Office of Historical Trust Accounting and its contractors, the Department of Justice and its contractors, and tribal attorneys on behalf of various Tribes. AIRR staff provided responses to 288 research requests from BIA, OST and other requesters. With the filing of numerous tribal trust litigation eases, litigation-related information and document requests pertaining to records at the AIRR continue to increase. Many of these requests have very short deadlines.
ADMINISTRATIVE: General administrative activities continued.
GENERAL OBSERVATIONS: None.
I declare under penalty of perjury that the foregoing is true and correct to the best of my knowledge, information and belief, r express no opinion on the content of the Site Assessments Statement described above. ~ ~..~.
Ethel J Abe~ta
declare under penalty of perjury that flae content of the Site Assessments Statement deseribeA ,above is true and correct to the best of my knowledge, information and belief. express no opinion on the contents of other sectionrdsubsecfions of the rei~rt.
Julene Theis Acting Director, Office of Trust Review mad -Audit
|
en
|
all-txt-docs
|
254887
|
Title: National Institute of Justice Journal - Crime in Public Housing: Clarifying Research Issues.
Series: NIJ Journal
Author: NIJ
Published: March 1998
Subject: Restorative justice, terrorism, program evaluations
68 pages
152,000 bytes
-------------------------------
Figures, charts, forms and tables are not included in this ASCII plain-text
file. To view this document in its entirety, download the Adobe Acrobat
graphic file available from this Web site or order a print copy from NCJRS
at 800-851-3420.
-------------------------------
U.S. Department of Justice
Office of Justice Programs
National Institute of Justice
National Institute of Justice Journal
March 1998
-------------------------------
Director's Message
Two themes run through this issue of the National Institute of Justice
Journal. Readers will find many examples of partnerships and
collaboration between researchers, policymakers, practitioners, and
agencies with related missions. This issue is also full of examples of how
the involvement of a community contributes to better understanding of
crime and an improved criminal justice system.
Jeffrey Fagan and his coauthors, for example, in the cover story offer
insights on conducting crime-related research in public housing. In this
emerging area of research, the authors highlight the significance of the
context in which crime occurs. The neighborhood, the larger community,
and public policies all have an effect on crime and the residents who live
in and near public housing. Researchers need to keep in mind these factors
as well as the community's history and socioeconomic trends when they
design research methods and interpret their findings.
Also in the cover story is a brief description of NIJ's new collaboration
with the U.S. Department of Housing and Urban Development (HUD),
Office of Public and Indian Housing. This collaboration will link
researchers with local public housing agencies to more accurately assess
the effects of HUD's Public Housing Drug Elimination Program. Working
together, public housing officials and researchers will develop information
that will bring into sharper focus the nature of crime in public housing.
Doing justice differently is the focus of the interview with Visiting Fellow
Thomas Quinn. Restorative justice, the topic of Mr. Quinn's visiting
fellowship, is an approach through which all parties involved -- offender,
victim, and community -- achieve justice. It is an innovative approach for
modern courts, although indigenous peoples have practiced it for
centuries. Restorative justice emphasizes the harm caused to the victim
and the impact on the broader community rather than the traditional view
that the crime is an act against the state.
Protecting communities from terrorists is the topic of the third article in
this issue. Although most Americans are not personally familiar with
terrorist attacks, accounts of the experiences from abroad are sobering. NIJ
has been a partner with several Federal agencies through task forces and
working groups created to enhance the American capability to deal with
terrorist attacks, especially attacks aimed at public transportation systems.
In April, NIJ and the U.S. Departments of State and Transportation are
cosponsoring an international gathering that will feature new technologies
and best practices to combat terrorist activity against land transportation
systems.
The themes of partnership and putting crime in the context of the
community will continue to be important messages in the NIJ Journal.
Watch for the June issue, which will feature the story about how Boston
officials collaborated and analyzed the context in which a particularly
troubling type of crime occurred and achieved an amazing decrease in
juvenile violence.
Jeremy Travis
Director
National Institute of Justice
-------------------------------
National Institute of Justice
Jeremy Travis
Director
NIJ Journal Editorial Board
Sally T. Hillsman
Deputy Director for Office of Research and Evaluation
John L. Schwarz
Deputy Director for Office of Development and Dissemination
David Boyd
Deputy Director for Office of Science and Technology
Cheryl A. Crawford
Mary G. Graham
Pamela K. Lattimore
Marj P. Leaming
Michelle-Marie Mendez
Christy A. Visher
Issue Editor
Jolene Hernon
-------------------------------
The National Institute of Justice Journal is published by the National
Institute of Justice, the research arm of the U.S. Department of Justice, to
announce the Institute's policy-relevant research results and initiatives.
The Attorney General has determined that publication of this periodical is
necessary in the transaction of the public busi-ness required by law of the
Department of Justice.
Opinions or points of view expressed in this document are those of the
authors and do not necessarily reflect the official position of the U.S.
Department of Justice.
The National Criminal Justice Reference Service (NCJRS), a centralized
national clearinghouse of criminal justice information, is sponsored by the
Office of Justice Programs agencies and the Office of National Drug
Control Policy. Registered users of NCJRS receive the National Institute
of Justice Journal and NCJRS Catalog free. To become a registered user,
write NCJRS User Services, Box 6000, Rockville, MD 20849-6000, call
800-851-3420, or e-mail [email protected].
The National Institute of Justice is a component of the Office of Justice
Programs, which also includes the Bureau of Justice Assistance, the
Bureau of Justice Statistics, the Office of Juvenile Justice and Delinquency
Prevention, and the Office for Victims of Crime.
-------------------------------
Contents
Issue No. 235
FEATURES
Crime in Public Housing: Clarifying Research Issues
Restorative Justice: An Interview With Visiting Fellow Thomas Quinn
Protecting Public Transportation From Terrorists
RESEARCH PREVIEW
Sentencing Guidelines: A State Perspective
DEPARTMENTS
New & Noteworthy
Solicitations
NIJ Awards
Final Reports
NIJ in the Journals
Recent NIJ Publications
Events
-------------------------------
Crime in Public Housing: Clarifying Research Issues
by Jeffrey Fagan, Tamara Dumanovsky, J. Phillip Thompson, and Garth
Davies
-------------------------------
Jeffrey Fagan is Director of the Center for Violence Research and
Prevention in the School of Public Health at Columbia University, and
Tamara Dumanovsky is Staff Associate at the Center. J. Phillip Thompson
is an Associate Professor in the School of Political Science at Columbia
University. Garth Davies is an Assistant Professor in the School of
Criminology at Simon Fraser University. This research is supported in part
by generous grants from the National Consortium on Violence Research,
the Robert Wood Johnson Foundation, and the National Institute of
Justice.
-------------------------------
In recent years, crime and public housing have been closely linked in our
political and popular cultures. Tragic episodes of violence have reinforced
the notion that public housing is a milieu with rates of victimization and
offending far greater than other locales.[1] However, these recent
developments belie the complex social and political evolution of public
housing from its origins in the 1930s, through urban renewal, and into the
present.[2]
Stereotypes abound about public housing, its management, residents, and
crime rates. In reality, variation is the norm, and it is these variations that
affect crime. The study of crime in public housing is in its earliest phase,
and there is much to learn. A few studies suggest that crime rates are
higher in public housing complexes than in their immediate
surroundings;[3] other studies suggest quite the opposite.[4] Still others
suggest a process of diffusion and exchange of violent crimes between
public housing and the surrounding neighborhood contexts.[5]
Predictably, most studies vary in several important ways, complicating
comparisons of studies. Many focus on larger public housing authorities
(PHAs) in older cities, even though these communities are the exceptions
among the more than 3,000 PHAs in the United States.[6] Many studies
rely on crime complaints to the police or housing authorities rather than on
victimization studies. Conducting a victimization study or household
survey in a public housing community is a difficult logistical enterprise,
often characterized by undercounts of population and variation in
telephone ownership.[7] The U.S. Department of Housing and Urban
Development (HUD) is currently supporting research to better understand
the process of conducting victimization surveys in public housing.
Few studies give adequate attention to public housing's historical,
socioeconomic, structural, and administrative contexts, despite the
variability among and within public housing communities. Multimeasure
studies of crime in public housing are rare, and efforts to assess the
epidemiology and correlates of crime have been quite limited. Attention to
the surrounding context has been uneven despite the likelihood that many
crimes are committed by nonresidents.
Despite the challenges, there are lessons to be learned from previous
research. This article summarizes some of these lessons, explores the
variability among public housing communities, and suggests that research
on communities, spatial analysis of crime locations and patterns, injury
epidemiology, and victimization surveys provide important new directions
for studying crime in public housing. (See "Methodology Challenges:
Design, Measurement, and Data Collection Issues for Researchers" and
"Collecting Data: Features and Possible Limitations.")
A brief history of public housing
Public housing's varied history is often intertwined with the social and
political history of its home city. Public housing in New York City, for
example, developed in response to historical needs as a job creation
program (such as First Houses), as housing for wartime workers (such as
Red Hook and Fort Greene), as veterans' housing, as filler between slums
and urban renewal projects, as relocation housing for people displaced by
transportation and infrastructure projects, as a way to keep working-class
whites from leaving the city, and, finally, as housing for poor minority
people -- especially in the 1960s.[8]
The bulk of public housing in the United States was built in the 1950s and
1960s as a vehicle for "slum clearance" in communities already
characterized by structural disadvantage, such as poverty, long-term
unemployment, and limited public services. Often the result was
large-scale, highrise developments in socially isolated areas where little
attention was paid to availability of or access to public or private services.
A second wave of development in the 1970s and 1980s paid closer
attention to the community context and resulted in lowrise developments
intended to be integrated into the neighborhood and with better access to
transportation, shopping areas, schools, and other social services.
Historically, public housing has perpetuated segregation through
"community preference" policies that gave priority to applicants already
living in the neighborhood. Although these policies receive credit for
maintaining social networks and organization within neighborhoods, they
also had the effect of maintaining a neighborhood's racial and ethnic
homogeneity.[9]
The social context of today's public housing varies widely, and much of it
suffers from poor design, deteriorating structures, inadequate funding, a
large concentration of poor people, isolation from social services, high
crime rates, and cumbersome management.[10]
The history of public housing policy is significant for research in several
respects. The structure and location of public housing sites necessarily and
reciprocally affected the surrounding areas, and the extent and type of
neighborhood change are important factors in understanding contemporary
variability in crime rates. Since many public housing sites were originally
built in otherwise undeveloped areas, understanding the subsequent
development of surrounding neighborhoods and patterns of neighborhood
change should provide a more complete analysis of changes within public
housing. In addition, a development's socioeconomic, racial, ethnic, and
family characteristics may affect crime rates.
The limited research on crime in public housing has looked only at
structure-of-housing issues (for example, comparing crime rates between
highrise and lowrise developments or looking at differences between
larger and smaller public housing authorities). But structural variations
may mask underlying differences in location, composition, social
organization, and, most important, policy. (See "Variability Within
Chicago's Highrise Public Housing.")
Variation in the administration of public housing
In addition to contextual and structural factors, several aspects of
management and administration may affect crime rates in public housing.
Management of public housing. The administration of a public housing
authority affects the characteristics of a housing development. The
combinations of State and Federal supervision of PHAs, in addition to the
idiosyncratic policies of city governments, raise significant issues.
Developments are increasingly being turned over to private management
agencies; some PHAs are experimenting with resident management; other
PHAs sponsor homeownership programs that encourage qualified
residents to purchase apartments in rehabilitated buildings at bargain rates.
Many of these programs are new and tend to apply to smaller, rehabilitated
buildings. It may be too soon to measure the effects, if any, of the most
recent management trends.
Admission and eviction policies. Criteria for admission and eviction vary
across sites and can change the composition, attitudes, and perceptions of
both the residents and the wider neighborhood. Criminal history,
drug-related offenses, family composition, and employment status have
been used as criteria. Some PHAs are increasingly using employment
status as a criterion for admission to increase the numbers of
working-class families in developments. Others are converting highrise
developments into housing for the elderly. Because such changes are
intended to improve residents' quality of life, equal attention should be
paid to developments targeted and not targeted by such policies. One
consequence may be increased segregation and isolation of the most
disadvantaged residents in sites with these eviction and admission policies.
Police agencies. The amount and extent of police presence and response
vary across and within PHAs and to a certain degree depend on the
relationship between the local PHA and the police department. Some
larger PHAs have their own police agencies that patrol public housing
sites.[11] Larger public housing projects without housing authority police
agencies often require special police attention and relationships with the
city's police department, especially if the development is isolated from its
surrounding neighborhoods.
Assessments of crime need to take into account differences in types of
crime control programs in a public housing site. (See "NIJ and HUD
Collaborate on Research and Evaluation.") These programs vary
considerably both between and within cities, and the various strategies --
ranging from drug sweeps to curfews -- may conflate crime trends with
enforcement trends. A sharp increase in arrest rates in public housing may
indicate an increase in police presence, not necessarily an increase in
crime.
Tenant organizations and perceptions. Some PHAs have formal and
institutionalized tenant organizations that often act as a bridge between
residents and the PHAs and may form ties with local police departments,
social service agencies, and community organizations. The presence of an
active tenant organization may indicate a level of community stability and
cohesion that has a significant impact on crime rates. Since public safety is
most likely to be one of the more important issues for such organizations,
comparing the degree of tenant organizing and its effectiveness between
public housing developments may be an important component of studying
crime (and fear of crime) in public housing. (See "Variation in the Types
of Residents in Public Housing Communities.")
Residents' own perceptions of public housing may be influenced by the
history of its development. The composition of the housing, the length of
residents' tenancy, and their connections to the larger community all affect
residents' attitudes about public housing. The general reputation of public
housing in surrounding neighborhoods and in the city will affect how
people behave and, in turn, may affect crime and fear of crime.
Variations in physical structure and neighborhood
Many public housing projects are large-scale, multiple-building, highrise
developments covering several square city blocks. Research has shown
that the relationship between building size and crime rates varies by type
of crime.[12] For example, highrise buildings have lower burglary rates
than lowrise developments. However, there can be significant differences
between similarly structured public housing developments. More attention
should be paid to studying variability in types and rates of crime between
similar housing developments to learn about factors other than structure
that might explain variability in crime rates.[13]
Given their size and structural design, it is easy to argue that large public
housing developments are "spatial" neighborhoods. What needs to be
established is whether they are also "social" neighborhoods.[14] Most do
not contain within their boundaries, and often not on their immediate
periphery, facilities and institutions (schools, shopping centers, places of
worship) that are commonly associated with a "neighborhood." Social
dimensions of neighborhoods are dependent on interaction patterns and
social networks. Although in some cases spatial location determines social
interactions, such as school districts, spatial proximity is not a guarantee of
social interaction. The extent of informal interactions between tenants,
their level of familiarity and recognition, and the use of common spaces
may all be measures of social neighborhoods within public housing. It
could be argued that the spatial isolation of some public housing projects
makes them more like traditional neighborhoods than other areas where
individuals tend to have more interactions with people outside their
neighborhoods.
In his study of Section 8 public housing construction in Chicago, Robert
Bursik found that public housing construction was followed by high rates
of neighborhood instability which, in turn, was related to higher rates of
delinquency.[15] The Bursik study demonstrates the impact of policy
decisions on neighborhood change and shows that neighborhood
instability, independent of compositional changes, has a significant impact
on delinquency rates. It suggests that other studies could measure patterns
of stability in and around public housing, apart from compositional
changes, to see if stable public housing developments tend to be located in
stable neighborhoods and to determine the effects of varying rates of
stability on crime rates.
Notes
1. See, for example, Kotlowitz, A., There Are No Children Here, New
York: Doubleday, 1991; and Lemann, N., The Promised Land: The Great
Black Migration and How It Changed America, New York: Knopf, 1991.
2. Marcuse, P., "Interpreting 'Public Housing' History," Journal of
Architecture and Planning Research 12(3)(1995):241-258.
3. Roncek, D.W., R. Bell, and J.M.A. Francik, "Housing Projects and
Crime," Social Problems 29(2)(1981):151-166; and Dunworth, T., and A.
Saiger, Drugs and Crime in Public Housing: A Three-City Analysis,
Washington, DC: U.S. Department of Justice, National Institute of Justice,
1994.
4. Farley, J.E., "Has Public Housing Gotten a Bum Rap? The Incidence of
Crime in St. Louis Public Housing Developments," Environment and
Behavior 14(4)(1982):443-477; and Harrell, A., and C. Gouvis, Predicting
Neighborhood Risk of Crime, Washington, DC: The Urban Institute,
1994.
5. Fagan, J., and G. Davies, "Crime in Public Housing: Two-Way
Diffusion Effects in Surrounding Neighborhoods," presented at the
Workshop on Spatial Analysis of Criminal Justice Data, New York: City
University of New York, Graduate Center, 1997.
6. Holzman, H., "Criminological Research on Public Housing: Toward a
Better Understanding of People, Places, and Spaces," Crime and
Delinquency 42(3)(1996):361-378.
7. Holzman, H.R., T.R. Kudrick, and K.P. Voytek, "Revisiting the
Relationship Between Crime and Architectural Design: An Analysis of
Data from HUD's 1994 Survey of Public Housing Residents," Cityscape:
A Journal of Policy Development and Research 2 (1996):107-126.
8. Marcuse, Peter, "Public Housing in New York City: History of a
Program," unpublished manuscript, 1997.
9. Saegert, Susan, and G. Winkel, "Social Capital Formation in
Low-Income Housing," New York: City University of New York,
Graduate School and University Center, unpublished paper, 1997.
10. Public housing in several cities, including Detroit, Newark, Chicago,
and New Orleans, is considered "troubled." HUD considers housing
authorities troubled if they score less than 60 out of 100 points against
HUD's "PHMAP" (Public Housing Management Assessment Program)
indicators. See, for example, House Committee on Government Reform
and Oversight, "Public Housing: Status of HUD's Takeover of the Chicago
Housing Authority," testimony before the Subcommittee on Human
Resources and Intergovernmental Relations, September 5, 1995.
11. In 1995, New York City consolidated the housing and transit police
departments with the New York Police Department. It may be too soon to
study the effects of this consolidation.
12. Holzman, Kudrick, and Voytek, "Revisiting the Relationship Between
Crime and Architectural Design," 107-126.
13. Popkin, Susan J., Victoria E. Gwiasda, Jean M. Amendolia, Andrea A.
Anderson, Gordon Hanson, Wendell A. Johnson, Elise Martel, Lynn M.
Olson, and Dennis P. Rosenbaum, "The Hidden War: The Battle to
Control Crime in Chicago's Public Housing," unpublished report in
fulfillment of NIJ grant numbers 93-IJ-CX-0037 and 95-IJ-CX-0011.
14. Tienda, Marta, "Poor People and Poor Places: Deciphering
Neighborhood Effects on Behavioral Outcomes," in Macro-Micro
Linkages in Sociology, ed. Joan Huber, Newbury Park, CA: Sage
Publications, Inc., 1991.
15. Bursik, Robert J., "Social Disorganization and Theories of Crime and
Delinquency: Problems and Prospects," Criminology 26 (1988):519-551.
-------------------------------
Methodology Challenges: Design, Measurement, and Data Collection
Issues for Researchers
Criminological research on public housing is still relatively new. Its
development can benefit from the methodological and conceptual
influences from related disciplines, especially urban sociology, political
economy, and crime prevention research, as well as geography,
demography, and the sophisticated techniques available from spatial
analysis, survey research, and qualitative methods.
The issues surrounding public housing research can be sorted into several
domains: design considerations, measurement considerations, and data
collection strategies.
Design considerations
Unit of analysis. Selecting the unit of analysis for research and an
appropriate design often depends on a series of questions relating to the
nature of the unit to be studied. For example, an intervention to prevent
crimes at specific locations may differ from an intervention designed to
reduce criminality among individuals, and an evaluation of the
intervention would require very different theories and designs.[1]
Comparison groups. The selection of the unit of analysis also affects other
design considerations, such as the selection of comparison groups.
Identifying valid and appropriate comparisons is a complex problem.
Public housing residents are nested within buildings, and buildings are
nested within developments. Researchers are increasingly concerned with
the nested or hierarchical effects of neighborhood, school, or other
contextual factors and their influence on outcomes.
Accordingly, researchers cannot simply select random samples of
individuals from the same buildings. Nor can they avoid the question of
comparison groups by using predesigns and postdesigns. This would raise
history, maturation, and other validity threats. One solution is to sample
individuals from other comparable public housing developments within
the same city. Other alternatives include using "bootstrapping"[2] or case
control designs in which projects and individuals serve as their own
controls. Research also can benefit from examining within-unit change
over time, based on interactions with specific social and structural
contexts.
Diffusion and displacement effects. The relationship of public housing to
surrounding areas reflects another dimension of the nested status of public
housing. Not only are individuals nested in buildings and developments,
but developments are nested in neighborhoods, and the neighborhoods
themselves exert both criminogenic and protective influences. Drug
transactions often involve persons from outside the housing development,
and their movements in and out of the development create a large area
where crimes may take place. Situational crime prevention efforts may
displace crime to nearby neighborhoods or to neighborhoods some
distance away.[3]
Some studies show higher rates of diffusion within public housing
compared with the overall city rate, but such comparisons are invalid
because of a lack of comparability of the areas. Other studies compared
blocks within and outside public housing developments and found higher
rates within the public housing blocks.[4] One study of violence in and
around public housing projects used weighted least-squares procedures to
approximate diffusion effects.[5] The researchers found evidence of
outward diffusion for some violent crimes (robbery, homicide) and
simultaneous diffusion only for assault.
Event locations. Some buildings within multibuilding housing
developments have higher crime rates than other buildings. Moreover,
crimes occur in a variety of locations inside and outside the development,
and sampling may be required even though it poses its own
methodological problems. Locations, too, are nested, and the effects of an
intervention in a specific location may be mediated by events that occur in
the surrounding area. Thus, for example, locating increased patrol in a
specific hot spot may have artifactual effects if the patrol in the
surrounding or control area is reduced (or increased) due to other,
serendipitous factors.
Apportioning effects. Multiple interventions are common in a public
housing project. Sorting and allocating their effects requires a highly
complex and disaggregated design. Designs should anticipate multiple
interventions, as well as interventions that span both developments and
neighboring areas.
Measurement considerations
Although there may be adequate scales and methods to count events, other
challenges emerge when attempting to standardize counts through
computation of rates. Geocoded complaint and arrest records present
strong advantages in dealing with spatial measurement concerns.
However, geocoding cannot pinpoint floors in highrises or shared spaces
in many public housing sites. Alternate data sources may be useful in
estimating crime problems within specific boundaries of housing
developments. Vital statistics and health data often contain address
information and can be sampled and geocoded to estimate violence rates in
and around public housing.
A related problem involves crimes that take place in shared spaces. For
example, when drug selling occurs on streets adjacent to, but officially
outside, housing developments and when it involves tenants, the
assignment of these events to a housing project becomes conceptually
difficult. Researchers need to develop rules for such occurrences, but the
rules may exert a strong influence on crime rates and estimates of program
effectiveness.
Data collection strategies
Surveys. Recent studies involving National Crime Victimization Surveys
in public housing developments suggest that advances are forthcoming in
measuring crime in public housing,[6] but sampling concerns continue to
arise from uneven patterns of telephone ownership. Additional sampling
problems reflect the gap in official versus actual occupancy patterns;
respondents are unlikely to provide data on victimization of unofficial
occupants. Household surveys are also important tools in gathering
observational and attitudinal data.
Conducting comparable surveys in surrounding neighborhoods creates
additional problems, especially in counting households. A related
theoretical and practical problem is the determination of the boundaries of
surrounding neighborhoods. Few theories suggest the size of an ecological
context for public housing -- whether it is 1 block, 100 yards, or a larger
social or administrative boundary. Practically, the distance in which
displacement and design effects are likely to be salient is also difficult to
determine.
Official records. Public housing authorities that have police departments
may be able to supply arrest and complaint records for specific public
housing communities, and data from the city's police department may be
geocoded to determine which crimes occur in public housing. In some
cases, though, arrests or other data may be generated by special task forces
(citywide drug or robbery details, for example) or by agencies from other
jurisdictions, such as the State police or the Drug Enforcement
Administration, but data from these additional sources are more difficult to
obtain.
A second complication involves the distinctions between location event,
offender residence, and victim residence. Rarely do crime data record all
three pieces of information. The importance of this triangulation for public
housing rivals, if not exceeds, its importance in understanding
victim-offender interactions and the contextual factors that shape these
interactions.
Observations. The advantages of direct observation are self-evident, but
such activity is labor intensive, expensive, and requires experienced
observers. Coding and reliability questions also need to be addressed.
Nevertheless, observation can overcome many of the limitations of other
data sources, and time and place sampling can streamline these efforts.
A related strategy is key informant interviews. Key informant strategies
have been used extensively in several notable studies of urban life,[7]
including data collection in public housing.[8] This method involves
identifying persons whose knowledge of neighborhood life is extensive
and who are capable and accurate reporters of the dynamic exchanges
among people within social networks and spaces. Repeated interviews
with key informants over time can establish a longitudinal database of
events and dynamics within the area of interest. Data can be either
structured, quantifiable responses to a protocol or open-ended qualitative
narratives that result from a structured conversation between researcher
and informant.
Notes
1. Ekblom, P., and K. Pease, "Evaluating Crime Prevention," in Building a
Safer Society, vol. 19, ed. M. Tonry and D.P. Farrington, Chicago:
University of Chicago Press, 1995:585-662.
2. Bootstrapping, which capitalizes on natural variation within a sample,
involves asking different types of questions to subsets within a sample. A
theory can then be constructed based on the answers.
3. Barnes, G.C., "Defining and Optimizing Displacement," in Crime and
Place, ed. J.E. Eck and D.L. Weisburd, Washington, DC: Police Executive
Research Forum, 1995:95-113; Ekblom and Pease, "Evaluating Crime
Prevention"; and Clarke, R.V., "Situational Crime Prevention," in
Building a Safer Society, vol. 19, ed. M. Tonry and D.P. Farrington,
Chicago: University of Chicago Press, 1995: 91-150.
4. Roncek, D.W., R. Bell, and J.M.A. Francik, "Housing Projects and
Crime," Social Problems 29(2)(1981):151-166. See also Harrell, A., and
C. Gouvis, Predicting Neighborhood Risk of Crime, Washington, DC: The
Urban Institute, 1994.
5. Fagan, J., and G. Davies, "Crime in Public Housing: Two-Way
Diffusion Effects in Surrounding Neighborhoods," presented at the
Workshop on Spatial Analysis of Criminal Justice Data, New York: City
University of New York, Graduate Center, 1997.
6. Holzman, H., and L. Piper, "Measuring Crime in Public Housing:
Methodological Issues and Research Strategies," paper presented at the
Annual Meeting of the American Society of Criminology, Boston,
Massachusetts, November 1995; and Holzman, H., "Criminological
Research on Public Housing: Toward a Better Understanding of People,
Places, and Spaces," Crime and Delinquency 42(3)(1996):361-378.
7. Engle, S.M., Urban Danger, Philadelphia: Temple University Press,
1981; and Fischer, C.S., To Dwell Among Friends: Personal Networks in
Town and City, Chicago: University of Chicago Press, 1982.
8. Sullivan, M., Getting Paid, Ithaca, NY: Cornell University Press, 1989.
-------------------------------
Collecting Data: Features and Possible Limitations
Public housing authorities
Features:
Larger PHAs may collect and report crime data, including records of
crime-related complaints by tenants or tenant organizations. Organized
tenant patrols may maintain victimization records.
Limitations:
Data on locations of events may be missing; such data are needed to assess
hot spots and evaluate safety measures. Official crime statistics may
undercount actual crime rates.
Police department records
Features:
Police records may include identifiers for public housing (that is, the data
may indicate that the incident occurred within public housing boundaries).
The records may also indicate the residence of the victims, offenders, or
both. Complaint and arrest reports may be available. National
Incident-Based Reporting System data also will contain event information.
Limitations:
Data may not be specific to units and locations in public housing. Official
crime statistics may undercount actual crime rates.
Injury surveillance data
Features:
Mortality and morbidity data for intentional injuries may include the
event's location as well as residential data about the injured or deceased
person. Geocoded data for residential and event locations would allow
analyses of violent crime in public housing and surrounding
neighborhoods.
Limitations:
Data often do not contain information about an offender's residence.
Tenant/resident surveys
Features:
Annual tenant surveys can measure crime rates, residents' fear of crime,
victimization rates of residents, and crime hot spots.
Limitations:
Data may undercount public housing residents, and telephone interviews
can result in sample bias.
-------------------------------
Variability Within Chicago's HighRise Public Housing
An NIJ-sponsored study of the effectiveness of the Chicago Housing
Authority's (CHA's) comprehensive antidrug initiative illustrates the
difficulty of implementing programs and conducting research in public
housing settings.
The research tracked CHA's antidrug efforts for 3 years within three
developments -- Rockwell Gardens, Henry Horner Homes, and Harold
Ickes Homes -- and conducted a more limited assessment of an experiment
with intensive police patrols in the Robert Taylor Homes.[1]
Researchers found that reduction in crime and fear of crime varied
significantly not only between similar developments but also within the
same development. Despite several key similarities (structural,
programmatic, and targeted crime type), other more powerful differences
exerted greater influence on crime. For example, the program was
implemented inconsistently within a single development because of
variability in levels of disorder and social cohesion, management
practices, residents' perceptions toward the police and one another, and the
occurrence of such external events as visits by leading political figures and
lawsuits against the housing authority.
The CHA model antidrug program to control violent crime was both
comprehensive and collaborative, and CHA policies were well defined.
Yet onsite management practices varied considerably, making
implementation uneven. The program was also affected by the unique
nature of each development and, in some cases, the individual differences
between buildings in the same development. Strong resident leadership in
one building in Rockwell Gardens, for example, brought about tremendous
changes that never extended to other Rockwell buildings.
In addition to the buildings' variability, external developments affected the
researchers' ability to take accurate measurements. A class-action lawsuit
against CHA, settled during the evaluation period, resulted in a massive
redevelopment effort at Horner that clearly had a much larger impact than
any of the antidrug interventions.
In all four developments, gangs dominated daily life and wielded more
influence over the level of drug trafficking and violence than either the
police or housing authority management. However, the nature of gang
control varied both across the four sites and within individual sites. In
Rockwell and Horner, for example, multiple gangs fought over control of
buildings, turning them into virtual war zones. The gang warfare was so
extreme at Horner that the residents in one building formed a pact with the
gang members as a means of protection. Ickes, on the other hand, was
spared the turf battles because a single gang controlled the development.
The Chicago public housing experience points out the complexities of and
challenges to understanding crime issues in public housing. It also
illustrates that researchers need to consider the broad and subtle
differences that exist within an individual housing community,
recognizing that the same policy and program can have widely varying
results.
1. Popkin, Susan J., Victoria E. Gwiasda, Jean M. Amendolia, Andrea A.
Anderson, Gordon Hanson, Wendell A. Johnson, Elise Martel, Lynn M.
Olson, and Dennis P. Rosenbaum, "The Hidden War: The Battle to
Control Crime in Chicago's Public Housing," final report submitted in
fulfillment of NIJ grant numbers 93-IJ-CX-0037 and 95-IJ-CX-0011. The
research examined the impact of the antidrug efforts through the eyes of
the residents. Researchers conducted four waves of door-to-door surveys,
six rounds of indepth interviews with a small group of residents, two
rounds of interviews with key staff involved in implementing the antidrug
initiative, and ethnographic observations of each of the developments. In
addition, official crime statistics from 1988 through 1995 were examined
to assess the effect of CHA's efforts on residents' demand for police
service.
-------------------------------
NIJ and HUD Collaborate on Research and Evaluation
The National Institute of Justice (NIJ) and the Department of Housing and
Urban Development (HUD) have become partners in an effort to build
safer public housing communities.
By combining NIJ's expertise in research and evaluation with HUD's
expertise in providing housing authorities with resources, the two agencies
are collaborating to understand the implementation and effectiveness of
HUD's Public Housing Drug Elimination Program (PHDEP). HUD's
Office of Public and Indian Housing and NIJ have signed an interagency
agreement through which HUD has transferred $1.3 million to NIJ for a
two-part effort to conduct joint research and evaluation.
In the first part of the effort, NIJ and HUD have embarked on plans to
provide housing authorities with the resources to implement locally based
research partnerships. The researcher-housing authority partnerships are
designed to provide feedback on PHDEP initiatives at both the local and
national level. These partnerships build on a similar NIJ initiative that has
created dozens of successful researcher-criminal justice agency teams that
are cooperatively designing and implementing local research projects and
evaluations across the Nation.
The researcher-housing authority partnerships can take one of two forms:
(1) those that focus on developing and implementing technically sound
strategies to evaluate the effectiveness of programs, with feedback so that
course corrections can occur throughout the life of the program, and (2)
those that focus on identifying problems, designing and implementing
testable solutions, and evaluating the impact of the solution.
The second part of the effort will develop a standard national reporting and
information system for PHDEP, a comprehensive effort to reduce and
eliminate drug-related crime that has supported $1.2 billion worth of
activities over the last 8 years. NIJ will assess current PHDEP reporting
requirements and develop a standard semiannual reporting form that
grantee housing authorities can use to measure crime reduction more
tangibly than current methods.
-------------------------------
Variation in the Types of Residents in Public Housing Communities
Based on ongoing field research in New York City's public housing, J.
Phillip Thompson and Susan Saegert have categorized PHA families into
at least four types, who are usually found in the same buildings.[1] The list
is not exhaustive or necessarily representative of most PHAs; it simply
suggests the variety among public housing residents and some of the
complexities and sensitivities presented in gathering data from public
housing families and individuals.
o Long-term residents. These are middle-aged or older residents who have
typically lived in the same development for 25 years or more. They often
anchor the local tenant association, conduct social events for the residents,
help residents find jobs, and transmit local history, among other functions.
They are usually women with extended families in the building.
o Distressed families. These are families facing multiple and serious
physical, financial, and mental problems.
o Working-class loners. These families are usually headed by a working
adult. They typically keep to themselves, fearing crime and social disorder
within their development. They are trying to leave public housing.
o Coping but isolated. These residents are typically new to the community
and are socially isolated (they therefore may feel vulnerable to violent
assault). They try to keep their kids in the house and out of trouble and are
trying to adjust to their environment.
1. Thompson, J.P., and S. Saegert, "Social Capital in Public Housing,"
forthcoming, Center for Urban Studies, Columbia University, 1998.
-------------------------------
Restorative Justice:
An Interview With Visiting Fellow Thomas Quinn
-------------------------------
Thomas Quinn is the former Executive Director of the Delaware Criminal
Justice Council. In this article, he talks about the research he conducted as
an NIJ Visiting Fellow.
-------------------------------
Q. Will you first define restorative justice?
A. The definition and practices are evolving -- in much the same way that
community policing evolved.
Let's look first at restorative justice in juxtaposition with the model that
dominates American justice: the retributive model. The retributive model,
which focuses on offenders and their punishment, does a good job of
incarcerating violent, repeat offenders, but it does not -- and many people
argue that it cannot -- adequately address victim and community harm.
Nor does it give offenders an adequate opportunity to earn back their place
in society. Offenders who sit in a prison cell complete their punishment,
but the results do little to reduce citizen fear of crime, heal victims, or
increase citizen satisfaction with the criminal justice system -- and
research indicates that the informed public wants nonviolent offenders to
work to repay the community rather than sit idly in jail.[1]
Restorative justice, in contrast, focuses on restoring the health of the
community, repairing the harm done, meeting victims' needs, and
emphasizing that the offender can -- and must -- contribute to those
repairs.
Restorative justice condemns the criminal act, holds offenders
accountable, involves the participants, and encourages repentant offenders
to earn their way back into the good graces of society.[2] Restorative
justice considers crime an act against the individual and the community
rather than against the State.
Q. How do community justice and restorative justice differ and how are
they the same?
A. I think we're still sorting out the precise definitions and practices of
community justice and restorative justice. The two concepts are alike in
many ways, especially in their inclusiveness and shift toward collective
problem solving. They differ, however, in that restorative justice focuses
to a greater extent on the underlying philosophy of repairing the harm to
the victim.
In terms of practices, some community justice practices encompass
restorative justice principles, others do not. For example, a neighborhood
watch program that creates a resident-police partnership is a community
justice effort but not a restorative justice practice. On the other hand, a
victim who communicates with the offender in a structured setting in an
effort to bring closure to an incident participates in a restorative justice
practice, not a community justice effort. (See exhibit 1.)
Q. What is the origin of restorative justice? Isn't it a return to ancient
models of justice?
A. Indeed yes. Unwritten codes as well as the earliest written codes
focused on repairing the harm. Before the Norman conquest of England,
local villages delivered justice by making the offender repay the victim.
Then, when William the Conqueror became ruler, crimes became a
disruption of the "King's peace," and offenders were fined in the King's
Court. By requiring citizens to come to his courts for justice, the king
gained power; by collecting fines that in the past would have gone to the
victims, he gained wealth. We still have that emphasis with crimes
"against the state." Today, other cultures include restoration to the victim
and community as core elements of justice, including Muslim, American
Indian, and many Pacific Rim societies.[3]
Q. Can you describe some restorative practices and talk about how widely
they are practiced?
A. Probably the most familiar examples are restitution and community
service -- although both are often applied solely as punitive sanctions
rather than linked meaningfully to the offense or as a way for the
community to be healed. (See "Varieties of Restorative Justice Practices.")
Victim-offender mediation is becoming more widespread, both as an
alternative to the traditional criminal justice system as well as a part of the
system. Hundreds of programs now exist in the United States with
hundreds more in other countries.
It's hard to quantify how widely these activities are practiced, but the
trends are clear. The National Association of Counties passed a resolution
in July 1996 calling for "the immediate incremental and eventual
systemic" movement toward restorative justice. At the Federal level, the
Office of Justice Programs of the U.S. Department of Justice has several
efforts under way to explore how best to bring attention and insight to both
restorative justice and community justice practices.
For these new approaches to move into the mainstream, however, I believe
existing criminal justice agencies must be infused with a restorative justice
philosophy -- something that moves away from simply adding programs or
policies and toward a change in the way we think about crime. The process
would be similar to the process police departments must go through to
convert to the community policing philosophy.
Q. As part of your fellowship, you conducted a survey to learn more about
restorative justice. What did the responses reveal?
A. We developed a survey with assistance from the University of
Delaware's Center for Applied Demography and Survey Research and sent
it to an interdisciplinary sample of 290 legislators, county executives,
prosecutors, judges, victim advocates, and police and corrections
professionals.[4]
On the whole, respondents gave the restorative justice movement a
positive rating. The facets that generated the most positive responses
related to:
o Increased victim and community involvement through a more personal
process.
o More direct involvement of offenders.
o The potential for improved system efficiency because of the fused
agency focus.
Q. Let's talk first about increased victim and community involvement.
Aren't victims reluctant to have contact with offenders?
A. Some victims have no interest in having contact with their offender,
and some offenders are recalcitrant, unrepentant, and unwilling to accept
any blame. But for victims who experience a restorative justice process,
there is widespread evidence -- beyond my survey -- supporting the
perceived benefits.
Victims who are exposed to restorative approaches are significantly more
satisfied with the process and the outcome, and their satisfaction is
consistently higher whether the findings are from adult or juvenile courts;
small towns or big cities; or the United States, Germany, Great Britain, or
elsewhere.[5] Fear of being revictimized by the same offender also
decreases after restorative justice practices are used. In one study, 50
percent fewer victims who participated in mediation expressed fear of
revictimization by the same offender compared to victims who had not
participated in mediation.[6]
Positive feedback is not limited to minor cases. In an evaluation of
victim-offender dialogues in 39 serious cases (including robbery, rape, and
homicide) in British Columbia, Canada, victims or their survivors were
given the option of a face-to-face, video, or written dialogue with the
offender. A followup survey found unanimous support for the process.
Offenders reported a sense of personal growth, and victims a sense of
closure.[7]
Q. If restorative justice increases victim satisfaction and reduces fear of
revictimization, are victim advocacy groups embracing it?
A. The victim advocacy community is cautiously endorsing restorative
justice practices. Many are suspicious that restorative justice is a veiled
attempt at "rehabilitation" with no serious effort to involve or address
victims' concerns.
Another aspect has been noted by Marlene Young, the Executive Director
of the National Organization of Victim Assistance: Most offenders return
to their communities, and for this reason, among others, she encourages
victim advocacy groups to work to ensure that restorative justice
interventions are positive ones for victims and the community as a
whole.[8]
Q. Let's turn to offenders. What does the research show?
A. Respondents in my survey saw two positive effects:
o Offenders are more likely to understand the impact of their crimes.
o Offenders are more likely to feel anxiety about having to face victims or
community representatives. Some respondents viewed this as a
disadvantage to the offender, but others believed increased anxiety about
facing the consequences of one's actions contributes to a heightened sense
of responsibility and therefore increases the reparative aspects.
In other research, offenders overwhelmingly express satisfaction with
restorative justice processes -- up to 90 percent of offenders say they are
satisfied with the process. Offenders' perception of fairness exceeds 80
percent.[9]
Further, some studies indicate that recidivism for offenders who
participate in restorative justice activities is lower than for comparison
groups of like offenders who are processed regularly.[10] A study of
Washington State's Department of Corrections Victim Awareness
Education Program found that offenders released from prison after taking
part in an approximately 6-week program to learn about the impact of
crime on victims were less likely to recidivate than a comparison group
who did not take part in those panels.[11] Those who completed the
program had much lower repeat offense rates than those who did not (9
percent versus 37 percent). More research is needed, but what is available
is promising.
Q. What about the system as a whole? What benefits did respondents see
forthe criminal justice system?
A. The respondents cited numerous benefits related to system efficiency:
o Minor cases can be diverted from the formal process.
o Dispositions can be reached more quickly.
o The use of incarceration can be reduced.
o The image of the justice system can be enhanced.
o Victim advocates can become allies with other reformers to effect
positive system change.
o All parties can focus on the same issues and share the same goals.
o Agencies can develop and use new measures of success.
Again, research supports many of the benefits the respondents envisioned.
For example, a study in North Carolina found that cases can be diverted,
freeing prosecutors' and judges' time.[12]
Law enforcement agencies, too, have shown that restorative justice
programs can save resources. When the Harrisburg, Pennsylvania, police
randomly assigned citizen dispute cases to a mediation settlement
program, they found that cases that were settled by mediation were
significantly less likely to need police assistance in the future compared
with cases involving a control group.[13]
A common weakness often cited is that a relatively small proportion of the
eligible cases are actually handled by the optional alternative process. This
shortcoming is so common that the Fund for Dispute Resolution
commissioned a report on how to increase referrals and ensure that all
eligible cases are processed through alternative mechanisms.[14] The
resulting report contains a series of recommendations that call for a more
proactive, assertive process for case referral and more vigorous intake
methods.[15]
Q. What about the drawbacks? What disadvantages did respondents
identify?
A. Respondents identified several drawbacks. The three concerns that
evoked the strongest response (40 to 49 percent of respondents) relate to:
o The vagueness of the term "restorative justice."
The term can lead to some confusion and misunderstanding. It especially
seems to be confused with the term "community justice." As mentioned
earlier, the philosophy is still evolving.[16] We continue to benefit from
the debate over the definition and application of "community policing,"
and I believe it will be the same for "restorative justice."
o Due process issues.
Respondents expressed concerns about both procedural and substantive
due process. Just as we strive to avoid coercion and achieve fundamental
fairness in traditional procedures, so should we take care that restorative
justice efforts are also acceptable to all parties involved, that participation
is voluntary, and that all parties understand the implications of their
participation.[17]
o Possible resulting disparity.
Whole sentencing systems are designed to ensure that similar offenders are
treated similarly (based on the current offense and the criminal history).
When we also consider victim characteristics, some of these carefully
designed controls may no longer work. At the same time, injustice can
now result from rigid rules that prohibit consideration of all the factors
involved with a case. Suffice it to say that full consideration of the victim
will challenge some of the carefully crafted guideline systems now in
place, requiring criminal justice professionals to exercise new creativity in
light of more variables.
Although not cited as a drawback by the survey respondents, some
restorative justice practices take more time and preparation than the
routine procedures in most American courts. Although this seems to
conflict with reports of faster disposition, it should be noted that some
programs are designed to be expeditious; others -- like the family group
conferences practiced in New Zealand and Canada[18] -- aim to transform
relationships. Building a solution that blends support, involved
partnerships, and an involved community takes time, but it may well be
worth it.
Q. What conclusions have you come to as you end your fellowship?
A. The evidence has convinced me that the restorative justice model has
great potential to coexist with the existing incapacitative and retributive
models and to contribute to greater well-being for victims and
communities. I started this fellowship with a keen interest in citizen
satisfaction with the criminal justice system. Most of the practitioners and
policymakers I've talked with in the past 20 years have expressed similar
interests. The restorative justice approach makes us look through a
different lens, to envision a new paradigm for addressing the disruption
crime causes victims and communities.
I've come to believe that restorative justice is a logical next step in a
number of national trends. First, it is an integral part of the movement to
involve communities in solving their crime problems and encourage
justice components to participate in community solutions. Justice agencies
no longer simply interpret case law and process offenders. They are part of
the "devolution" of Federal responsibility that gives local communities a
greater role in criminal justice processes.
It is also an integral part of "reinventing" government, because it
encourages flexibility and interdisciplinary efforts among the parties that
are closest to the source of problems.[19] Both reinventing government
and restorative justice push to clearly link existing policies, expenditures,
and results.
Thomas Jefferson acknowledged that our institutions must change as
society evolves and matures. It is apparent that we are in a time of change,
and our system of justice must change as well. Fortunately, the impending
transition to involve the community and the victim has the potential to be
a positive one.
Notes
1. Doble, John, Crime and Corrections: The Views of the People of
Vermont -- A Report to the Vermont Department of Corrections,
Englewood, NJ: John Doble Research Associates, Inc., 1994. See also
Doble, John, Stephen Immerwahr, and Amy Richardson, Punishing
Criminals: The People of Delaware Consider the Options, a report
prepared by the Public Agenda Foundation for the Edna McConnell Clark
Foundation, New York: William S. Fell Co., 1991; John Doble Research
Associates, Inc., Crime and Corrections: The Views of the People of
Oregon, a report prepared by the Oregon State-Centered Project for the
Edna McConnell Clark Foundation, Englewood, NJ: 1995; and "Media
Crime Wave Continues: Crime News Quadrupled in Four Years,"
Overcrowded Times (February 1996):3.
2. Braithwaite, John, Crime, Shame and Reintegration, Cambridge,
England: Cambridge University Press, 1989. Braithwaite calls the process
"reintegrative shaming."
3. Consedine, Jim, Restorative Justice: Healing the Effects of Crime,
Lyttleton, New Zealand: Ploughshares Publications, 1995; Melton, Ada
Pecos, "Indigenous Justice Systems and Tribal Society," Judicature
79(3)(November-December 1995):126-133; and Meyer, Manu, "To Set
Right -- Ho'oponopono: A Native Hawaiian Way of Peacemaking," The
Compleat Lawyer (Fall 1995). See also Accord 14(1)(June 1995) for a
collection of articles related to historical aspects of restorative justice.
4. The survey recipients were participants in discussion groups at
professional gatherings between mid-1995 and mid-1996. All survey
respondents had at least some knowledge of restorative justice. Some had
only limited exposure; others had more extensive understanding of the
philosophy, programs, and research findings. Of the 290 surveys mailed,
145 usable surveys were returned by the deadline. Respondents were
asked to rate statements on a five-point scale from "very positive" to "very
negative."
5. Most of the research on alternative approaches to increasing victim
satisfaction involves victim-offender mediation, which has grown
significantly in the past 15 years. There are now more than 650
community mediation programs in the United States involving almost
20,000 volunteer mediators. See Ray, Larry, "Overview of Community
Mediation," an unpublished report prepared by the National Association
for Community Mediation, Washington, DC, 1996. See also Ray, Erica,
"Multidoor Courthouse," in National Symposium on Court-Connected
Dispute Resolution Research: A Report on Current Research Findings --
Implications for Courts and Future Research Needs, ed. Susan Keilitz,
Williamsburg, VA: National Center for State Courts, 1994.
For examples of international experiences, see Pelikan, Crista, "Conflict
Resolution Between Victim and Offender in Austria and the Federal
Republic of Germany," in Crime in Europe, ed. Frances Heidensohn and
Martin Farrell, London, England: Routledge, 1991:167; Umbreit, Mark,
with Robert B. Coates and Boris Kalanj, Victim Meets Offender: The
Impact of Restorative Justice and Mediation, Monsey, NY: Criminal
Justice Press, 1994; Coates, Robert B., Victim Meets Offender: An
Evaluation of Victim-Offender Reconciliation Programs, Valparaiso, IN:
PACT Institute of Justice, 1985; and Roberts, Tim, "Evaluation of the
Victim-Offender Mediation Project: Final Report for the Solicitor
General," an unpublished report, Langley, British Columbia, Canada,
1995.
6. A review in 10 sites and 3 countries found that victim satisfaction with
the outcome of mediation ranged from 84 to 90 percent. See, for example,
Umbreit, with Coates and Kalanj, Victim Meets Offender. See also Vera
Institute of Justice, "Mediation and Arbitration as Alternatives to
Prosecution in Felony Arrest Cases: An Evaluation of the Brooklyn
Dispute Resolution Center (First Year)," New York: Vera Institute of
Justice, 1978.
7. Roberts, "Evaluation of the Victim-Offender Mediation Project."
8. Young, Marlene, "Restorative Community Justice: A Call to Action," a
discussion draft paper presented by the National Organization for Victim
Assistance, Washington, DC, 1995.
9. Umbreit, with Coates and Kalanj, Victim Meets Offender; and Roberts,
"Evaluation of the Victim-Offender Mediation Project."
10. For example, a study in Utah indicated that juveniles involved in
robbery, assault, burglary, theft, auto theft, and vandalism who agreed to
or were ordered to pay restitution had, after 1 year, lower rates of
recidivism (32 percent) than similar offenders who did not (38 percent).
Schneider, Anne, "Restitution and Recidivism Rates of Juvenile
Offenders: Results from Four Experimental Studies," Criminology
24(3)(August 1986); and Butts, Jeffrey A., and Howard N. Snyder,
"Restitution and Recidivism," Juvenile Justice Bulletin, Washington, DC:
U.S. Department of Justice, Office of Juvenile Justice and Delinquency
Prevention, September 1992.
For cases informally handled through diversion programs, for example, the
difference was even greater: Those involved with restitution had a
12-percent recidivism rate compared with a 20-percent rate for those not
so involved. These findings are consistent with a 1989 national evaluation
of restitution and recidivism that indicated that, in three of the four sites
evaluated, the restitution group had lower repeat offense rates in the 3-year
followup period than the control group. The sites were Boise, Idaho;
Washington D.C.; Clayton County, Georgia; and Oklahoma County,
Oklahoma. The nonrestitution alternative differed in the four jurisdictions.
Statistics were significant at the .05 level in two jurisdictions and at .27 in
the third. In the fourth site, there was no difference between the two
groups. National Trends in Juvenile Restitution Programming,
Washington, DC: U.S. Department of Justice, Office of Juvenile Justice
and Delinquency Prevention, July 1989:9-10.
11. Stutz, William, Victim Awareness Education Program Evaluation,
Olympia, WA: Washington State Department of Corrections, May 1994.
See also Umbreit, with Coates and Kalanj, Victim Meets Offender;
Schneider, "Restitution and Recidivism Rates of Juvenile Offenders"; and
Consedine, Restorative Justice, 24.
12. See, for example, Clark, S.H., E. Valente, Jr., and R.R. Mace,
Mediation of Interpersonal Disputes: An Evaluation of North Carolina's
Programs, Chapel Hill, NC: Mediation Network of North Carolina, 1992.
The findings were statistically significant, however, in only one of the
three counties studied. As with other studies, victims in the diverted
projects reported high satisfaction.
13. For the cases referred to mediation, the number of repeat calls for
service to the same address dropped 83 percent (from 272 to 47) compared
to callbacks for cases processed routinely, which dropped 17 percent (from
118 to 98). Researchers theorize that the dispute settlement approach is
better able to solve repeat problems, thus freeing up substantial police
time. Shepard, Roosevelt, "Executive Summary, Neighborhood Dispute
Settlement: An Evaluation Report," Harrisburg, PA: Board of Directors,
Neighborhood Dispute Settlement of Dauphine County, 1995. Subsequent
updated data were submitted by Program Director Stephen J. Roy.
14. Clark, Valente, and Mace, Mediation of Interpersonal Disputes; and
Umbreit, Mark, How To Increase Referrals to Victim-Offender Mediation
Programs, Ontario, Canada: Fund for Dispute Resolution, 1993.
15. Keilitz (ed.), National Symposium on Court-Connected Dispute
Resolution Research.
16. Recently, 47 percent of police chiefs and sheriffs surveyed were
unclear about the practical meaning of community policing. See Wycoff,
Mary Ann, Community Policing Strategies, Research Preview,
Washington, DC: U.S. Department of Justice, National Institute of Justice,
November 1995.
17. In 1994, the American Bar Association (ABA) endorsed
victim-offender dialogue programs urging that the choice to participate be
voluntary. "ABA Endorsement of Victim-Offender Mediation/Dialogue
Programs," approved by the ABA House of Delegates, August 1994,
unpublished paper. Victim advocates joined in the ABA's
recommendations.
18. Burford, Gale, and Joan Pennell, "Family Group Decision Making:
Generating Indigenous Structures for Resolving Family Violence,"
Protecting Children 12(3)(1996); McElrea, F.W.M., "Restorative Justice:
The New Zealand Youth Court: A Model for Development in Other
Courts?" Journal of Judicial Administration 4(1994); and Immarigeon,
Russ, "Family Conferences, Juvenile Offenders, and Accountability," The
New York State Child Advocate 3(Fall 1994).
19. Gaebler, Ted, and David Osborne, Reinventing Government: How the
Entrepreneurial Spirit Is Transforming the Public Sector, Reading, MA:
Addison-Wesley Publishing Company, 1992.
-------------------------------
Varieties of Restorative Justice Practices
Victim impact statements provide an opportunity for victims to express
their concerns to the prosecutors and the court.
Victim impact panels give victims an opportunity to confront groups of
offenders -- not necessarily the ones who committed their crimes -- and to
talk about the anger and hurt caused by the crime.
Family group conferences are an indigenous Maori approach recently
being adapted to the majority culture in some areas of New Zealand,
Australia, and the United States. These group victim-offender mediations
include family members of both victims and offenders.[1]
Sentencing circles are an American and Canadian Indian approach that is
being revived. They involve a wide array of interested parties, including
those closest to the victim and offender and others likely to affect their
future. Saskatchewan is increasingly using sentencing circles.[2]
The Balanced and Restorative Justice (BARJ) project, which is supported
by the U.S. Department of Justice's Office of Juvenile Justice and
Delinquency Prevention and is in place in several sites,[3] calls for every
sanction involving juveniles to include consideration of public safety,
accountability to victim and community, and the development of
competency by offenders.
Vermont uses citizen reparative boards to determine the nature and details
of the conditions of probation for convicted offenders. Trained volunteers
provide offenders with a clear understanding of the impact their crimes
had on the community as well as an appropriate and relevant assignment
to repair the damage.
Restorative justice sentencing plans are being developed in Winnipeg,
Canada, as strategies that are individualized to the offender and victim and
are cost-effective sanctions that help repair the harm.[4]
Notes
1. McElrea, F.W.M., "Restorative Justice -- The New Zealand Youth
Court: A Model for Development in Other Courts?" Journal of Judicial
Administration 4(1994); and Immarigeon, Russ, "Family Conferences,
Juvenile Offenders, and Accountability," The New York State Child
Advocate 3(Fall 1994).
2. Stuart, Barry, "Circle Sentencing -- Mediation and Consensus: Turning
Swords into Ploughshares," Accord 14(1)(June 1995).
3. Bazemore, Gordon, and Mark Umbreit, Balanced and Restorative
Justice Program Summary, Washington, DC: U.S. Department of Justice,
Office of Juvenile Justice and Delinquency Prevention, October 1994.
4. The Restorative Resolutions Project in operation in Winnipeg, Canada,
prepares client-specific plans based on restorative principles. See
Galaway, Burt, and Gord Richardson, "Evaluation of the Restorative
Resolutions Project of The John Howard Society of Manitoba, Final
Report," Winnipeg, Canada: University of Manitoba, June 1995.
-------------------------------
Protecting Public Transportation From Terrorists
by Eric Barnes
-------------------------------
Eric Barnes is the operations and planning coordinator with the National
Law Enforcement and Corrections Technology Center-Southeast Region.
Contributors to this article include Marj P. Leaming, Ph.D., NIJ program
manager, and Linda Cavazos, NIJ intern.
-------------------------------
Few Americans have been victims of terrorist attacks, but the general
public's peace of mind and confidence in Federal, State, and local
government can be shattered by such devastating events as the bombings
at the World Trade Center, Oklahoma City's Murrah Federal Building, and
Atlanta's Centennial Park. These acts have underscored the harsh reality
that citizens of the United States are not immune from terrorist targeting.
The number of terrorist groups have grown substantially during the 1990s,
both domestically and internationally. The U.S. Department of State has
designated 30 foreign extremist organizations as terrorist groups; many of
these operate within the United States.[1] The Federal Bureau of
Investigation (FBI) has identified an ever-increasing number of organized
or ad hoc domestic terrorist groups with political and social agendas.
When President Clinton signed the Antiterrorism and Effective Death
Penalty Act of 1996 (Public Law 104-132) on April 24, 1996, he ensured
that developing strategies and enhancing capabilities to combat domestic
and international threats will continue to receive high priority.
Transit systems as targets
Metropolitan public transportation networks are enticing targets for
terrorists because they typically carry large numbers of people in a
concentrated, predictable geographic area under routine timeframes. (See
"What Is Land Transportation?") They also are highly accessible.
According to the U.S. Department of Transportation, there were 702
violent attacks against transportation and transportation infrastructures
worldwide in 1996. Fewer than 2 percent of these attacks occurred in the
United States. In addition, the U.S. Department of State recorded 296
international terrorist attacks in 1996. Ninety-two of these attacks -- or
nearly one-third -- were against transportation and transportation
infrastructures.[2]
European, Middle Eastern, and Asian countries rely on their public transit
systems more heavily than the United States and have experienced more
terrorist attacks than the United States. Yet even officials in these more
experienced countries could not prevent the Sarin gas attacks on the Tokyo
subway or bombings on Paris trains.
Most American cities give responsibility for transportation security to their
municipal law enforcement agencies, although some larger municipalities
support specifically designated transportation security forces. These
officers are trained to handle assault, larceny, vandalism, fare evasion, and
similar offenses, but most lack the specialized training and advanced
protective gear and equipment needed to respond to the enormous death
and destruction that can occur in a terrorist attack.
Formulating the Federal policy response
The Federal response to protecting public transportation systems involves
many agencies working toward two primary goals: (1) to enhance the
capability of local agencies to detect and prevent a terrorist attack, and (2)
to improve the emergency response and containment capabilities after an
attack.
Within the U.S. Department of Justice, the National Institute of Justice
(NIJ) is leading the effort to identify technology needs and priorities,
develop enhanced capabilities, and bring newly developed products to the
commercial market. To accomplish its goal, NIJ participates in the
activities of three groups with different missions related to
counterterrorism: (1) the G-7 plus Russia, which is composed of
policymakers and experts with an international focus; (2) the Infrastructure
Protection Task Force, which works to prevent terrorist acts against the
infrastructures of the United States; and (3) the Technical Support
Working Group, which focuses on developing technology to respond to all
types of domestic terrorism. Each is discussed below.
The G-7 plus Russia. The advanced industrial nations (Canada, France,
Germany, Great Britain, Italy, Japan, and the United States -- the G-7 --
plus Russia) met at the Lyons Summit in France on July 30, 1996, and
adopted a 25-point plan calling for close cooperation in international
efforts to combat terrorist acts. The plan included tightened control on
firearms and explosives, improved bomb detection methods, prevention of
terrorist communications on the Internet, and faster exchange of
information on terrorist activities, including those involving chemical,
biological, or nuclear materials.
U.S. Attorney General Janet Reno led the United States delegation to the
Lyons Summit. Based on commitments made at the Lyons meeting, two
gatherings for land transportation security policymakers were held in
Washington, D.C., in November 1996 and April 1997. The international
strategy continues to develop through these cooperative meetings.
Infrastructure Protection Task Force. This domestic interagency task force,
which is chaired by the FBI, is mandated by Congress and the President to
identify and coordinate government and private-sector efforts to protect
the United States' critical infrastructures from debilitating threats and
ensure their continued operation.[3]
Transportation is one of the eight critical national infrastructures
determined by the President and Congress to be of such importance that its
incapacity or destruction would have a dramatic effect on the defense,
economic security, and public welfare of the United States.[4] Many of the
critical infrastructures are privately owned and operated, thus necessitating
a partnership between the private sector and government agencies.
The task force considers both physical threats to facilities and cyberthreats
to controlling information components. Participants are:
Federal Bureau of Investigation (chair)
Department of Justice
Department of Defense
Department of Energy
Department of Transportation
Central Intelligence Agency
Defense Information Systems Agency
National Communications System
National Security Agency
Department of the Treasury
National Institute of Standards and Technology
Technical Support Working Group. The Department of Justice also
participates in the Technical Support Working Group (TSWG), which was
established by the National Security Council's Policy Coordinating
Committee on Terrorism. TSWG conducts rapid prototyping research and
development related to counterterrorism, with primary funding from the
U.S. Departments of State and Defense. Members of the U.S. Departments
of Defense and Energy cochair the group.
TSWG brings together technical developers, such as national laboratories,
to discuss how technology can best meet identified needs, the level of
effort required to develop capabilities, and ways to commercialize
products. TSWG's designated research priorities through fiscal year 1998
include the following:
o A new first-responder mask, designed for chemical and biological
weapons protection and ease of breathing and adequate vision, that
provides 12-hour protection in a one-size-fits-all design.
o A mechanical car bomb extractor consisting of a saw mounted on an
articulating arm that would be integrated with existing bomb squad robots
to provide remote operations and removal.
o A portable, easy-to-use, real-time, and digital X-ray unit to inspect
suspicious packages.
o A small percussion-activated nonelectric device that fires shotgun
cartridges filled with liquid at a bomb and disrupts the bomb's circuitry but
leaves evidence intact.
o An enhanced explosives ordnance disposal suit providing blast
resistance and chemical and biological protection in a single unit.
o A chemical and biological mitigation system consisting of a tent filled
with aqueous foam placed around a bomb delivery device to mitigate
dispersion effects.
o Several enhanced chemical agent detection devices.
Focus groups help define needs and identify priorities
As the United States prepared its position paper on counterterrorism for
submission to the G-7, NIJ and the U.S. Department of Transportation
surveyed select groups of people closely involved in issues of terrorist
attacks on land transportation systems, including first responders and
transportation security officials. (See "Assessing Technology Needs to
Combat Terrorism.")
Transportation and security officials served as a sounding board for an
upcoming international conference on land transportation security
technology. (See "International Conference on Land Transportation
Security Technology.") Participants were particularly interested in training
packages and products, especially a new training program the Bureau of
Justice Assistance is offering to first responders in more than 140
jurisdictions. (See "For More Information . . . .")
Formulating the field response
NIJ's response to identified counterterrorism needs falls into two broad
categories -- technology and training.
Develop new technologies. NIJ is entering the second year of an initiative
to put better counterterrorism tools into the hands of State and local law
enforcement officers. (See "Examples of Counterterrorism Technology.")
NIJ's approach, which takes advantage of existing technology to maximize
the impact of the funds provided by Congress, is two-pronged:
o Identify potential solutions related to infrastructure security, hostage
rescue, explosive detection and remediation, and information technology.
These activities are managed for NIJ by the Joint Program Steering Group
(which is cosponsored by NIJ and the U.S. Department of Defense's
Defense Advanced Research Projects Agency) and coordinated with
agencies involved in combating terrorism, such as the FBI.
o Develop standards for these new technologies funded by NIJ and
managed by the U.S. Department of Commerce's Office of Law
Enforcement Standards.
Several research and development efforts are already generating products.
Two examples of concealed weapon detection systems are now being
demonstrated. A highly sensitive prototype electromagnetic system with a
low false alarm rate is being demonstrated in Bannock County, Idaho. A
portable, through-the-wall surveillance system that employs radar
technology was demonstrated with the Los Angeles County Sheriff's
Department during summer 1997. In addition, NIJ, the FBI, and the U.S.
Navy will participate in the evaluation of a state-of-the-art, X-ray-based
explosive diagnostic system.
As new technology develops and existing technology improves, NIJ
identifies and upgrades high-priority advancements in combating terrorism
and creates new standards to ensure that those technologies are adequate
and compatible with other relevant systems.[5]
Training for first responders. To give law enforcement and first responders
practice handling terrorist attacks, NIJ, through its National Law
Enforcement and Corrections Technology Center-Southeast Region, is
developing a mock transportation security exercise in partnership with
Oak Ridge National Laboratories.
The exercise will provide a venue for selected law enforcement and
transportation security agencies to face various scenarios of hostage,
explosive, and chemical attacks on public transportation systems.[6] It will
also showcase new products and technologies to support the
counterterrorism operation and demonstrate their capabilities. The rail
lines, tunnels, and facilities at Oak Ridge, supplemented by actual public
transit railcars and buses, will provide an excellent training ground for this
endeavor.
Videotape and training materials regarding the operation and application
of technological tools will be produced and provided to law enforcement,
transportation security, and public safety agencies.
Training for bomb disposal teams. Another hands-on training experience,
Operation Albuquerque, is a series of exercises designed for teams that
handle bombs and other explosives. NIJ is sponsoring the training in
conjunction with Sandia National Labs and the National Law Enforcement
Corrections and Technology Center-Rocky Mountain Region.
Sandia Labs staff plant mock explosive devices throughout Albuquerque,
New Mexico, and participant teams try to locate and defuse them.
Realistic scenarios test the planning, procedures, and command and
control of emergency bomb response operations. The exercise also
showcases technology and evaluates products such as a bomb disabler that
will be used against low-yield explosive devices.
Interactive training resources. NIJ is developing training tools to help law
enforcement agencies learn about virtual reality and training simulation
technology. These tools are being developed in partnership with the
University of Central Florida, the Naval Air Warfare Center Training
Systems Division, and the U.S. Army Simulation, Training &
Instrumentation Command.
The interactive Bomb Threat Training Simulator gives land transportation
security personnel training related to bomb threats. The training consists of
three modules, each of which responds to a particular aspect of a typical
bomb threat scenario: receipt of the threat, assessment of its seriousness,
and response; proper searching of the building; and selection of evacuation
routes. The simulation ends with an evaluation of the trainees'
performance. The computer-based nature of the training allows a greater
number of people to be trained than might otherwise be possible due to
time, cost, or operational considerations.
Another interactive simulator training is the Weapons Team Engagement
Trainer, which provides trainees an opportunity to confront armed
adversaries in an interactive, realistic scenario. Through the training,
hostage rescue units and SWAT teams improve their decisionmaking,
tactical, and marksmanship skills. Wall-sized video screens play scenarios
for users outfitted with specially designed weapons and Multiple
Integrated Laser Engagement Systems (MILES) that record when both
offenders and users are "hit." Cameras record trainee actions so the system
can replay scenes and stress important points.
Plowshares is another interactive emergency management training
program. Now under development by the U.S. Army, the system was
originally designed to train personnel to respond to natural disasters, but it
can be modified to portray a scenario in which terrorists attack public
transportation networks. Plowshares offers training on coordinating a
response to large-scale disasters.
Transferring excess Federal property to local law enforcement. To enhance
transportation security, the Section 1033 Program (named for the
legislation that created it) allows State and local law enforcement and
public safety agencies to acquire U.S. Department of Defense equipment
for use against terrorism at no (or low) cost. Coupled with standard State
surplus programs and the complementary 1122 Program (which authorizes
State use of the General Services Administration purchasing procedures),
the Section 1033 Program can greatly enhance the capability of agencies
with counterterrorism responsibilities by making it easier for them to
purchase equipment. NIJ is the U.S. Department of Justice focal point for
these excess property programs.[7]
The commitment
The Attorney General is committed to thwarting and apprehending both
foreign and domestic terrorists who attempt to commit criminal acts
against U.S. citizens. Enhancing the capability of State and local law
enforcement and public safety officers to counter terrorism requires the
combined efforts of many agencies working collaboratively. These efforts
involve identifying areas for research and development, sharing the
lessons learned from past domestic and international encounters with
terrorists, and developing and applying appropriate training and
operational techniques.
Notes
1. Giacomo, Carol, "U.S. Designates 30 Foreign Groups as Terrorist,"
Reuters National News, October 8, 1997.
2. U.S. Department of State, Patterns of Global Terrorism 1996, Office of
the Secretary of State, Office of Coordinator for Counterterrorism,
Department of State Publication No. 10433, April 1997.
3. The Infrastructure Protection Task Force (IPTF) was created on July 15,
1996, when President Clinton signed Executive Order 13010. IPTF is a
component of the President's Commission on Critical Infrastructure
Protection.
4. In addition to transportation, the task force may consider other major
infrastructure categories, including banking and finance, continuity of
government services, electrical power, emergency services, gas and oil
distribution and storage, telecommunications, and water supply systems.
5. Among the standards now in development are NIJ Standard 0101.03,
"Ballistic Resistance of Police Body Armor"; NIJ Standard 0601.00,
"Walk-Through Metal Detectors for Use in Weapons Detection"; and NIJ
Standard 0603.00, "X-ray Systems for Bomb Disarmament." Other tasks
include the development of law enforcement community communications
standards, concealed weapons detectors operating on different physical
principles from those of existing metal detectors, and digital
communications intercept systems.
6. Participation at training sessions is by invitation only. For more
information, contact NLECTC-Rocky Mountain Region at 800-416-8086.
7. For more information, contact Ken Dover at NLECTC-Southeast
Region at 800-292-4385.
-------------------------------
What Is Land Transportation?
Land transportation in the United States represents approximately $777
billion, or 11 percent of the gross domestic product. Disruption of
transportation infrastructure affects a massive network of commuters and
travelers, businesses, and military activities that depend on the rapid
movement of people and products.
Presently, the definition of "land transportation" is evolving, but the
general components include:
Land
o 3.9 million miles of public roads and highways.
o 6.9 million freight trucks, driven 0.2 trillion miles.
o 58 million light trucks, driven 0.7 trillion miles.
o 686,000 buses, driven 8.4 billion miles.
o 136 million personal vehicles, driven 1.5 trillion miles.
Pipelines
o 114,000 miles of crude oil pipelines, transporting 323 billion ton-miles.
o 276,000 miles of natural gas transmission pipelines.
o 919,000 miles of natural gas distribution pipelines.
Rail and Transit
o 170,433 miles of railroad track.
o 1.2 million freight cars and 18,800 locomotives, carrying 1.3 trillion
ton-miles.
o 1,921 passenger cars and 356 passenger locomotives, carrying 20.7
million passengers.
o 43,723 transit buses, traveling 17.2 billion passenger-miles.
o 9,048 rapid and light rail trains, traveling 11.5 billion passenger-miles.
o 4,300 commuter railways, traveling 8.0 billion passenger-miles.
Source: U.S. Department of Transportation, Bureau of Transportation
Statistics, Transportation in the United States: A Review, Washington,
DC: 1997.
-------------------------------
Assessing Technology Needs to Combat Terrorism
The Antiterrorism and Effective Death Penalty Act (Public Law 104-132),
signed April 24, 1996, authorized $5 million in fiscal year 1997 for the
U.S. Department of Justice's Office of Justice Programs to develop
training services for local firefighters and emergency services personnel
and $10 million to develop counterterrorism technologies.
To determine the technology needs of State and local law enforcement,
NIJ went to the practitioners. With help from four of its regional National
Corrections and Law Enforcement Technology Centers, NIJ conducted
interviews and discussions in May 1997 with 195 representatives from 138
agencies across the country. These representatives were drawn from State
government, large and small municipalities, rural and regional agencies,
and a number of law enforcement disciplines, including transportation
security agencies, SWAT teams, hostage rescue units, and bomb squads.
The assessment is ongoing and should be completed in spring 1998. The
interim findings formed the basis of NIJ's fiscal year 1998
counterterrorism technology development program.
Among the most pressing issues raised by law enforcement participants
were cyberterrorism, intelligence collection and sharing, and improving
the ability to deal with weapons of mass destruction in situations such as
bomb threats, hostage rescues, and attacks on mass transit. Among the
most often cited technology needs to combat terrorism were the following:
o A secure national intelligence database accessible by State and local law
enforcement agencies.
o A better means of detecting and classifying explosive devices in a timely
manner.
o A secure communications link between those who first respond to the
scene.
o An improved means of detecting and classifying chemical and biological
agents in a timely manner.
o An interagency communications system for crisis management --
interoperability for the many public safety agencies that respond to the
scene. Interoperability is the ability of firefighters, for example, to
communicate with the police department's bomb squad and medical
emergency teams.
A review of the inventory of needs points to the fact that the capabilities
needed to combat terrorism are the same as those needed to combat crime
in general, with the possible exception of the capability to address the
threat posed by weapons of mass destruction. Overall, the technology
needs expressed by participants in this inventory correspond with the
technology development efforts NIJ has undertaken to address law
enforcement needs in general.
For a copy of the study, State and Local Law Enforcement Technology
Needs to Combat Terrorism -- Volume I: Inventory of Needs (January
1998), write to Dr. Peter Nacci, Deputy Chairman of the Joint Program
Steering Group, National Institute of Justice, 810 Seventh Street N.W.,
Room 7208, Washington, DC 20531.
-------------------------------
International Conference on Land Transportation Security Technology
More than 20 percent of terrorist activities occur on land transportation
systems, including trains, buses, subways, and roadways. In response to
the need to protect these systems, the National Institute of Justice, the U.S.
Department of State, and the U.S. Department of Transportation will
cosponsor the first international conference to feature new technologies
and best practices to combat terrorist activity against land transportation
systems.
The conference will be held at the Marriott Marquis in Atlanta, Georgia,
April 7-9, 1998. Both domestic and international presenters (particularly
from the G-7 nations -- Canada, France, Germany, Great Britain, Italy,
Japan, and the United States -- plus Russia), will discuss current and
emerging terrorist threats, results from case studies, lessons learned and
techniques developed during response to terrorist actions, and new
technologies. Featured technologies will include the following:
o Explosive and chemical detection systems and sensors.
o Surveillance systems and technologies.
o Information systems security and multijurisdictional command and
control structure.
o Emergency management.
o Protection/mitigation.
o Terrorism vulnerability assessments.
o Overview of 29 CFR [Code of Federal Regulations] 1910, hazardous
materials protection.
o Hands on, simulation, and virtual reality training tools.
o Enhancement of first-responder capabilities through the International
Association of Chiefs of Police "First Responder Practical Exercise."
Policymakers, transportation security professionals, and first responders
(local and State law enforcement, fire, and emergency medical services
personnel) should attend. For information on attending or exhibiting at the
conference, call Marina Leight at Government Technology, 916-363-5000,
ext. 3764, or e-mail [email protected].
-------------------------------
For More Information . . .
A great deal of information is available on terrorism and counterterrorism.
Some of the best sources are listed below:
o The National Law Enforcement and Corrections Technology Centers:
http://www.nlectc.org; NLECTC-National, 800-248-2742.
o Infrastructure Protection Task Force World Wide Web home page:
http://www.fbi.gov/programs/iptf/iptf.htm.
o Transit Security Newsletter, Office of Safety and Security, Federal
Transit Administration:
http://www.fta.dot.gov/library/program/tsn/tsn.htm.
o U.S. Department of Transportation Web page: http://www.dot.gov.
o U.S. Department of State Web page:
http://www.state.gov/www/global/terrorism/index.html.
o For information about first responder training, order FY 1997
Metropolitan Firefighter and Emergency Services National Training
Program for First Responders to Terrorist Incidents, Bureau of Justice
Assistance Fact Sheet, FS 000185, from the BJA Clearinghouse, 800-688-
4252, or obtain a copy electronically from http://www.ojp.usdoj.gov/bja
(click on "Special Programs").
-------------------------------
Examples of Counterterrorism Technology
Technologies under development that could be applied to counterterrorism
efforts include the following:
o "Bullet resistant" vests with titanium or ceramic inserts that are
lightweight, inconspicuous, and protect against rifle and handgun fire.
Enhanced helmets of the same materials are also being developed.
o Weapons detection systems that can identify a weapon containing little
or no metal at a distance of 30 feet. Multiple technologies are being
evaluated (X-ray sensors, a sensor system combining passive millimeter
wave and infrared cameras, a sensor system combining ultrasound and
radar sensors, and a low magnetic sensor system). Current efforts are
based on portal applications; portable and handheld systems are
long-range goals. The Air Force Research Laboratory in Rome, New
York, and the Office of Science and Technology's National Law
Enforcement and Corrections Technology Center-Northeast Region are
key players in this effort.
o Less-than-lethal incapacitation technologies that are both legal and
socially acceptable include eye-safe laser dazzlers, pyrotechnic devices,
enhanced pepper spray delivery systems, and net devices.
o Information sharing systems that involve both tactical communications
and existing commercial communications, such as the Internet and cellular
telephones, are being evaluated. Architectures that exchange and retrieve
data and are protected by firewalls and encryption devices, such as the
National Security Agency's FORTEZZA Card, are being demonstrated.
The National Law Enforcement and Corrections Technology Center-
Rocky Mountain Region has just finished documenting the requirements
needed for a communication system that can be used for crisis
management involving multiple public safety agencies and more than one
jurisdiction.
o Sniper fire identification systems capable of detecting and locating a
sniper to within a 10- by 10-foot area in either urban or rural
environments. The effort is focusing on developing systems that can be
handcarried, worn, or mounted on vehicles. Acoustic, integrated infrared
and/or laser systems to track shots fired back to their source are being
evaluated.
o Location and tagging systems that identify and monitor the movement of
individuals and vehicles. Accurate tagging and navigation technologies
include Global Positioning Systems, command and control systems, and
Global Information Systems. These technologies need enhancements and
miniaturization to be incorporated into decisionmaking support, to
promote rapid response to critical events, and to enhance officer
protection.
-------------------------------
Research Preview
Sentencing Guidelines: A State Perspective
Summary of a Presentation by James Austin, National Council on Crime
and Delinquency
Sentencing reform legislation mushroomed in the 1980s and 1990s. Amid
public cries of "Get tough on crime," State policymakers across the Nation
responded with stricter and harsher sentencing guidelines and laws, such
as truth in sentencing, three strikes and you're out, and mandatory
minimum sentences. These forms of structured sentencing are intended to
reduce both leniency and bias by limiting the discretion of prosecutors,
defense counsel, judges, prison officials, and parole boards whose actions
at various points in the criminal justice system affect sentences.
With funding from the National Institute of Justice (NIJ) and the Bureau
of Justice Assistance (BJA), the National Council on Crime and
Delinquency (NCCD) documented recent State sentencing legislation and
current practices. Preliminary findings indicate an initial flurry of State
interest in determinate sentencing, in which the offender is given a fixed
term that may be reduced by "good-time" credits. Nearly three-fourths of
States, however, have retained indeterminate sentencing, in which an
administrative agency -- typically a parole board -- has the authority to
release an offender and to revoke parole. A number use a blend of the two
sentencing structures. In addition, all States use some version of
mandatory minimum sentences, which are imposed by statute and target
habitual offenders and such crimes as possession of a deadly weapon,
driving under the influence of alcohol or other drugs, and drug trafficking
and possession.
In the juvenile justice system, States are making it easier to transfer
youthful offenders to adult courts. Some States are now allowing juvenile
records to be used in future adult court proceedings, opening juvenile court
proceedings to the public, and making the family, as well as the offender,
more accountable for crimes committed.
Adult corrections
The survey of State sentencing practices revealed that 36 States and the
District of Columbia continue to use indeterminate sentencing.
Additionally, the vast majority of States, including those that have adopted
determinate and sentencing guideline models, retain some form of
discretionary parole release, such as the use of good-time credits and
postrelease supervision. Only Hawaii and Utah do not allow inmates to
earn some type of good-time credit to reduce their sentences or hasten
their eligibility for parole.
Although most States retain indeterminate sentencing, sentencing in many
States is becoming more determinate through the increased use of
mandatory minimums, truth in sentencing (in which inmates are required
to serve a certain percentage of their sentences), and reductions in the
amount of good-time credits an inmate can potentially earn.
To date, 19 States and the Federal Government have sentencing
commissions, while 17 States have implemented either presumptive
sentencing guidelines (which are developed by sentencing commissions,
prescribe policies for officials to follow, and provide procedures for
departing from the guidelines) or voluntary/advisory sentencing
guidelines. Of these 17 States, 10 use presumptive guidelines while 7
States' guidelines are voluntary or advisory. (Some States have both
sentencing commissions and sentencing guidelines. However, some States
with sentencing commissions have not yet adopted guidelines, while in
one State -- Tennessee -- the commission was abolished though the
guidelines remain.)
Juvenile justice
Across the Nation, States are facilitating the process of transferring
juveniles to adult court by adding specific transferable offenses and by
lowering the maximum age for the juvenile court's jurisdiction.
Twenty-three States changed their exclusion laws (legislation specifying
which offenses are excluded from the juvenile court's jurisdiction and
must be handled in adult court) by adding crimes to be excluded, and six
lowered the age limit at which a juvenile can be transferred. Ten States
changed their judicial waiver laws (legislation enabling the juvenile judge
to waive the juvenile to adult court) by adding crimes to be waived, and 11
lowered the age limit for waivers.
As of 1995, 47 States allowed judicial waivers based on such factors as
age, current offense, criminal history, and possibility for rehabilitation.
Thirty-seven States had provisions for statutory exclusions. Eleven States
provided for prosecutorial waivers, which allow the prosecutor to decide
which court will have jurisdiction when the juvenile and adult courts have
concurrent jurisdiction. Also, 22 States provided for reverse waivers,
which allow the criminal court to transfer cases from adult to juvenile
court under certain circumstances. In 18 States, once a juvenile is waived
to adult court, all subsequent charges are prosecuted in adult court.
Possible effects on prison populations
NCCD's research included projecting prison populations for approximately
22 States. Data show that, as of mid-1997, more than 1.2 million people
were incarcerated in the United States. If current practices continue,
researchers predict, this figure will rise to 1.4 million by the year 2000. In
addition, they note that if all States adopt truth-in-sentencing regulations,
as proposed by the Federal Government, prison populations could increase
by an additional 200,000 to 300,000 by 2000. Throughout the States
included in NCCD studies, incarceration rates have gradually risen since
the early 1980s.
These numbers are not driven by an influx of prisoners into the system --
overall increases in sentence lengths are the primary factor in prison
population increases. According to NCCD researchers, in the past 5 years
the average prison stay has increased to 48 months from 30 months. This
has caused a "stacking effect" in prisons (i.e., inmates with very long
sentences cannot be released for many years), so that, with more offenders
receiving sentences of up to 25 years to life, it is only when inmates die in
prison that the population will stabilize or begin to decline.
Future developments
It is likely that in the next decade the States will continue to move toward
more blended systems of determinate and indeterminate sentencing. To
achieve more flexibility in sentencing, many States that passed fixed
sentencing guidelines are now beginning to use indeterminate sentences
with parole for certain types of offenses, whereas States with
indeterminate sentencing practices are assigning fixed sentence lengths to
particular crimes.
NCCD researchers emphasize that researchers, practitioners, and
especially policymakers will find it useful to be aware of the impact of
sentencing reforms on the correctional system now and in the future. They
conclude that without major changes in sentencing laws over the next few
years, the prison population will continue to grow and to consist
increasingly of minority group members and women.
The issues raised by the adoption of sentencing reforms offer opportunities
for further study. Researchers may want to look at the efficiency of
different ways of managing an inmate population whose size and
characteristics are changing and at the relative cost-effectiveness of these
different techniques.
-------------------------------
This document is based on Dr. James Austin's presentation to an audience
of researchers and criminal justice practitioners as part of NIJ's Research
in Progress Seminar Series. The study was sponsored in part by NIJ
(contract number 95-IJ-CX-0026). Dr. Austin is the Executive Vice
President of the National Council on Crime and Delinquency. A 60-minute
VHS videotape of the seminar, Sentencing Guidelines: A State
Perspective, is available for $19 ($24 in Canada and other countries). Ask
for NCJ 164726.
-------------------------------
Points of view in this document do not necessarily reflect the official
position of the U.S. Department of Justice.
FS 000197
-------------------------------
New & Noteworthy
NIJ revamps its Web page
The National Institute of Justice has completely revised its home page on
the World Wide Web -- http://www.ojp.usdoj.gov/nij. Bookmark this site
and stay up to date on:
o NIJ funding opportunities.
o Program activities.
o Recently released publications and products in many topic areas.
o Contact information for NIJ staff.
o Recent awards as well as the complete portfolio of NIJ research projects.
The page also includes a keyword search within NIJ, NCJRS, or OJP.NIJ
updates its home page regularly, so click the "What's New" button each
time you visit.
Training system for SWAT teams wins award
The Naval Air Warfare Center Training Systems Division (NAWCTSD)
received an Award of Excellence in Technology Transfer from the Federal
Laboratory Consortium for its upgrade of the Weapons Team Engagement
Training (WTET) system and its transfer of this technology to law
enforcement agencies.
Developed with NIJ funding, the WTET system offers a realistic,
interactive environment to train and evaluate the proficiency of hostage
rescue units and SWAT teams. It consists of wall-sized videoscreens that
play hostage scenarios for users outfitted with specially designed weapons
and laser tags that record when the user is "hit." The system can replay the
scenario and give the trainee information on the location, number of
"shots" fired, and number of hits.
The Federal Laboratory Consortium's award recognizes the outstanding
job done by member laboratories in developing and transferring
technology to outside partners, primarily in the private sector. The award
will be presented as part of the Consortium's annual Technology Transfer
Meeting in San Antonio, Texas, in May 1998.
Criminal justice programs win coveted innovations award
Programs to improve criminal justice operations were among the winners
and finalists in the most recent round of awards given by the prestigious
Innovations in American Government competition. Each year, the Ford
Foundation, which funds the competition, and Harvard University's John
F. Kennedy School of Government, which administers it in partnership
with the Council for Excellence in Government, selects 25 programs that
have taken a fresh approach to a problem in government in such areas as
criminal justice, education, transportation, and the environment.
1997 winners
o Operation Cease Fire, based in the Boston Police Department, deals with
gang violence preemptively by identifying potential "hot spots" of gang
trouble. The program has virtually eliminated deaths of young people by
guns through intervention that taps the knowledge of a wide range of
stakeholders, including clergy, community leaders, academics, and gang
members themselves. The program is summarized in Juvenile Gun
Violence and Gun Markets in Boston, by David Kennedy, Research
Preview, March 1997, FS 000160. The program is also the subject of an
NIJ-sponsored evaluation, which will be reported in forthcoming NIJ
publications.
o Structured sentencing is a legislative approach to managing prison
growth while ensuring that violent offenders serve their full sentences. The
legislation, devised by North Carolina's Sentencing and Policy Advisory
Commission and passed by the General Assembly, mandates sentences
based on the severity of the crime and the offender's record. Early-release
parole is eliminated and career and violent criminals are channeled into
longer prison stays. The program is the topic of an NIJ report, Managing
Prison Growth in North Carolina Through Structured Sentencing, by
Ronald F. Wright, Program Focus, February 1998, NCJ 168944. (See page
35 for more information.) The approach is also the subject of an
NIJ-sponsored evaluation, which will be reported in forthcoming
publications.
1997 finalists
o Disarming the criminal, a program of the Bureau of Alcohol, Tobacco
and Firearms of the U.S. Department of the Treasury, aims to reduce
firearms violence by tracing illegal firearms to their sources and applying
aggressive, focused enforcement. In 1996, the netting of 2,230 traffickers
by the program prevented an estimated 53,500 firearms-related crimes.
o First Offender Prostitution Program, operated by the San Francisco
District Attorney's Office in collaboration with law enforcement, public
health, and private agencies, offers women and girls counseling and
resources to help them escape prostitution and allows "johns" who are
first-time offenders to pay a fine and attend an educational program
instead of being prosecuted.
o The Constituent Services Office of Missouri's Department of Corrections
has improved communication with and services to prisoners, lowered
costs, and reduced the number of inmate lawsuits by identifying and
addressing questions and complaints about inmate medical services,
visiting procedures, and transfer policies.
o Healthy Start, operated by the State of Hawaii's Department of Health,
prevents child abuse and neglect by identifying problems early and
offering intensive home-based services to families with young children.
Healthy Start is described in Helping To Prevent Child Abuse -- and
Future Criminal Consequences: Hawai'i Healthy Start, by Ralph B. Earle,
Program Focus, October 1995, NCJ 156216.
o Gallery 37, a program of the Chicago Department of Cultural Affairs,
offers arts-based employment and skills to Chicago's 14- to 21-year-olds,
including at-risk young people. Designed to improve job skills and work
habits, Gallery 37 has attracted national and international attention.
For more information. More details about the winners and finalists from
this year and previous years and about the Innovations in American
Government program are available at Web site
http://www.ksg.harvard.edu/innovations, or by calling 617-495-0558.
Video series spotlights intermediate sanctions
Judges and policy teams interested in a broader, more practical
understanding of intermediate sanctions can turn to a new instructional
video seminar series. Facilitating the Appropriate Use of Intermediate
Sanctions conveys lessons learned from almost 100 jurisdictions that have
worked with a policy team approach to intermediate sanctions. This work,
begun through the joint efforts of the State Justice Institute and the
National Institute of Corrections and its National Intermediate Sanctions
Project, provides assistance to jurisdictions around the Nation interested in
forming policy teams to guide the appropriate use of intermediate
sanctions. The Center for Effective Public Policy produced the videos.
The tapes combine footage from the April 1996 broadcast of a national
videoconference on the same topic with extensive new footage of
interviews, panel discussions, and presentations from a wide variety of
practitioners. State Justice Institute board member Tommy Jewell, a judge
in the Second Judicial District, Albuquerque, New Mexico, hosts the
series. Roger Warren, President of the National Center for State Courts
and a former judge in Sacramento, California, serves as moderator.
Titles of each module are:
o Seminar 1: An Introduction to Intermediate Sanctions for Judges.
o Seminar 2: The Judicial Role in the Development and Use of
Intermediate Sanctions.
o Seminar 3: The Policy Team's Role in the Developing and Implementing
Intermediate Sanctions.
o Seminar 4: A Guide for a Policy Team Meeting on the Appropriate Use
of Intermediate Sanctions.
The first three seminars each take about 11/2 hours to view and discuss;
the fourth requires a half-day to complete the viewing and discussion
portions. Each is accompanied by materials to guide discussion.
A complete set of the seminars, including videotapes, instructions,
participant materials, and reference materials, is available from State
Justice Institute-designated libraries and the judicial educator in each
State. Copies of the series are also available directly from the Center for
Effective Public Policy, 8403 Colesville Road, Silver Spring, MD 20910;
telephone 301-589-9383; or fax 301-589-3505. The videotapes are free,
but please include $25 for shipping and handling.
High-tech police car is online and ready to roll
The Advanced Law Enforcement and Response Technology (ALERT)
system is a powerful mix of computer and communications technology
incorporated into the front seat of police squad cars. The integrated system
is expected to revolutionize the way police officers conduct business.
Originally the brainchild of the U.S. Department of Transportation,
ALERT has evolved into a cooperative intergovernmental undertaking and
cofunded by NIJ, the International Association of Chiefs of Police, and
other partners. The ALERT technology gives police officers immediate
access to information at the touch of a screen or button. The system
integrates a handheld, wireless computer with a dashboard-mounted touch
screen that controls all of a vehicle's emergency response functions,
including lights, sirens, videocameras, Global Positioning System
coordinates, radio, and radar. ALERT technology was developed by the
Texas Transportation Institute.
All necessary citation and accident forms are stored within ALERT's
handheld unit. Police officers can enter data at the scene of an incident and
access Federal, State, and local traffic and criminal records without
returning to their vehicles. Using ALERT's digital camera, officers can
capture visual information in the field and send images electronically to
local and national databases. Using the same technology, local and
national law enforcement departments can send images to officers in the
field. Depending on the complexity of an incident, an officer can reduce
data collection time 20 to 50 percent.
The ALERT system enhances officer safety by providing critical
information regarding stopped subjects and vehicles, improving data
collection and dissemination, and optimizing incident response and
management. Ultimately, the system may be customized for use in other
first-response applications, including emergency medical services,
commercial vehicle operations, and roadside services.
For more information about the ALERT vehicle, point your Web browser
to http://alert.tamu.edu, or write to Texas Transportation Institute, Texas
A&M University, College Station, TX 77843-3135.
NIJ experiences remarkable growth
Stimulated by the 1994 Crime Act, NIJ's programs and staff have grown
considerably. The portfolio of activities related to the Crime Act priority
areas (policing, violence against women, sentencing and corrections, and
drug courts) now totals roughly $60 million. The science and technology
portfolio, because of strong support from Congress, has more than tripled
in the last 2 years.
Major partnerships with other Federal agencies include a 5-year,
approximately $35 million joint research effort with the Centers for
Disease Control and Prevention on violence against women. NIJ and the
Office of National Drug Control Policy are launching a multisite research
demonstration project to test a systemwide approach to drug abuse among
offenders. NIJ is adding 12 new sites to the 23 now in the Arrestee Drug
Abuse Monitoring (ADAM) program. (See page 31 for more details about
ADAM.)
To learn more about NIJ's expanding programs and activities and the staff
involved in them, visit the NIJ home page at http://www.ojp.usdoj.gov/nij.
-------------------------------
Solicitations
Watch the NIJ Web page (http://www.ojp.usdoj.gov/nij) for funding
announcements, or call NCJRS at 800-851-4320 to place your name on a
mailing list to receive a specific solicitation.
Residential Substance Abuse Treatment. NIJ, in collaboration with the
Corrections Program Office, continues to assemble a portfolio of
evaluation projects to provide a comprehensive assessment of the
Residential Substance Abuse Treatment for State Prisoners program. A
solicitation is now available that pertains to locally conducted process and
outcome evaluations of programs that develop an inmate's cognitive,
behavioral, social, vocational, and other skills to solve substance abuse
and related problems.
Process evaluations are due May 5 and September 15, 1998. Outcome
evaluations are due April 14 and August 18, 1998, and February 16, 1999.
Development of guidelines for questioned documents. NIJ will request
proposals in two interest areas: (1) development of scientifically based and
validated guidelines for evaluating and identifying questioned documents;
and (2) assessment, evaluation, and validation of the five major questioned
document database technologies (those developed by the FBI, Secret
Service, National Institute of Standards and Technology, and Carol
Chaski). Funding is expected to be approximately $300,000. The release
date is anticipated to be May 1998, with a due date of August 1998.
Fellowships. NIJ offers several types of study fellowships for graduate
students, practitioners, and academics. They include the Graduate
Research Fellowship, Visiting Fellowship, Crime Mapping Fellowship,
and Data Resources Program Fellowship. Submissions are accepted
throughout the year. An announcement about the John B. Pickett
Fellowship at Harvard University's John F. Kennedy School of
Government is expected soon.
Violence against women. A solicitation is expected in late April for
proposals for research and evaluation on violence against women. The
solicitation will have five parts: partnerships, experimental designs,
longitudinal studies, program evaluations, and basic research.
Law enforcement family support. A new solicitation will be issued on the
NIJ Web page on March 13 (and mailed shortly after) for proposals for
demonstration services, training, research, and criminal justice system
development related to stress reduction for police officers and their
families.
-------------------------------
NIJ's investigator-initiated solicitation
NIJ is seeking proposals for investigator-initiated criminal justice research
and development. Prospective investigators are invited to submit proposals
to explore topics relevant to State and local criminal justice policy and
practice. Awards generally range from $25,000 to $300,000 for 1- to
2-year projects.
The deadlines for receipt of proposals under the two funding cycles are
June 16 and December 15, 1998.
Call NCJRS at 800-851-3420 to order Solicitation for
Investigator-Initiated Research, 1998 (SL 000240). Or access NIJ on the
World Wide Web at http://www.ojp.usdoj.gov/nij/funding.htm for online
copies and guidelines.
Of particular interest are proposals that reflect these themes:
o Rethinking justice and the processes that create just communities.
o Understanding the nexus between crime and its social context.
o Breaking the cycle of crime by testing research-based interventions.
o Creating the tools and technologies that meet the needs of practitioners.
o Expanding the horizons through interdisciplinary and international
perspectives.
-------------------------------
NIJ Awards
Recipients of ADAM awards announced
The Institute's former Drug Use Forecasting (DUF) program has been
expanded and enhanced. Renamed Arrestee Drug Abuse Monitoring
(ADAM), the program added 12 new sites in December and plans to
increase the sites to 75 by the year 2000, significantly enhancing the
program's role as a research platform for conducting studies of
drug-related crime. Once fully developed, ADAM will collect information
about drug use in cities, suburbs, rural areas, and Native American sites.
The ADAM program consists of collecting and analyzing interviews and
urinalyses of adult and juvenile arrestees and detainees in police lockups
to respond to and predict drug use in ADAM communities.
The new sites are presented in exhibit 1. They join the established sites:
Atlanta, Birmingham, Chicago, Cleveland, Dallas, Denver, Detroit, Ft.
Lauderdale, Houston, Indianapolis, Los Angeles, Manhattan, Miami, New
Orleans, Omaha, Philadelphia, Phoenix, Portland, San Antonio, San
Diego, San Jose, St. Louis, and Washington, D.C.
NIJ awards funds for law enforcement family support
The Law Enforcement Family Support program was mandated by the
1994 Crime Act to respond to the negative consequences job-related stress
can exert on law enforcement personnel and their families.
NIJ issued two rounds of solicitations seeking proposals for innovative
approaches to reducing the stress imposed by law enforcement work. The
recipients, listed in exhibit 2, will manage projects that range from
educational training programs to counseling to peer support groups to
improved management for handling critical incidents.
-------------------------------
Final Reports
The following final reports -- in manuscript form as submitted by authors -
- pertain to completed NIJ-sponsored research projects. The reports are
available from NCJRS through interlibrary loan and as photocopies. For
information about applicable fees, call NCJRS at 800-851-3420.
"Preventing Assassination: Secret Service Exceptional Case Study
Project," by R.A. Fein and B. Vossekuil, ACCN 167224, 1997, 182 pp.,
grant number 92-IJ-CX-0013. The authors collected data about all persons
known to have engaged in assassination-type behaviors directed at
prominent public officials in the United States since 1949. The data
indicate that assassinations and attacks on public officials result from
patterns of discernable thinking and behavior.
"National Survey of Municipal Police Departments on Urban Quality of
Life Initiatives," by C.A. Cosgrove and A.C. Grant, ACCN 167172, 1997,
104 pp., grant number 95-IJ-CX-0050. This study collected information on
how local agencies respond to panhandling, public incivilities, disorderly
conduct, unauthorized camping in public places, and juvenile curfews. The
analysis focused on the law enforcement response, law enforcement
tactics, and the use of ordinances to prevent public disorder problems.
"Experimental Evaluation of Drug Testing and Treatment Interventions for
Probationers in Maricopa County, Arizona," by E.P. Deschenes, S. Turner,
P.W. Greenwood, and J. Chiesa, ACCN 165181, 1996, 172 pp., grant
number 91-DD-CX-K050. Maricopa County implemented a drug testing
and alternative interventions program for adult probationers convicted of
drug possession. The findings suggest that increasing drug testing provides
a quick measure of substance use and other technical violations and that
the drug court program has been successful in providing treatment for drug
offenders but has had little impact on recidivism.
"Corporate Sector Response to Domestic Violence," by N.E. Isaac, ACCN
166617, 1997, 104 pp., grant number 94-IJ-CX-0050. The corporate sector
increasingly recognizes that domestic violence is a problem employees are
likely to bring to employee assistance programs. The study examines the
issues through interviews and an indepth case study at Polaroid
Corporation, which has been particularly proactive in responding to
domestic violence as an issue both for employees and within the
community.
-------------------------------
NIJ in the Journals
The following articles are based on studies sponsored by NIJ. Copies are
available on loan from NCJRS; in some cases, photocopies may be
obtained. For information on availability, call NCJRS at 800-851-3420; or
send an Internet e-mail to [email protected]. Please cite the accession
(ACCN) number.
"Boys' Experimentation and Persistence in Developmental Pathways
Toward Serious Delinquency," Journal of Child and Family Studies
6(3)(1997):321-357, by R. Loeber, K. Keenan, and Q. Zhang, ACCN
169595. Mental health professionals (for example, social workers, child
care workers, parole officers, and psychologists) need information to
better identify those young people who are most at risk, exhibit behavior
that will be only temporary or of little long-term consequence, or are likely
to show worsening problem behavior over time. In this article, the authors
expand their earlier exploration of how children's disruptive and
delinquent behavior develops over time. They distinguish between boys
who experiment and boys who persist in disruptive behavior, and they
outline pathways to serious delinquency. They also examine the
relationship between persistent disruptive behavior and a diagnosis of
Attention Deficit Hyperactivity Disorder and find that the diagnosis is
more common among boys who persist than in those who experiment.
"The Effect of a Videotaped Arrest on Public Perceptions of Police Use of
Force," Journal of Criminal Justice 25(5)(1997):381-395, by E.S. Jefferis,
R.J. Kaminski, S. Holmes, and D.E. Hanley, ACCN 169147. This article
examines the impact of a controversial, violent arrest captured on
videotape and widely broadcast on local television. Findings indicate that
the videotaped arrest had a negative impact on citizens' perceptions of
force used by police during arrest situations; the effect was substantially
greater among non-Caucasians. Furthermore, over a 10-year period,
non-Caucasians were consistently more likely than Caucasians to believe
police used force excessively.
"Evaluating a Domestic Violence Program in a Community Policing
Environment: Research Implementation Issues," Crime & Delinquency
43(3)(July 1997):279-297, by A. Jolin and C.A. Moose, grant number 95-
IJ-CX-0054, ACCN 167228. The authors trace the impact of community
policing values on the formation and operation of a special domestic
violence reduction unit, which emerged as a solution to the family
violence problem in Portland, Oregon. The article highlights the
differences between the police response to domestic violence in the
context of traditional policing versus community policing. Particular
attention is paid to the role of research in police policy formation when
community policing principles are implemented.
"Pulling Levers: Chronic Offenders, High-Crime Settings, and a Theory of
Prevention," Valparaiso University Law Review 31(2)(Spring 1997):449-
484, by D.M. Kennedy, grant number 94-IJ-CX-0056, ACCN 169596.
Professor Kennedy explains how Boston's criminal justice and social
services agencies joined forces to reduce serious youth violence in the city.
The power of the Boston approach was enhanced by strategic use of
communication between authorities and offenders. The intervention
strategy, which he calls "pulling levers," imposed costs on offenders
across many dimensions by permitting officials to apply a varied menu of
sanctions and incentives that greatly increased the effectiveness of the
strategy.
"Recidivism Rates Among Child Molesters and Rapists: A
Methodological Analysis," Law and Human Behavior 21(6)(1997):635-
659, by R.A. Prentky, A.F.S. Lee, R.A. Knight, and D. Cerce, ACCN
169594. This article addresses the high variability of sex offender
recidivism rates by examining several of the critical methodological
differences that underlie this variability. The authors used a data set of 251
sex offenders (136 rapists and 115 child molesters) discharged over a
25-year period to examine changes in recidivism as a function of changes
in dispositional definition of reoffense (i.e., whether an offender was
arrested, indicted, or convicted of another offense), categories of criminal
offenses considered, and the length of exposure time. The data indicate
that sex offenders remain at risk to reoffend long after their discharge,
sometimes as long as 15-20 years. Forensic, clinical, and policy
implications of this high variability are discussed.
-------------------------------
Recent NIJ Publications
The following recent and forthcoming NIJ publications are available in
both online and hardcopy formats. To order hardcopy, call NCJRS at 800-
851-3420; or send an e-mail to [email protected]. Electronic copies can
be downloaded from the NIJ Web site: http://www.ojp.usdoj.gov/nij.
Managing Prison Growth in North Carolina Through Structured
Sentencing, Program Focus, by Ronald F. Wright, U.S. Department of
Justice, National Institute of Justice, February 1998, 16 pp., NCJ 168944.
Not long ago, North Carolina's prisons were full of nonviolent,
low-priority offenders rather than violent, high-priority offenders. Today,
after a fundamental change in sentencing policy, North Carolina judges
can sentence more violent offenders to longer prison sentences while
sentencing less violent offenders to less costly alternatives. This report
describes how North Carolina's General Assembly and its Sentencing and
Policy Advisory Commission, working cooperatively, designed a
sentencing structure that increased the certainty and length of
imprisonment for the most serious felonies while creatively using
community and intermediate sanctions for lesser offenses.
National Guidelines for Death Investigation, Research Report, U.S.
Department of Justice, National Institute of Justice, December 1997, 48
pp., NCJ 167568. The National Institute of Justice teamed with the Bureau
of Justice Assistance and the Centers for Disease Control and Prevention
to develop the first set of National Guidelines for Death Investigation.
Until now there were no nationally accepted standards of practice for
conducting death-scene investigations. Then, in February 1998, the
first-ever national standards were released in the form of this 48-page
booklet. National Guidelines for Death Investigation outlines 29
guidelines for evaluating the body, establishing and recording information
to construct a profile of the decedent, and completing the scene
investigation. In addition, the report discusses 52 tools necessary to
thoroughly investigate a death scene.
National Guidelines for Death Investigation has been endorsed by the
National Association of Medical Examiners. It was produced with the
vigorous participation of the highly experienced officials and professionals
who served on the National Medicolegal Review Panel and with
grassroots input from a Technical Working Group of Death Investigators
consisting of 12 executive board members and 144 field committee
members.
Wireless Communications and Interoperability Among State and Local
Law Enforcement Agencies, Research in Brief, by Mary J. Taylor, Robert
C. Epper, and Thomas K. Tolman, U.S. Department of Justice, National
Institute of Justice, January 1998, 12 pp., NCJ 168945; and State and
Local Law Enforcement Wireless Communications and Interoperability: A
Quantitative Analysis, Research Report, by Mary J. Taylor, Robert C.
Epper, and Thomas K. Tolman, U.S. Department of Justice, National
Institute of Justice, January 1998, 130 pp., NCJ 168961. Routine police
work requires effective coordination and communication with other police
agencies, fire departments, and emergency medical services to mount a
well-coordinated response. But wireless communication across
jurisdictions -- interoperability -- can be difficult. This report presents the
results of a 1997 National Law Enforcement and Corrections Technology
Center survey of State and local law enforcement agencies regarding their
current and planned use of communications equipment and services. More
than half of the agencies with outdated equipment (older than 10 years)
had plans to replace or upgrade their radio systems.
In addition to presenting the quantitative data, the report describes the
agencies' experiences with common obstacles to interoperability. Limited
funds, frequency incompatibility, and the fragmented nature of the radio
spectrum currently allocated to public safety were reported to be the
biggest interoperability problems.
As a response to the recommendations to alleviate spectrum shortfalls and
promote interoperability, the Federal Communications Commission in
January 1998 allocated 24 megahertz (Mhz) to the fixed and mobile
services for public safety use. This spectrum allocation doubles the
spectrum available to public safety services, including police, fire
departments, and emergency medical services.
-------------------------------
Events
Perspectives on crime stimulate policy discussions
George Kelling on broken windows. "Broken Windows and Cultural
Pluralism" was the topic of George Kelling's lecture opening the
"Perspectives on Crime and Justice" lecture series on December 2, 1997.
Professor Kelling, a Visiting Professor at Rutgers University and Fellow at
Harvard's Kennedy School of Government, discussed the core concepts
from the widely known "Broken Windows" article he authored with James
Q. Wilson, which appeared in the Atlantic Monthly in 1982. He described
the application of the concepts to today's crime issues, emphasizing that
citizens and community groups are among the best sources for crafting
solutions and establishing neighborhood priorities.
Randall Kennedy on race and reasonable searches. In the second lecture in
the series, held February 3, Randall Kennedy, Professor of Law at the
Harvard Law School, spoke about "Race, the Police, and 'Reasonable
Suspicion.'" He proposed reforms to eliminate race as a factor in law
enforcement policies related to reasonable suspicion. He emphasized that,
except in extraordinary situations, police officers should not consider the
color of a person's skin in making a decision to stop a suspect. He believes
racial considerations can poison law enforcement-citizen relationships,
but, more importantly, race is -- with few exceptions -- an invalid factor in
determining likely guilt.
David Musto on drug use in America. Knowing the history of drug use in
the United States can serve as a useful perspective on the current substance
abuse problem. David Musto, M.D., Professor of Child Psychiatry and
History of Medicine, Yale School of Medicine, spoke about "The
American Experience with Stimulants and Opiates" at the third
Perspectives lecture on March 3. Dr. Musto reviewed the rise and fall of
drug epidemics and the alternating periods of tolerance for and
criminalization of drugs, and he suggested that public policy shapes the
response to drugs less than it is shaped by a constellation of social and
other factors.
The full presentations of these lectures are available on video from the
National Criminal Justice Reference Service (NCJRS). To order Dr.
Kelling's presentation, ask for NCJ 168103; to order Professor Kennedy's
presentation, ask for NCJ 168967; to order Dr. Musto's presentation, order
NCJ 169283. Each videotape is approximately 1 hour and costs $29.50 in
the United States and $33 in Canada and other countries. The collected
papers from last year's series are available at no charge in Perspectives on
Crime and Justice: 1996-1997 Lecture Series, NCJ 166609. For ordering
information, call NCJRS at 800-851-3420; or send an e-mail to
[email protected]. Electronic copies of Perspectives on Crime and
Justice: 1996-1997 Lecture Series can be downloaded from the Justice
Information Center Web site: http://www.ncjrs.org, or from the NIJ Web
site: http://www.ojp.usdoj.gov/nij.
Future Perspectives lectures are:
o Joan Petersilia, Ph.D., Professor of Criminology, Law, and Society,
University of California-Irvine, "If Not Prison, What? Assessing
Alternative Punishment," April 1, 1998.
o Philip J. Cook, Ph.D., Director of the Terry Sanford Institute of Policy
Studies, Duke University, "The Epidemic of Youth Gun Violence," May
5, 1998.
For more information or to register for the next Perspectives lecture,
contact the Institute for Law and Justice at 703-684-5300. Space at the
lectures is limited. To obtain information about previous Perspectives
lectures, point your Web browser to the Professional Conference Series
home page at http://www.nijpcs.org and click on "Past Conference
Materials."
Planning meetings explore new research issues
As research in a topic area continues to evolve and new issues surface, NIJ
refines its research and evaluation agenda to respond to the newest
findings and the implications for policy and practice. One method of doing
this involves holding invitation-only planning sessions with leading
practitioners, researchers, and policymakers. Recent meetings involved
child abuse and neglect, crime in Washington, D.C., and police overtime.
Child abuse and neglect interventions. Research continues to document the
link between child abuse and neglect and subsequent delinquency and
criminality. At a 2-day meeting in October 1997, 24 participants gathered
to develop research topics related to criminal justice policy and practice in
this area. Presentations focused on:
o Statutes and policies governing child abuse and neglect.
o Current services and practices.
o Child abuse and neglect interventions and theoretical perspectives.
o Federal agency initiatives and perspectives.
o Findings and lessons learned from research and intervention studies.
o Research design issues, especially as they relate to effective
demonstrations.
The commissioned papers and presentation materials are available on NIJ's
Web site (http://www.ojp.usdoj.gov/nij) or through interlibrary loan at
NCJRS, 800-851-3420.
Crime and justice in Washington, D.C. Passage of the D.C. Revitalization
Act signed by President Clinton in August 1997 gave the District of
Columbia's criminal justice leaders an opportunity to reassess and refine
the city's criminal justice system. To support the process, NIJ sponsored a
gathering in January at which local leaders and some of the country's
foremost criminal justice thinkers shared innovative ideas, discussed
strategies that are working elsewhere in the Nation, and began establishing
an agenda for the future.
Police overtime focus group. In January 1998, NIJ hosted a focus group
concerned about overtime issues that are problematic to policymakers,
management practices that assist in controlling overtime expenditures, and
ways that the Federal Government can assist in promoting progress in the
management and control of police overtime. Participants included law
enforcement officials, court systems personnel, city managers, and labor
union representatives. Observers included representatives of law
enforcement professional associations, specialists in police integrity, and
researchers.
"Cluster conferences" bring together grantees with related projects
NIJ's research and evaluation portfolio contains a number of projects
related by topic areas, such as violence against women and drug abuse. To
foster coordination and communication among these related projects, NIJ
brings those carrying out the projects to Washington, D.C., to share
information and resources, expand their networks, and explore ways to
leverage the impact of findings. The gatherings, called "cluster
conferences," give project investigators an opportunity to describe
problems and share solutions and early findings. Three recent cluster
conferences are described below.
Residential Substance Abuse Treatment teams. Representatives from the
20 projects evaluating the Residential Substance Abuse Treatment (RSAT)
programs for State and local correctional facilities met in November 1997
to share problems and solutions. RSAT is funded by the Office of Justice
Programs' (OJP's) Corrections Program Office (CPO); NIJ manages a
portfolio of evaluations, including a national evaluation project as well as
local projects. Participants outlined data collection instruments and
sources to foster comparability across the sites and discussed coordination
and collaboration of their efforts.
NIJ and CPO plan to expand the RSAT program evaluation portfolio and
are organizing national and regional meetings and workshops to support
partnerships between correctional administrators and researchers.
Information on RSAT evaluation solicitations and partnership meetings
and workshops may be obtained from the Department of Justice Response
Center at 800-421-6770 (in the Washington, D.C., area at 202-307-1480)
or on NIJ's home page at http://www.ojp.usdoj.gov/nij. Click on "Search"
and enter the words "Residential Substance Abuse Treatment."
Law enforcement family support. The Violent Crime Control and Law
Enforcement Act of 1994 (Crime Act) recognized the negative
consequences that job-related stress exerts on law enforcement personnel
and their families and mandated the establishment of the Law Enforcement
Family Support (LEFS) program. NIJ has now awarded grants to 15
agencies and organizations to develop, demonstrate, and test innovative
stress-reduction and support programs and to deliver training on how to
plan, implement, and manage stress-reduction and family support
programs and services. (See page 33 for a complete listing of the LEFS
program grantees.) The grantees and NIJ staff met in January to discuss
startup efforts and brainstorm about disseminating their findings and
recommendations.
Conferences: recent and upcoming
January
Community vitality and crime reduction. NIJ, OJP, and the Executive
Office for Weed and Seed cosponsored "What Can the Federal
Government Do to Decrease Crime and Revitalize Communities?" in
January 1998 to examine the role of government, police, and community
residents in public safety programs. Panelists discussed trends in health
care, trade, economics, demographics, welfare reform, and aging and their
impact on communities. Themes centered around promising programs and
approaches; participants identified research questions and implications for
evaluation design. Featured speakers were David Kennedy and Deborah
Prothrow-Stith from Harvard University and Roger Conner from the
Center for the Community Interest.
March
Academy of Criminal Justice Sciences (ACJS). NIJ-sponsored research
and development programs were well represented at the 35th annual ACJS
conference, March 10-14, 1998, in Albuquerque, New Mexico. Among the
NIJ presentations were:
o Oleoresin Capsicum: An Analysis of Pepper Spray Failures, presented
by Stephen M. Edwards and Robert J. Kaminski, which focused on
incidents in which pepper spray had no incapacitating effect on suspects to
discover factors associated with its failure.
o A Multimethod Exploration of Crime Hot Spots, presented by Eric
Jefferis, Nancy La Vigne, Cyndy Nahabedian, and Joe Szakas, which
compared accuracy, consistency, face validity, utility for statistical
analyses, and user friendliness of crime mapping hot spot identification
software packages.
o Long-Term NIJ Evaluations of Community Policing, presented by Lois
Mock, Wes Skogan, Tom McEwen, Mary Ann Wycoff, Dennis
Rosenbaum, and Charles Mindel, which discussed results from
longitudinal evaluations of community policing programs in several
jurisdictions.
o Prevention and Control of Firearms Violence, presented by Lois Mock,
Scott Decker, Rick Rosenfeld, Jeffrey Roth, David Kennedy, and Ed
McGarrel, which presented results of ongoing research about the
effectiveness of techniques to prevent and control firearms violence,
including directed patrols, targeted handgun interventions, and others.
o Homicide in Eight U.S. Cities, presented by Pamela Lattimore, which
summarized the findings from NIJ's recently completed research project
that examined varying homicide trends in Atlanta, Detroit, Indianapolis,
Miami, New Orleans, Richmond, Tampa, and Washington, D.C.
o Making Partnerships Work, presented by Voncile Gowdy, which
discussed ways to improve partnerships between researchers and
practitioners in corrections.
o Responding to Crime in Indian Country, presented by Winnie Reed,
Norena Henry, Carol Lujan, Eileen Luna, and Stewart Wakeling, which
presented the results of three NIJ projects: Policing on American Indian
Reservations, Impact Evaluation of STOP Grant Programs for Reducing
Violence Against Women Among Indian Tribes, and Indian Country
Justice Initiative Evaluation.
April
Alcohol and crime connection. Recognizing the need to explore more fully
the link between alcohol abuse and crime, OJP will sponsor a symposium
entitled "Alcohol and Crime: Impacting the Criminal Justice System" from
April 5 to April 7, 1998, in Tysons Corner, Virginia.
OJP is inviting researchers, biochemical and medical experts, treatment
providers, substance abuse and prevention specialists, criminal justice
practitioners, and domestic violence specialists. The goals are to raise
consciousness about the connection between alcohol and crime, solicit
ideas for research and demonstration projects from experts in the field,
identify responses appropriate to OJP's mission and funding, and
encourage other relevant Federal agencies to support programs.
Sessions will focus on four key themes: contribution of alcohol abuse to
family violence, alcohol abuse interventions for offender populations,
underage alcohol use, and place-based intervention initiatives.
Land transportation security technology. Practitioners responsible for
designing land transportation security systems will be attending the first
International Land Transportation Security Technology Conference,
sponsored by NIJ and the U.S. Departments of Transportation and State,
from April 7 to April 9, 1998.
The conference evolved from a 1996 international meeting attended by
Attorney General Janet Reno that highlighted that 20 percent of all
terrorist attacks are directed at land transportation targets. It will showcase
new technologies and best practices and will feature presentations by
experts as well as technology exhibits applicable to land transportation
security.
For more information, contact Marina Leight with Government
Technology at 916-363-5000, ext. 374, or e-mail [email protected].
Police-corrections cooperative efforts. NIJ, the Office of Community
Oriented Policing Services, and CPO will sponsor a symposium on
police-corrections partnerships from April 23 to April 25, 1998, in
Knoxville, Tennessee. More than 150 police chiefs, sheriffs, wardens,
probation officers, community corrections officials, and researchers will
examine the origins, goals, operations, and achievements of existing
partnerships. Participants will discuss administrative aspects of
partnerships (such as sharing databases and resources and conducting joint
planning and training sessions) as well as substantive issues (such as the
relationship of prison gang leadership to street gang activities, fugitive
apprehension, and weapons reduction).
June
Managed care and criminal justice conference. OJP and the Center for
Substance Abuse Treatment are Federal sponsors of the first annual
conference on managed care and its impact on offenders who receive
substance abuse treatment and aftercare services. The conference will be
held June 28 to June 30, 1998, in Albuquerque, New Mexico, and hosted
by the Institute for Behavioral Healthcare in joint sponsorship with the
criminal justice partnership/CentraLink and national Treatment
Accountability for Safer Communities (TASC). The program will bring
together professionals from criminal justice, health and human services,
and managed health care to discuss the emerging impact of managed care
on offender populations, provide information on promising models and
options for service delivery, and continue discussion among professionals
from various disciplines. For more information, contact CentraLink, 415-
435-7286, fax 415-435-9092.
Workshops offer hands-on experience
Drug-involved youths. NIJ hosted a workshop on developing interventions
for drug-involved juveniles for researchers, treatment providers, juvenile
court judges, and juvenile counselors. Topics included coordination
difficulties among Federal, State, and local agencies; conflicts inherent in
meeting the interests of juveniles, their families, and the community; and
the importance of monitoring program progress and making midcourse
corrections. Recommendations from the workshop, held December 11,
1997, included:
o Intensive case management to make certain that services provided
matched services ordered.
o Coordination of resources through a leadership agency.
o Continuous evaluation and monitoring to maintain program integrity.
o Culturally and developmentally appropriate rewards and punishments
for participating youths.
Forecasting prison populations. NIJ, CPO, and the Bureau of Justice
Statistics hosted a national workshop entitled "Prison Population
Forecasting and Projection: Managing Capacity" in December 1997. The
143 participants shared technical details about their approaches to
forecasting and projecting their State's prison population and capacity.
They discussed changing crime conditions, legislative trends and
uncertainties, and fiscal constraints.
Many States needed basic assistance and information about forecasting
techniques and software; a 3-hour session before the workshop offered an
introduction to and overview of various statistical techniques. The
remainder of the 2-day workshop featured presentations from experts in
State offices and other organizations who are currently forecasting or
projecting prison populations.
The presentations answered questions and led to discussion about the
strengths and limitations of various methodologies and the details of
implementing those methodologies.
The proceedings from "Prison Population Forecasting and Projection:
Managing Capacity" are expected later this year.
-------------------------------
Sentencing and Corrections Problem Solving for State Policymakers
This unique multiyear initiative will bring together for the first time
State-level policymakers from all three branches of government and from
all 50 States to engage in open and candid conversation over important
sentencing and corrections issues.
Invited participants from each State include the governor, chief budget
officer, heads of adult and juvenile corrections, the chief justice, and the
heads of both houses of the legislature.
The event will take place June 8 and 9, 1998, in St. Petersburg, Florida.
Participants will discuss common critical problems, including:
o How to deal with competing financial demands of prison building and
other State needs.
o How to effectively handle serious juvenile offenders, especially when
sentenced as adults.
o How to meet truth-in-sentencing concerns and at the same time deal with
prison management issues.
o How to make and keep prisons free of drugs and other contraband.
For more information, contact John Thomas at NIJ (e-mail
[email protected], or phone 202-514-6206).
-------------------------------
U.S. Department of Justice
Office of Justice Programs
810 Seventh Street N.W.
Washington, DC 20531
Janet Reno
Attorney General
U.S. Department of Justice
Raymond C. Fisher
Associate Attorney General
Laurie Robinson
Assistant Attorney General
Noel Brennan
Deputy Assistant Attorney General
Jeremy Travis
Director, National Institute of Justice
-------------------------------
Office of Justice Programs
World Wide Web Site:
http://www.ojp.usdoj.gov
National Institute of Justice
World Wide Web Site:
http://www.ojp.usdoj.gov/nij
|
en
|
all-txt-docs
|
362797
|
ZCZC MIATCDEP3 ALL
TTAA00 KNHC DDHHMM
TROPICAL STORM GEORGETTE DISCUSSION NUMBER 5
NATIONAL WEATHER SERVICE MIAMI FL
2 AM PDT WED AUG 12 1998
THE TRACK HAS EDGED A LITTLE MORE TO THE RIGHT...315/7 KT...
PRESUMABLY IN RESPONSE TO THE INTERACTION BETWEEN GEORGETTE AND THE
UPPER-LEVEL LOW NOW CENTERED ABOUT 500 NM TO THE NORTH. GEORGETTE
HAS A SMALL...BUT GROWING...SPOT OF DEEP CONVECTION AT THE ESTIMATED
CENTER OF CIRCULATION AND A STRONG BAND OF CONVECTION THAT WRAPS
INTO THE CENTER FROM THE SW-S-E-N. DVORAK INTENSITY ESTIMATES
SUPPORT INCREASING THE WIND SPEED TO 50 KT. A SHIP ABOUT 160 NM NE
OF THE CENTER REPORTED 25 KT WINDS AND 15 FT SEAS AT 0600 UTC.
THE PREVIOUS NHC FORECAST HAD THE TRACK OF GEORGETTE WRAPPING AROUND
THE EASTERN SIDE OF THE UPPER LOW...WHICH THE AVN FORECASTS WILL
CONTINUE TO MOVE WESTWARD. THE 00Z GFDL AND AVN HAVE SIMILAR
SOLUTIONS TO THAT SEQUENCE OF EVENTS...SHOWING A TURN TOWARD THE
NORTH AND THEN AN ACCELERATION BACK TOWARD THE NW. IT IS NOT
CLEAR...HOWEVER...WHETHER THEY DO SO BECAUSE OF THE UPPER LOW OR...
INSTEAD...BECAUSE OF A RESIDUAL MODEL VORTEX INITIALIZED BY THE AVN
NEAR 12N 119W. THE NHC FORECAST IS SIMILAR TO THE OFFICIAL TRACK OF
6 HOURS AGO AND ON THE RIGHT SIDE OF THE GUIDANCE...BETWEEN GFDL AND
P91E IN BOTH POSITION AND SPEED.
THE INTENSITY FORECAST REMAINS CLOSE TO SHIFOR/S.
RAPPAPORT
FORECAST POSITIONS AND MAX WINDS
INITIAL 12/0900Z 13.4N 111.6W 50 KTS
12HR VT 12/1800Z 14.3N 112.4W 60 KTS
24HR VT 13/0600Z 16.0N 113.4W 65 KTS
36HR VT 13/1800Z 18.1N 114.7W 65 KTS
48HR VT 14/0600Z 20.3N 116.6W 65 KTS
72HR VT 15/0600Z 24.0N 121.0W 45 KTS
NNNN
|
en
|
markdown
|
646469
|
# Presentation: 646469
## Hospital Measures Reporting in Ohio
Michele Shipp, MD, DrPH
- Michele Shipp, MD, DrPH
- AHRQ QUALITY INDICATORS USERS MEETING
- Wednesday September 9, 2008
- AHRQ ANNUAL CONFERENCE 2008
- Selecting Indicators for Public Reporting:
- The Ohio Experience
## Hospital Performance Measures Selection
- Ohio Department of Health
- Alvin Jackson, MD
- Madelyn Dile, JD
- Jodi Govern, JD
- Kaliyah Shaheen, MPH
**Notes:**
Dr. Jackson, the Director of the Health Department, served as the Chair of the Hospital Measures Advisory Council;
Madelyn Dile – Assistant Chief for the Division of Quality Assurance - Facilitated the meetings;
Jodi Govern JD, also at the Division of Quality Assurance, filled in in case of Madelyn’s absence and facilitated the Infection control Group meeting;
Kaliyah Shaheen, Data Manager for the Division of Quality Assurance, was appointed by Dr. Jackson as his Data Expert and served as a member on the Data Expert Group along with serving as a member of the Infection Control Group and has been the contact for Council members. Also, Ms. Shaheen has been the main data person involved in the process at ODH; she also will be managing the reporting website.
## BACKGROUND
## HOUSEBILL 197
**HB 197 became law in November 2006**
- Requires Ohio hospitals to report performance measure data to the Ohio Department of Health for the purpose of public reporting
**Notes:**
Bullet 1 and sub-bullet 1
Representative James Raussen sponsored HB 197. The concept was first introduced in 2004 and evolved over time from originally mandating the collection of patient level records from hospitals to its current enactment which requires hospital to calculate all measures and report the calculated result directly to ODH.
ODH did not have the staff resources needed to extract data from patient charts.
Because no funding was attached to the mandate ODH has struggled allocating resource to the project.
The intent of the Bill has always been to assist with consumer decision-making through public reporting, and to promote transparency among hospitals.
## HOUSEBILL 197
**Required Measure Sets**
- Centers for Medicare and Medicaid Services (CMS)
- The Joint Commission (JC)
- National Quality Forum (NQF) endorsed measures
- Agency for Healthcare Research and Quality (AHRQ)
**Notes:**
Sub-bullet 2
At least one measure from each of the above mentioned organizations must be recommended, but other measures could be recommended from additional organizations not mentioned in the statute. Some members wanted to only consider measures from the above organizations and resisted considering any other measures being recommended. Especially in the realm of infection control measures.
Other organizations considered: CDC, Vermont Oxford Network, American College of Cardiology, New York State... and others
## Creation of Advisory Council
- A Hospital Measures Advisory Council was created by statute and consisted of:
- Director of Health (Council Chair)
- Two members of the House of Representatives
- Two members of the Senate
- Superintendent of Insurance
- Executive Director of the Commission on Minority Health
- Representatives from several agencies
**Notes:**
Bullet 1
All 17 members of the council were appointed by the House and Senate with the exception of the Director of health, Superintendent of Insurance and Director of Minority Health.
Timeline:
The Bill was enacted in November 2006
The Senate appointed all of it members March 15, 2007
The House appointed all but one of its members July 31, 2007
The House appointed its last member August 16, 2007
The council had one year from August 16, 2007 to make its recommendations back to the Director of Health
All sub bullets
Appointments made by the Senate:
Two members of the Senate, and a representative from each of the following; physicians specializing in public health, hospitals, health service researchers, health care consumers and large employers
During the process all members appointed by the Senate were very involved in the process and attended the majority of the meeting
Appointments made by the House:
Two members of the House, and a representative from each of the following; health insurers, small employers, organized labor, physicians in general practice and children’s hospitals
During the process all members except the two House Representatives were very involved in the process and attended the majority of the meetings
Representatives
Health Insurers, Small and Large Employers, Organized Labor, Physicians in General Practice, Physicians Specializing in Public Health, Children’s Hospitals, Hospitals, Health Care Consumers and Health Services Researchers
## Creation of other Groups
- Mandated Groups
- A Data Expert Group
- An Infection Control Group
- Ad Hoc Groups
- The Advisory Council created Pediatric and Perinatal workgroups
**Notes:**
Bullet 1
Each member of the Hospital Measures Advisory Council was required to appoint a data expert
The majority of the data experts appointed were dedicated to the process and drove from all parts of Ohio to attend monthly meetings. The two House Representative members did not appoint Data Expert Group members.
Bullet 2
An infection Control Group -was also required to provide information about infection measures
The Directors Committee on Emerging Infections which was made up of several ODH staff and Infection control specialists from across Ohio had been interested in being involved in the process. This existing group had asked the Advisory Council to consider them as the Infection Control Group for the purposes of HB 197. The Advisory Council agreed this group could serve that function and asked that they add consumer representation.
Note: Because the Hospital Measures Advisory Council, Data Expert Group and Infection Control Group were statutorily mandated groups, the meetings were subject to the public meetings laws and had to be held in person.
Bullet 3
These group looked at measures specific to these populations – not mandated
The Advisory Council member representing Children’s Hospitals had asked the Advisory Council to consider allowing the Group of Children’s hospitals from across Ohio review and make recommendations on pediatric measures. The Council agreed this not mandated workgroup.
After the Advisory Council reviewed the initial selection of perinatal measures all of which were AHRQ measures they felt they did not have the expertise necessary to make recommendations on perinatal measures and thus asked ODH to convene a group of experts in the perinatal field to make recommendations.
Note: Because the pediatric and perinatal workgroups were not written in statute they were not subject to public meeting laws and therefore could convene via phone or private meetings.
## Process for Measures Selection
- Data Expert Group monthly meetings
- Creation of set criteria as guidelines
- Examination of measure specifications
- Selection of measures
- Recommendations to Advisory Council on selected measures
- * **Measures related to Adult care, Chronic Diseases, Patient Safety – Slide 9**
**Notes:**
Bullet 1
The Data Expert Group was truly the workhorse behind the selection of measures.
Data Expert Group met monthly to review each measure created by the organizations mentioned in the law [about 300 to 400 measures related to hospital quality] by condition category
Bullet 2
The Data Expert Group created a set of criteria that would serve as guidelines for selection of measures in each category.
The guidelines for measure selection on the next two slides were created by ODH staff and amended by the Data Expert Group. All members agreed that these were the areas most important when considering measures for public reporting.
The specifications for each measure were examined and it was determined whether or not it met the majority of the criteria
## Measure Selection Criteria
- Importance
- Do the measures reflect unequivocally important aspects of patient care?
- Preventability
- Can a poor score be prevented through proper care?
- Is excess variation in the data accounted for by factors unrelated to hospital quality?
- Genuine quality improvement
- Can a hospital’s rate be improved without improving quality?
**Notes:**
No notes – self explanatory
## Measure Selection Criteria (cont.)
- Data integrity
- Can a hospital accurately collect the data from its records?
- Does the measure adequately measure the construct it attempts to measure?
- Ability to publicly report
- Is the measure of use to consumers?
- Is the measure comprehensible to consumers?
- Do hospitals have a sufficient case load to accurately report quality?
- Burden
- Does calculating the measure place undue burden on hospitals?
**Notes:**
Bullet 5
## Measure Selection Criteria (cont.)
- Evidence-based
- Is there scientific research demonstrating the accuracy and importance of the measure?
- Variance
- Is there sufficient variability in performance among hospitals to allow for comparison?
- National Quality Forum endorsement
- Is the measure endorsed by the National Quality Forum?
**Notes:**
Bullet 3
National Quality Forum
Particular emphasis was stressed by both the Data Expert Group and the Advisory Council that NQF endorsement be used as a gold standard for whether or not a measure should be recommended.
This was important because of the process used by NQF to endorse measures:
The measure must be evidence based
The measure specifications must be publicly available
The guideline for the measure must be consistent with current clinical practice guidelines
Measure is well defined
Testing of the measure shows validity about quality
Adequate risk-adjustment exists
## Overview of Selected Measures
- All measures from 4 required sources considered
- Total of 84 measures were recommended to the Advisory Council
- 47 CMS measures
- 17 AHRQ measures
- 10 JC measures
- 10 Infection measures
**Notes:**
Sub-bullet 1– AHRQ
A set of 84 measures were recommended to the Advisory Council by the Data Expert Group, Infection Control Group and the pediatric workgroup
I will discuss AHRQ measures on the upcoming slides
Sub-bullet 2 -CMS
The Group did not have a difficult time deciding on the recommendation of CMS’ Acute Myocardial Infraction, Heart Failure and Pneumonia or Surgical Care measures. These measures are core measures that are already being collected by CMS and Joint Commission quarterly. The Council also decided to “bundle” (all-or-none measures) for the CMS data. For example: All of the Heart Failure measures collected would be bundled into a new measure that would identify if the hospital provided all applicable care to all eligible patients.
Sub-bullet 3 – JC
All ten Joint Commission Stroke measures were agreed upon and recommended for delayed reporting (2 years after the adoption of rules). This lag time will allow for hospitals to become comfortable collecting this new set of measures, which is currently in pilot stages.
Sub-bullet 4 – Infection measures
The infection control measures received the most press and contention. The Infection Control Group met only three times, but was very focused and succinct in their recommendations. They recommended the collection of Clostridium Difficile and MRSA/MSSA along with questions regarding infection control staffing and handwashing practices. Some members of the Council raised concerns regarding the collection of this data saying it was not risk adjusted and there was a lack of testing. On the other-hand C. diff had been collected in Ohio in 2006, therefore Ohio hospitals are familiar with reporting this measures and MRSA/MSSA is pulled from lab reports therefore would not be overly burdensome to hospitals. All measures recommended by the Infection Control Group passed by majority vote
## AHRQ: Patient Safety Indicators
- The Data Expert Group recommended the following AHRQ Patient Safety Indicators to the Advisory Council
- PSI-1: Complications of Anesthesia
- PSI-3: Decubitus Ulcer
- PSI-5: Foreign Body Left During Procedure
- PSI-9: Postoperative Hemorrhage or Hematoma
- PSI-16: Transfusion Reaction
- PSI-17: Birth Trauma—Injury to Neonate
- PSI-18: Obstetric Trauma– Vaginal Delivery with Instrument
- PSI-19: Obstetric Trauma—Vaginal Delivery without instrument
- PSI-20: Obstetric Trauma—Cesarean Delivery
**Notes:**
Bullet 1
The Data Expert Group believed the above AHRQ Patient Safety indicators (PSI) were the best for purposes of public reporting out of all the PSI measures.
Note – see slide 12 for discussion of the selection of AHRQ measures go from 17 considered to the 7 passed for collection:
Transfusion Reaction and Postoperative Hemorrhage or Hematoma did not pass voting by the Advisory Council.
Transfusion reaction was believed to not be the most meaningful to consumers in terms of comparison. Considering that this measures is a “never event” and the majority of the data that would be displayed publicly would wither be no cases or not enough cases.
Postoperative Hemorrhage or Hematoma was not passed because the Advisory Council believed a more meaningful measure to the consumer would be unscheduled return visits' to the operating room. Since such a measure did not already exist the council deferred this for future consideration.
## AHRQ : Inpatient Quality Indicators
- The Data Expert Group recommended the following AHRQ Inpatient Quality Indicators for inclusion
- IQI-5: CABG volume
- IQI-6: PCTA volume
- IQI-12: CABG mortality rate
- IQI-30: PCTA mortality rate
- IQI-21: Cesarean Delivery Rate
- IQI-22: Vaginal Birth after Cesarean Rate, Uncomplicated
- IQI-33: Primary Cesarean Delivery Rate
- IQI-34: Vaginal Birth after Cesarean Rate, All
**Notes:**
Bullet 1
The Data Expert Group believed the above AHRQ Inpatient Quality Indicators (IQI) were the best for purposes of public reporting out of all the IQI measures.
Sub-bullet 3 and 4
Discussions surrounding mortality measures were intense. The members representing consumers and public health agreed that mortality was data consumers wanted to see. While hospitals and physicians believed the mortality measures were not risk adjusted appropriately and issues such as do not resuscitate are neither appropriately nor consistently dealt with across hospitals, thereby making mortality rates misleading to a consumer.
Sub-bullets 8 – 10 this slide and 6- 10 on slide 10
There was quite a bit opposition surrounding the birth measures. The majority of the discussion was around the topic of ICD-9 codes and whether or not these measures were truly an indication of hospital quality. The Council decided to reject all of them and ask the Department to convene a perinatal workgroup to make recommendations on perinatal measures. These recommendations are not yet final and it is anticipated that the list of perinatal measures will be presented to the Advisory Council sometime in October 2008.
## AHRQ: Recommended Measures
- After consideration and voting by the Advisory Council, 7 of the 17 AHRQ measures were recommended to the Director of Health for public reporting
- PSI -1: Complications of Anesthesia
- PSI-3: Decubitus Ulcer
- PSI-5: Foreign Body Left During Procedure
- IQI-5: CABG volume
- IQI-6: PCTA volume
- IQI-12: CABG mortality rate
- IQI-30: PCTA mortality rate
- If passed through the rule making process hospitals will begin reporting these measures in late 2009
**Notes:**
Bullet 1
These 7 AHRQ measures were decided to be the most appropriate for public reporting.
When considering AHRQ measures for selection there were those in favor and those opposed.
Members representing the Senate, health insurance, and public health were in favor of AHRQ measures because of the ease of extracting the information from billing records and the ease of calculating the measures through the provide AHRQ software. Some of the members representing hospitals and physicians expressed concerns about:
reliability of the ICD-9 coding – are hospitals using the correct codes and is the patient record being interpreted properly
lack of current reporting – hospitals are not currently required to report on these measures
Transition to software to CMS Medicare Severity Diagnosis Related Groups (MS-DRG) Grouper.
Complications of anesthesia, decubitus ulcer and foreign body left in during procedure where chosen because they are easily understood by the consumer.
While there was opposition to mortality measures in general, PCTA and CABG mortality measures where thought to be good for public reporting because volume data and surgical site infection data for CABG would also be collected. This would give the consumer a spectrum of data to review and not just the mortality rate.
## Current Hospital Reporting in Ohio
- April 2007 Hospital reporting start date by HB 197
- ODH selected 11 measures for interim reporting
- 2 of these measures were from AHRQ
- Reporting done April and October 2007, 2008
**Notes:**
Bullet 1
While House Bill 197 required the creation of an Advisory Council, it also required that reporting begin as of April 2007
Bullet 2
ODH moved forward with a small selection of measures for hospitals to begin reporting as of April 2007
Because the Council’s report of recommendations was not due until August 16, 2008, ODH worked with Ohio Hospital Association in selecting a small set of measure to be reported in the interim.
Bullet 3
Although not intended the interim reporting has identified issues with the statutory mandates including:
The law requires all hospitals to report for all measures however, not all measures apply to all hospitals - for example; rehabilitation, psychiatric and children’s hospitals.
The law requires hospitals to report a years worth of data each April and October. This results in a six month overlap of data each time hospitals report.
## Hospital Reporting Beginning April 2007
- Postoperative Respiratory Failure
- Adult
- Pediatric
- Iatrogenic Pneumothorax
- Adult
- Pediatric
- Neonate
**Notes:**
Sub-bullet 1
Postoperative Failure was initially selected for interim reporting because high quality of care can reduce the risk of respiratory failure.
Sub-bullet 2
Iatrogenic pneumothorax was selected because it can be prevented by good surgical techniques and close observation of ventilator patients.
## Current Reporting Feedback from Hospitals
- Postoperative Respiratory Failure
- Ohio has found the numbers are too small for Iatrogenic Pneumothorax and may not be the best measure for the purpose of public reporting
- Only 2 hospitals in the adult category and 1 hospital in the neonatal category had reportable data
**Notes:**
Majority of hospitals [from 187] made no comment.
About 10 offered comments about
Bullet 1
Ohio hospitals have said they are using ICD-9 code 518.5 (Pulmonary insufficiency following trauma and surgery) for postoperative respiratory failure not ICD-9 code 518.81, Acute respiratory failure or 518.84, Acute and chronic respiratory failure
## Iatrogenic Pneumothorax - Pediatrics
- October 1, 2006 – September 30, 2007
- 187 hospitals
## Other Measures Currently Being Reported
- Aspirin at Arrival for Acute Myocardial Infarction
- Beta Blocker at Arrival for Acute Myocardial Infraction
- Pneumococcal Vaccination for Pneumonia
- Blood Culture before Initial Antibiotic for Pneumonia
- ACEI or ARB Left Ventricular Systolic Dysfunction for Heart Failure
- Evaluation of Left Ventricular Systolic function for Heart Failure
## Next Steps
- Adopt rules reflecting recommended measures
- Six to nine month process
- Public comment period
- Public hearing
- Reporting of new measures to begin no earlier than October 2009
- Development of the consumer website
- To be operational by January 2010
**Notes:**
Bullet 1
Timeframe for the adoption of rules may take longer depending on amount of opposition and nature of testimony during the public hearing process. Which may delay the reporting of the new measures.
Bullet 2
No funding was provided for the development of the website.
The Advisory Council’s recommendations borrow from New York’s website for display and comparison functionality and from the New Jersey website for informational text regarding measures and will allow for consumer feedback.
Consumer feedback will occur during the beta testing stage of the website and will be obtained through Advisory Council member constituents.
## If you have any questions please contact Kaliyah Shaheen at 614-995-4982 or [email protected]
September 2008
- September 2008
- Thank You
**Questions??**
|
en
|
all-txt-docs
|
246121
|
Table 17. Continued
Reg;ion
Survey
akl Country Year
Central America'
1986
Sample area Number
Belize
National Drug
Use Survey
12,595
Costa Rica
Honduras
1984
1986
Nicaragua 1988
Panama
1984
1989
Mexico 1989
1988
1980
San Jose
Preuniversity
students
487 15-20 Calderon et al. 17 10 13
694 15-30 National University 29 4 17
High school students 468
in Managua
Nationwide 11,383
Private college 464
Secondary students 9,967
First year 88,735
university
students
Mexico City sec- 3,408
ondary students
Latin Caribbean++
Cuba 1988 Nationwide 1,067
Selected Caribbean countries
Bahamas 1987 Areawide 4,838
Out-of-school 74
youths
In-school youths 4,767
Cayman 1985 Areawide 2,077
Islands
French
Guiana
1986 Areawide
Jamaica 1987 Secondary students
Suriname
1988 Seven cities and
rural areas
Aruba and 1988 Aruba
Netherlands
Antilles
Trinidad and 1985 All secondary
Tobago students
U.S. Virgin 1988 Household
Islands Behavioral Risk
Factor Survey
`Given for current daily smokers.
`Smoked during the previous year.
*Ever smoked.
"Smoked during the previous month.
2,192
Age Sponsor
lo-20 Pride Belize
15-18 University of Nicaragua
1 l-l 8 National Cancer Association
15-19 Department of Health
National University
Mexican Insitute of
Psychiatry
473
13-17 Consumer Institute 8 3 6
United Nations Fund
for Drug Abuse
20$
103 32$
10-l 7 Drug Advisory
Committee
11-13
1 l-21 National Council on
Drug Abuse
13-21 24 12
Prevalence* (%)
Men Women Total
12$
40 52 46
10 4 7**
3 3 6
6
42$
9+
15$
23$
2%
40 19 29$
7 3 5"
36 12
23
12 17+
1 l-19 Trinidad and Tobago
Government Drug
Survey
12-17 U.S. Virgin Islands
Government
_Excludes El Salvador and Guatemala.
**Smoked during the previous week.
`+Excludes Dominican Republic, Haiti, and Puerto Rico.
"SOccasional smoker.
Table 18. Prevalence of smoking among women of childbearing age, selected Latin American
and Caribbean countries, 1979-1987 -
Survev
1
Number Sponsor Prevalence (%)
Country
Argentina
Brazil
Chile
Colombia
Costa Rica
Ecuador
Guatemala
Mexico
Panama
Paraguay
Puerto Rico
Suriname
Uruguay
Venezuela
Year Sample area
1987 Nationwide
1981 Southern Brazil CDCS
1982 Piaui State CDC
1982 Amazonas State CDC
1987 Nationwide CLAP
1983 Santiago
1987 Nationwide
1986 Nationwide
1987 Nationwide
1983 Nationwide
1987 Nationwide
1979 U.S. border
1987 Nationwide 986
1987 Nationwide 1,935
1982 Entire territory
1985 Urban areas
1987 Nationwide
1987 Nationwide 980 CLAP
4,605 CLAP*
1,480 CLAP
2,009
4,187
CLAP
EP
CDC
CLAP
CLAP
5,169
CLAP
Source: Pan American Health Organization (1992).
`Centro Latinoamericano de Perinatologia y Desarrollo Human0 de la Organizacibn Panamericana de Salud.
%ix months before pregnancy.
*enters for Disease Control.
BBefore pregnancy/during pregnancy.
Table 19. Public knowledge and attitudes on smoking and health in Latin America
and the Caribbean, 1982-1990
38+
25
27
22
36
58/26_
21
12
8
7
3
19
4
7
16
26
44+
34
Country
Bolivia
Year Sample
1983 344 daily smokers
1983 120 adolescents
1987 72 physicians
Question Response (%I
Is smoking dangerous? (yes) 83
Is smoking harmful to health? (somewhat 96
or very)
Is smoking harmful to health? (somewhat 94
or very)
Brazil
1988 P&-to Alegre
1988 PBrto Alegre
Is the life expectancy of smokers
decreased by smoking? (yes)
Is environmental tobacco smoke harmful
to children? (yes)
48
100
78 Prevalence and Mortality
Table 19. Continued
Country
Costa Rica
Year
1984
Sample
Urban students
Cuba 1988 Nationwide
Guatemala 1989 Treasury employees
Honduras
1986
1987
Preuniversity students
aged 15-30
Ministry of Health
employees in
Tegucigalpa
Mexico
Panama 1989 Students
Paraguay
Peru
1990 Physicians
1982 Adolescents
1989 Adult smokers
Puerto Rico 1989 San Juan
Uruguay 1984 Montevideo
Venezuela
1984 Nationwide
1984 Caracas
1988 Nationwide
1988 Nationwide
1984 Nationwide
1986 Caracas
1986 Caracas
1986 Caracas
1989 Caracas
Question Response (X)
Are health risks associated with smoking?
(adequate knowledge of such risks)
Do you approve of a ban on indoor
smoking? (yes)
Are health risks associated with smoking?
(low level of knowledge)
Does smoking cause lung cancer and
other diseases? (yes)
Do you favor a worksite smoking
regulation? (yes)
Are you bothered by smoking at your
worksite? (yes)
Is smoking harmful to health? (yes)
Is smoking less harmful than use of other
drugs? (yes)
Are you bothered when other people
smoke? (yes)
Is smoking undesirable? (yes)
Is smoking harmful? (yes)
What is the most important reason to stop
smoking? (health)
Do you believe that smoking is harmful
to the health of smokers? (yes)
Does smoking affect health negatively?
(yes)
Is smoking harmful to health? (yes)
Should smoking be restricted in public
places? (yes)
Should all forms of tobacco advertising be
banned? (yes)
Is smoking harmful to others? (yes)
Are some cigarettes less harmful than
others? (yes)
Should smoking be restricted in public
places? (yes)
Should radio and television advertising of
tobacco be banned-including indirect
advertising? (yes)
81
98
64/56*
50
70
77
90
55
60
30
95
66
89
81
94
83
72
75/81'
53
89
60
so urce: Pan American Health Organization (1992).
`Smokers/nonsmokers.
Table 20. Modified stem-and-leaf display of prevalence of smoking (%) among adults,
selected countries of Latin America and the Caribbean, 1980s and 1990~~
-
Men
o-9
10-19
20-29
30-39
40-49
50-59
60-69
Women
o-9 2 3 4 4 5 6 6 8 8 9
10-19 11 11 11 11 12 13 13 13 14 14 14 14 15 16 17 17 18 18 18 18
20-29 20 20 22 23 23 23 23 24 24 25 26 26 27 27 27 28 29
30-39 30 31 31 32 32 33 33 34 36 36 38
40-49 40 40 45 49
6
10 10 15 18 19
20 23 25 25 25 26 27 27 28 28
32 32 32 33 34 34 35 35 35 35 35 36 36 36 37 37 38 38 38 39 39
40 41 41 42 42 43 43 44 45 45 45 46 48 48 48 48 49 49
51 52 52 53 56
66 68
Median = 37
Median = 20
*Prevalence data from Table 16 are grouped by decile (stem) and listed in ascending order (leaf). The data are from different
sources and derive from various methodologies. This display provides a visual overview of the range of measured values.
Table 21. Prevalence of smoking (%) among
Hispanic persons in the United States,
aged 20-74, by ethnic group and sex,
selected years
Ethnic group and sex 1982-1984* 1987+
Mexican origin
(southwest United States)
Men 43.6 31.8
Women 24.5 17.4
Cuban origin (Miami area)
Men 41.8 23.3
Women 23.1 20.4
Puerto Rican origin
(New York City area)
Men 41.3 38.6
Women 32.6 24.1
*Hispanic Health and Nutrition Examination Survey, 1982-
1984 (Escobedo, Remington, Anda 119891).
`Schoenborn (1989).
80 Prevalence and Mortality
Smoking-Attributable Mortality in Latin America and the Caribbean
Introduction
Births and deaths are the most widely collected
and reported health events, and mortality is a stan-
dard measure of the health status of a population.
Mortality has traditionally been used as an indicator
of socioeconomic status and standard of living, espe-
cially in countries for which measures of economic
productivity are inappropriate.
Mortality is a useful measure when setting
health priorities, communicating health-related infor-
mation, and marshalling political support for a health
initiative. It is a measure easily understood by the
public, and it can affect the public's perception of risk.
For example, the following statement about the
United States has a po\sJerful simplicity: "cigarette
smoking, alone, causes more premature deaths than
do all the following together: acquired immunodefi-
ciency syndrome, cocaine, heroin, alcohol, fire, auto-
mobile accidents, homicide, and suicide" (Warner
1987, p. 2081). Yet the data that allow such a statement
are difficult to assemble, and the methodologies used
to determine the number of deaths attributable to
smoking are complex (USDHHS 19891.
Although useful, mortality data do not indicate
the full effect of a disease or set of diseases on a
community. They do not describe the pain, morbidity,
disability, economic costs, and decreased quality of
life of persons who live with an illness, nor do they
describe the secondary effects on family members who
lose a close relative.
However, other measures of the effect of a dis-
ease have limitations as well. For example, life expec-
tancy, which can express the health status of a
population, may be misleading. For developing coun-
tries, life expectancy is strongly inff uenced by infant
and childhood mortality and much less so by disease
prevention or therapeutic advances that affect adult
health. People who have died from a smoking-related
disease would have lived approximately 15 years
longer if they had not been smokers (Warner 1987).
This powerful effect is diluted if the improvement in
smokers' life expectancy is averaged over the whole
population.
In the following discussion, an attempt is made
to specify the number of deaths in Latin America and
the Caribbean attributable to smoking, while keeping
in mind the limitations of common disease measures.
The result is an approximation, an early step in an
iterative process for determining the health impact of
tobacco use in the Americas. The methodology, which
applies the concept of attributable mortality, is com-
plicated by the need to estimate and adjust data to
compensate for missing or insufficient data. A step-
by-step description of the methodology is provided in
Table 22. The effects of the empirical decisions made
are discussed at the end of the chapter (see "A Com-
ment on the Methodology").
Mortality Data
The data in this section are from the PAHO
Technical Information System, a data base that in-
cludes mortality information. PAHO collects mortal-
ity data (by age, sex, and cause of death) from source
jurisdictions by using questionnaires, national publi-
cations, and other methods. Most of the data are from
civil registries, which rely on death certificates com-
pleted by health personnel in the field. These mortal-
ity data have several problems: the coverage of the
population is incomplete, the quality of some data is
questionable, and the cause-of-death groupings of the
World Health Organization (WHO)/PAHO data col-
lection questionnaire limit comparability with other
data.
Coverage
PAHO has estimated that the underregistration
of mortality is more than 20 percent in Brazil, Colom-
bia, Dominican Republic, Ecuador, EI Salvador, Hon-
duras, Panama, and Peru (PAHO 1990b). The diverse
reporting standards from various countries necessi-
tated several country-specific decisions. In Brazil, for
example, the most populous country in Latin America
and the Caribbean, the estimated underregistration is
approximately 25 percent. The level of underreport-
ing differs between areas, although it tends to be
worse in the poorer, northern part of the country. The
number of reported deaths was used for the whole
country, although it is an underestimate. In Paraguay,
mortality information is published for only a portion
of the country, and the information may not be repre-
sentative of the remainder of the country. However,
the areas not covered by the mortality registry are
geographically defined and include about 40 percent
of the population. Thus, reasonably reliable disease
rates can be determined for a portion of Paraguay but
not for the country as a whole. For this country, data
from the well-defined reporting areas only were used;
for other countries, similar decision rules were used.
Prez~alrircc mrd Mortality 81
Estimate overall mortality
For each country, evaluate vital registration and use the
portion of the data that provides an accurate
population-based mortality estimate.
For the 10 jurisdictions without mortality data, use
United Nations population schedules and apply
mortality rates from countries with similar socio-
demographic configurations.
Do not correct for underreporting.
Exclude and do not correct for ill-defined causes.
(Resultant population and mortality estimates are
reported in Table 25.)
Estimate cause-specific mortality
Identify the major smoking-associated disease groups
(coronary heart disease; cerebrovascular disease;
lung cancer; oral, laryngeal, and esophageal cancer;
bladder cancer; and chronic obstructive pulmonary
disease [COPDI).
Use cause-specific mortality data for countries for
which such data are available.
For the 10 jurisdictions without such data, use data
from four countries representative of the de-
mographic and socioeconomic spectrum of the
Americas (Guatemala, Colombia, Argentina, and
the United States).
(Resultant cause-specific mortality estimates are in
Table 26.)
Estimate relative risk and attributable risk
Use U.S. estimates for relative risk since country-
specific relative risk is generally not available.
Determine the smoking-attributable fraction (SAF) for the
United States by using the attributable-risk calculation.
Data Quality
One measure of the quality of mortality information
is the proportion of deaths assigned to the rubric "symp-
toms, signs, and illdefined conditions" (Manual oflnter-
national Statistical Classification of Diseases, Injuries, and
Causes of Death, Ninth Revision [ZCD-91). Currently,
the percentage of mortality ascribed to ill-defined
Table 22. Method used for calculating smoking-attributable mortality in the Americas
Adjust estimates by using an index related to lung
cancer
Use an index of the maturity of the epidemic that
relates the lung cancer rate for each country to that
of the United States.
For each country, determine an adjusted SAF for each
disease by multiplying the index by the U.S. SAF for
each disease (Table 32).
For each country, multiply the adjusted SAF for each
disease by the number of deaths from the disease to
obtain smoking-attributable mortality (SAM)
(approximately 375,000).
Adjust the estimate further
Calculate SAM for the United States alone by using
this method and compare the result with the official
value reported for 1985 (U.S. Department of Health
and Human Services 1989).
For each cause, calculate the difference between the
result from this method and from the official
method.
Apply these upward adjustments to the cause-specific
SAMs: increase COPD by 230R, increase cancers by
10.4% (using the difference in lung cancer esti-
mates), and increase other diseases and causes by
16.4% (see footnotes to Table 33).
Calculate the adjusted estimate of SAM in the
Americas (526,000).
causes is greater than 10 percent for 16 of the 39
jurisdictions submitting mortality information
(PAHO 1990a). In this analysis, ill-defined causes were
excluded from calculations of proportions or rates.
Because a decedent may not have received
health care or the certifying physician may not have
been the physician who treated the decedent, diagnostic
82 Prevalence and MortaZity
imprecision may occur. More serious distortion may
result because the certifying physician did not have
the diagnostic tools necessary for accurately determin-
ing the cause of death.* Furthermore, managers of
health services may not be willing or able to ensure
accurate recording or conduct the diagnostic tests that
would yield an accurate diagnosis, especially for the
elderly. As a result, assessments of mortality levels
and trends are often made by considering disease-
specific rates for middle-aged rather than elderly pop-
ulations (Doll and Peto 1981).
Coding
Since 1979, PAHO's participating member states
have classified cause of death by using the ICD-9
coding scheme. To store these data, PAHO developed
a grouping of causes of death based on, but not iden-
tical to, the Basic Tabulation List of the ICD-9. The
PAHO grouping is also similar, but not identical, to
the groupings used by WHO and CDC. The difference
in grouping, which has a variable effect on disease
classification, does not affect deaths categorized as
due to the following conditions:
Com~ition ICD-9 code
Coronary heart disease 410414
Cerebrovascular disease 430-438
Lung cancer 162
Cancers of the lip, oral cavity, or pharynx 140-149
Cancer of the esophagus 150
Cancer of the larynx 161
Cancer of the bladder 188
However, PAHO grouped cancers of the pan-
creas (ICD-9 157) and kidney (ICD-9 189) with other
cancers. Chronic obstructive pulmonary disease
(COPD), when coded as ICD-9 490-492 and 496, can-
not be isolated in the PAHO grouping. The relevant
PAHO categories are "bronchitis (chronic and unspec-
ified), emphysema, and asthma" fICD-9 490-493).
Thus, unlike the grouping for COPD used in the cal-
culation of smoking-attributable mortality (SAM) in
the United States (CDC 19911, the PAHO grouping
includes ICD-9 493 (asthma) and excludes ICD-9 496.
Life Expectancy and Mortality
Trends in Life Expectancy and Overall Mortality
For all countries and subregions of the Americas,
the overall trend is an increase in life expectancy at
birth (Table 23). Over the last 35 years in Latin Amer-
ica and the Caribbean, the average life expectancy at
Table 23. Life expectancy* at birth for persons
born during selected periods, by region
and count6
Region
and country
Year of birth
1950-55 1970-75 1985-90
51.8 61.2 66.6
40.4 46.7 53.1
37.6 48.5 54.7
43.9 55.5 61.4
42.1 54.0 62.0
45.3 58.8 62.2
42.3 54.7 63.3
42.3 54.0 64.0
51.0 59.8 64.9
48.4 58.9 65.4
2000
Latin America
Bolivia
Haiti
Peru
Guatemala
El Salvador
Nicaragua
Honduras
Brazil
Ecuador
Dominican
Republic
Paraguay
Colombia
Mexico
Venezuela
Argentina
Chile
Uruguay
Costa Rica
Cuba
69.7
60.5
59.4
67.9
68.1
68.8
69.3
68.2
68.0
68.2
46.0 59.9 65.9 69.7
62.6 65.6 66.9 67.9
50.6 61.6 68.2 70.7
50.8 62.6 68.9 72.1
55.2 66.2 69.7 71.3
62.7 67.3 70.6 72.3
53.8 63.6 71.5 72.7
66.3 68.8 72.0 73.0
57.3 68.1 74.7 75.8
59.5 71.0 75.2 76.3
Caribbean 56.4 67.1 72.4 74.7
North America 69.1 72.2 76.1 78.1
United States 69.0 71.3 75.4 77.6
Canada 69.1 73.1 76.7 78.5
Source: Centro Latinoamericano de Demografia (1990); Pan
American Health Organization (1990a).
*Estimates through 1985 are based on actual data. After
1985, estimates are projections based on trends and on
comparisons with data from similar countries.
birth has increased by about 15 years-from 51.8 to
66.6 years. In North America, the increase was seven
years-from 69.1 to 76.1 years, reflecting a slower
increase as life expectancy at birth reaches age 75 to 80.
Among Latin American and Caribbean coun-
tries, the current differences in life expectancy at birth
are great-ranging from 53.1 and 54.7 years in Bolivia
and Haiti, respectively, to 75.2 years in Cuba. Over the
last 35 years, the range has diminished somewhat.
2 Historically, the lack of appropriate diagnostic tools had
a major impact on the number of deaths assigned to lung
cancer. When diagnostic radiology was introduced in
England in the 192Os, the rate of certified lung cancer
deaths increased threefold (Pet0 7986).
Prmahce mzd Mortality 83
During 1950 to 1955, the range was 28.7 years; today
it is 22.1 years, and by the year 2000, it is expected to
decrease to 16.9 years. Few Latin American and Ca-
ribbean countries are at the low end of the range. Cur-
rently, only about 3 percent of the population of Latin
America and the Caribbean lives in countries with a
life expectancy at birth lower than 55 years, while 86
percent lives incountries with a life expectancy at birth
of 65 years or more. All countries except Bolivia and
Haiti are expected to achieve a life expectancy at birth
of 65 years or more by the year 2000 (PAHO 1990a).
Differences in the rate of increase are also evident
among countries. For example, although life expec-
tancy at birth in Chile and Uruguay is now similar, it
increased three times more in Chile than in Uruguay
over the last 35 years. In general, the increase in life
expectancy at birth was slower in the 1970s and 1980s
than in the 1950s.
The current life expectancy at birth in Latin
America and the Caribbean is equivalent to that in the
United States around 1945 to 1950-before many
major advances in chronic disease prevention and
treatment occurred (PAHO 1990a). Based on the cur-
rent rate of improvement, the life expectancy at birth
in Latin America and the Caribbean should reach that
currently found in the United States by about the first
quarter of the next century (Centro Latinoamericano
de Demografia 1990).
The range of population and mortality parame-
ters is illustrated by data for four countries (Guate-
mala, Colombia, Argentina, and the United States)
that represent the broad spectrum of variation within
the Americas (Table 24). This variation highlights the
diverse potential effects of smoking on a population.
For example, for all deaths in women (excluding
deaths from ill-defined causes), the fraction of deaths
in women aged 35 or older ranges from 34 percent in
Guatemala to 95 percent in the United States. Since
most SAM occurs among persons 35 years old or older,
it is this group whose health is most affected by a
tobacco habit.
Estimates of Mortality
The PAHO Technical Information System con-
tains national mortality data suitable for this analysis
for all but 10 jurisdictions in the Americas: Antigua
and Barbuda, Bermuda, Bolivia, Guadaloupe, Gre-
nada, Haiti, Montserrat, Netherlands Antilles, Nicara-
gua, and Saint Pierre and Miquelon.
To determine the number of deaths in the Amer-
icas attributable to smoking, the number of deaths for
these 10 jurisdictions had to be estimated. The United
Nations (1989) population estimates for these jurisdic-
tions were used for this calculation. Crude population
mortality rates and other major mortality parameters
were applied by using data for countries in the PAHO
Technical Information System believed to be similar
with respect to life expectancy, geographic region,
per capita gross national product, tobacco consump-
tion rates, and other factors. These estimates were
used along with others obtained by standard means
(Table 25).
These nonstandard estimates are sensitive to the
choice of country used to model the mortality struc-
ture. In general, these are underestimates of actual
mortality because of underreporting and because
Table 24. Mortality from defined causes,* selected countries, c. 1985
Persons aged 235 years
Country
Sex
Population+
Total
Mortality+
Mortality+
Percentage of
total mortality
Guatemala M 3,914
F 3,826
Colombia M 14,103
F 14,007
Argentina M 15,049
F 15,283
United States M 116,160
F 122,571
Source: Pan American Health Organization (1990b).
*Excludes ill-defined causes; see text.
+Number, in thousands.
32 11 34
27 9 34
74 45 61
55 39 70
129 110 85
103 89 86
1,080 987 91
975 930 95
84 Prevalence and Mortality
Table 25. Mortality from defined causes,* regions of the Americas, c. 1985
Region
Latin America
Sex
M
F
Andean Area
Southern ConeS
Brazil M
Central Americas
Mexico
M 39,744 224
F 39,631 171
Latin Caribbean
M 12,934 101
F 12,801 87
32 41
26 42
134 60
112 66
63 62
52 60
Caribbean
M 3,510 21 17 78
F 3,571 18 15 82
North America"
M 128,768 1,179
F 135,410 1,055
1,078 92
1,006 95
1,831 77
1,614 82
3,444 80
All regions of the Americas M 329,301 2,368
F 335,868 1,965
Total 665,169 4,333
Population+
Total
Mortality+
197,023 1,168
196,887 892
40,177 207
39,705 166
24,377 190
24,785 153
Mortality+
736
592
109
95
159
131
Percentage of
total mortality
63
66
53
57
84
86
67,601 367 239 65
67,963 254 177 70
12,190 78
12,002 62
Source: Pan American Health Organization (1990b)
*Excludes ill-defined causes; see text.
+Number, in thousands.
SIncludes Falkland Islands.
SExcludes Belize.
IlIncludes Bermuda and St. Pierre and Miquelon.
mortality from ill-defined causes has been excluded to a high of 92 to 95 percent in North America. Most
(as discussed earlier). The resultant estimates of of the population of Latin America lives in countries
smoking-related mortality are conservative. where this fraction is between 60 and 70 percent.
Total, Cause-Specific, and Age-Specific Mortality
The composite of reported and estimated mor-
tality indicates that approximately 4,300,OOO deaths
occur in the Americas each year; about half of these
deaths (2,060,OOO) occur in Latin America (Table 25).
In the Americas overall, about 80 percent of deaths
occur among persons aged 35 or older; in Latin Amer-
ica, the fraction is about 64 percent. The fraction of
deaths occurring among persons aged 35 or older
varies from a low of about 41 percent in Central America
The greatest absolute increase in life expectancy
at birth is generally associated with improvements in
mortality rates for children. In Latin America, a gra-
dient of economic development is associated with
increased life expectancy. In general, the death rate
for children is lower in more highly developed coun-
tries, but the death rate for older persons is similar in
various economic settings. For example, in Argentina,
the mortality rate per 1,000 persons under five years
of age is 7.9, and for persons aged 65 or older, it is 65.8.
In Guatemala, the rate for persons under five years of
Persons aged 235 years
Prevalence and Mortality 85
age is 21.4, but for persons aged 65 or older, it is 67.5
(PAHO 1990a).
The gradient of economic development is also
reflected in the cause-of-death mortality structure.
Among men aged 45 to 64, mortality from heart dis-
ease, expressed as a percentage of total mortality, is 11
percent in Guatemala, 27 percent in Colombia, and 37
percent in the United States. But some similarities are
emerging. For both the 45 to 64 and the 65 or older age
groups, the three leading causes of death for each sex
are the same in both Colombia and the United States.
For the oldest age group, the leading cause of death-
diseases of the heart-is also the same in Guatemala
(PAHO 1990a).
This pattern-increasing similarity of causes of
death-is likely to intensify. As life expectancy im-
proves, the epidemiologic profile of a country
changes. Countries with a lower life expectancy tend
to have a younger population, and the greatest mor-
tality is in the younger age groups. In these countries,
deaths are primarily due to infections (such as acute
respiratory infections and diarrhea), malnutrition,
and conditions originating in the perinatal period. As
these diseases are controlled and life expectancy in-
creases, deaths from chronic diseases-in particular,
cardiovascular diseases and cancer-become the
dominant health problem (PAHO 1990a).
Mortality from Smoking-Related Diseases
Estimates of Cause-Specific Mortality
The major diseases associated with tobacco
smoking include coronary heart disease, cerebrovas-
cular disease, COPD, and cancers of the lung, lip, oral
cavity, pharynx, larynx, esophagus, pancreas, blad-
der, and kidney. In the United States, each of these
causes (considering cancers of the lip, oral cavity, and
pharynx as a single group) contributes at least 2,000
deaths to the total number of deaths attributable to
smoking (USDHHS 1989).
The four countries for which population data
were assessed (Table 24) and the six smoking-related
conditions (Table 26) were the focus of this analysis of
the effect of smoking on countries of the Americas.
Cancers of the lip, oral cavity, pharynx, larynx, and
esophagus were grouped because of the similar smoking-
attributable risk for these conditions (USDHHS 1989).
Cancers of the kidney and pancreas were excluded
because they cannot be specifically identified in the
PAHO Technical Information System. The four countries
Table 26. Deaths from six major causes as a percentage of all deaths from defined causes,* for persons
aged 35 or older, selected countries, c. 1985
Corm-;ry Cormr~ry Cerebro- Cerebro- Oral,+ Chronic
vascular vascular laryngeal, obstructive
Country disease disease disease disease Lung and esopha- Bladder pulmona-ry All
and sext (aged 35-64) (aged 265) (aged 3.564) (aged 265) cancer geal cancer cancer diseases categories
Guatemala
Men 2.2 3.6 1.2 2.5 0.1 0.3 0.1 1.2 11.2
Women 1.6 3.2 1.8 3.8 0.4 0.1 0.0 1.1 12.0
Colombia
Men 6.3 10.1 3.4 6.8 2.1 1.6 0.3 1.9 32.5
Women 4.7 10.2 4.7 9.5 1.3 1.0 0.2 1.8 33.4
Argentina
Men 4.8 8.1 3.6 7.0 5.6 2.5 0.9 1.2 33.7
Women 1.6 8.6 2.7 9.9 1.1 0.8 0.2 0.9 25.8
United States
Men 7.6 21.3 1.0 5.0 8.5 1.5 0.7 1.3 46.9
Women 2.8 24.1 1.0 8.9 4.2 0.6 0.3 0.9 42.8
Source: Pan American Health Organization (1990b).
*Codes from Manual uflntm~ational Stntistical Classification of Diseases, [Injuries, ad Causes of Death, Ninth Revision: coronary
heart disease, 410-414; cerebrovascular disease,430438; lung cancer, 162; cancers of lip, oral cavity, and pharynx, 140-149;
cancer of the esophagus, 150; cancer of the larynx, 161; cancer of the bladder, 188.
`Cancer of the lip, oral cavity, and pharvnx.
SThe denominator for each row is the total number of deaths from defined causes, by country and sex.
%ee text for a description of this rubric.
86 Prevalence and Mortality
chosen represented four different points on the spec-
trum of mortality rates. Guatemala was chosen, even
though its lung cancer rate is low, because it reports
nationwide mortality statistics and has one of the low-
est levels of life expectancy in Latin America.
For persons aged 35 or older, the distribution of
deaths from the six major causes was expressed as a
percentage of all deaths from defined causes (Table
26). Because SAM from coronary heart disease and
cerebrovascular disease differs significantly between
persons aged 35 to 64 and persons aged 65 or over
(USDHHS 1989), estimates for both these age groups
are presented.
For all six smoking-related illnesses and age sub-
categories taken together (Table 26, last column), the
proportion of deaths caused in persons aged 35 or
older differed among the countries. In Guatemala,
these diseases accounted for slightly over IO percent
of adult deaths. In Argentina and Colombia, they
accounted for 25 to 33 percent of deaths, while in the
United States, they contributed approximately 45 per-
cent of deaths.
To estimate the number of deaths from smoking-
related conditions for subregions of the Americas
(Table 27), both the reported mortality data (Table 25)
and synthetic mortality estimates for the 10 jurisdic-
tions without data were used. For these jurisdictions,
the mortality distribution patterns from the four se-
lected countries (Table 24) were applied, as described.
Substantially more deaths in North America
than in Latin America and the Caribbean were attrib-
uted to coronary heart disease, lung cancer, and blad-
der cancer. The number of deaths was similar in
North America and in Latin America and the Carib-
bean for cerebrovascular disease, COPD, and oral can-
cer. Using these estimates, 81 percent of lung cancer
deaths in the Americas occur in North America. When
accounting for underreporting, the proportion is prob-
ably closer to 75 percent. (Using a different approach,
other researchers have estimated that North America
accounts for 77 percent of lung cancer deaths [Parkin,
Laara, Muir 19881). Because lung cancer is a strong
indicator of all smoking-attributable diseases, a rough
approximation suggests that the number of deaths in
Latin America and the Caribbean attributable to
smoking will be about one-third to one-fourth of the
number in North America.
Estimates of Relative Risk Due to Smoking
Relative risk is defined as Y = &1)/d(O), where d(l)
and d(O) are the incidence of a particular disease for
exposed and unexposed cohorts, respectively. For
current smokers, the relative risk for a disease estimates
the increase in disease incidence associated with a
history of smoking. This risk varies widely among
population groups due to differences in smoking-
related factors, such as person-years of smoking con-
tributed by heavy smokers, age at initiation, and ciga-
rette product smoked. For example, among current
smokers in a population, the relative risk for lung
cancer would be expected to be relatively low if a
sizable proportion of the population recently began to
smoke heavily. If, however, heavy smoking has been
common since World War II, the risk would be rela-
tively high. The main reason for this effect is that the
exposure category defined by "current smokers" is
based on current rather than past smoking habit, but
lung cancer rates primarily depend on smoking pat-
terns of 20 or more years ago.
For many of the smoking-related causes of death,
few country-specific estimates of relative risk are
available for Latin American and Caribbean popula-
tions, and most have focused on cancer. For current
cigarette smokers in the United States, aged 35 or
older, the estimated relative risk for lung cancer is 22.4
for men and 11.9 for women (USDHHS 1989). In
Cuba, the relative risk is 14.1 for men and 7.3 for
women. Dark tobacco is the variety of tobacco most
commonly smoked in Cuba and many other areas of
Latin America. In Cuba, dark tobacco is associated
with a higher relative risk for lung cancer than light
tobacco is: for men, 14.3 and 11.3, respectively, and for
women, 8.6 and 4.6, respectively (Joly, Lubin, Car-
aballoso 1983). In Colombia, the relative risk for lung
cancer among current smokers was 10.3 in one case-
control study of 102 persons with lung cancer, 74
percent of whom were men (Restrepo et al. 1989).
The study in Colombia also reported relative risk
for cancer of the bladder, larynx, and oral cavity/ hy-
popharynx of 3.7, 37.9, and 11.2, respectively. In La
Plata, Argentina, where the rate of bladder cancer is
high, a relative risk of 7.2 for bladder cancer was found
for men who were current smokers (Iscovich et ~31.
1987). In a study of 232 cases of cancer in Brazil (87
percent of patients were men), the relative risk for
cancer of the tongue, gum, floor of the mouth ~1~1
other parts of the oral cavity was 9.3 for current snlok-
ers of manufactured cigarettes (Franc0 et al. 1989). 11~
a 1966 case-control study of male cigarette smokers
and nonsmokers in Puerto Rico, the relati\,e risk \VII~
1.5 for esophageal cancer, 1.1 for cancer of the scroll
cavity, and 2.7 for cancer of the pharynx (Martine'
1969). In Montevideo, Uruguay, the relati\,e risk for
laryngeal cancer was 35.4 for male smoker5 Of d&irk
tobacco and 14.7 for male smokers of light tobacco (IX
Stefani et al, 1987). For comparison, for U.S. mc'il \\`llo
Table 27. Deaths (in thousands) from six major causes, * for persons aged 35 or older, selected regions
-
of the Americas, c. 1985
_.~. ~~__~
Coronary Coronary Cerebro- Cerebro-
heart heart vascular vascular
Re ion
Fi disease disease disease disease Lung
an sex (aged 35-W (aged 265) (aged 3S64) (aged 265) cancer
Oral,+
laryngeal,
and esopha-
geal cancer
Bladder
cancer
Chronic
obstructive
p;;ye;;;q
"
Latin America
Men 38.1
Women 16.7
Andean Area
Men 5.5
Women 3.1
Southern Cones
Men 7.3
Women 2.2
Brazil
Men 16.6
Women 7.2
Central America"
Men 1.0
Women 0.5
Mexico
Men 4.2
Women 1.9
Latin Caribbean
Men 3.5
Women 1.8
Caribbean
Men 0.8
Women 0.4
North America'
Men 82.2
Women 27.8
All regions of
the Americas
Men 121.0
Women 44.9
Total 165.9
59.7 28.5 49.8 22.4 14.1 3.0 15.6
53.2 22.6 55.5 6.8 4.0 1.0 11.3
8.7 3.2 6.1 2.1 1.3 0.3 2.0
7.6 3.3 7.2 1.0 0.6 0.1 1.8
13.8 5.5 11.9 8.2 3.9 1.2 2.9
12.6 3.7 14.4 1.4 1.1 0.3 1.7
19.3 15.7 21.0 6.1 6.2 0.9 4.8
17.5 11.5 21.7 1.9 1.4 0.3 2.7
2.0 0.5 1.3 0.3 0.2 0.05 0.6
1.6 0.6 1.5 0.2 0.01 0.02 0.5
7.1 2.3 5.6 2.8 1.1 0.3 4.5
6.3 2.2 6.8 1.3 0.4 0.1 3.8
8.9 1.4 3.9 2.5 1.4 0.3 0.9
7.5 1.3 3.9 0.9 0.4 0.1 0.7
1.2 0.7 1.9 0.4 0.3 0.1 0.3
1.1 0.6 2.2 0.1 0.1 0.03 0.2
230.3 11.2 54.7 92.0 16.4 7.5 14.2
242.2 9.6 89.8 41.7 6.1 3.4 9.2
291.2 40.4 106.3 114.4 30.8 10.6 30.1
296.5 32.8 147.5 48.5 10.1 4.4 20.6
587.7 73.2 253.8 162.9 40.9 15.0 50.7
Source: Pan American Health Organization (1990b).
*Codes from Manual of Intertrational Statistical CIassificatim of Diseases, I?rjuries, fl?~d Cawes (?f Dmth, Ninth Revision: coronary
heart disease, 410414; cerebrovascular disease, 43&438; lung cancer, 162; cancers of lip, oral cavity, and pharynx, 14G149;
cancer of the esophagus, 150; cancer of the larynx, 161; cancer of the bladder, 188.
`Cancer of the lip, oral cavity, and pharynx.
% ee text for a description of this rubric.
_Includes Falkland Islands.
"Excludes Belize.
`Includes Bermuda and St. Pierre and Miquelon.
88 Prevalence and Mortality
are current smokers, the relative risk for cancer of the
bladder is 2.9, cancer of the esophagus 7.6, cancer of
the larynx 10.5, and cancer of the lip, oral cavity, and
pharynx 27.5 (USDHHS 1989).
Two case-control studies were conducted to in-
vestigate the factors associated with esophageal can-
cer in Uruguay, which has one of the highest rates of
esophageal cancer in the world. In one study of 226
cases, the relative risk was 6.5 for ever smokers (82
percent were men) (Vassallo et al. 1985). In the other
study of 199 cases, the relative risk was 5.7 for current
male smokers (De Stefani et al. 1990). In bordering
southern Brazil, which also has a high rate of esopha-
geal cancer, the relative risk was 8.4 for male smokers
(Victora et al. 1987).
For countries for which relative risk estimates
were lacking, relative risks were derived from U.S.
data and used in the following computations of SAM
(USDHHS 1989, 1990). Small differences in relative
risk estimates are unlikely to have a large overall effect
on SAM because of the structure of the formula for
calculating attributable risk (see below).
Smoking-Attributable Mortality
Estimates of Smoking-Attributable Mortality
Worldwide
Interest in attempting to quantify the extent of
the health hazard caused by tobacco led to develop-
ment of smoking-attributable fractions (SAFs). These
values estimate the proportion of cases of a specific
disease in a population that can beattributed to smoking.
SAF = P(u-ll---
1 +p (r-l)
in which p is the proportion of the population that has
ever smoked and Y is the risk for ever smokers relative
to never smokers. The SAF calculated for each disease
of interest is multiplied by the number of deaths for
that disease, and the result is the SAM for that disease.
The sum of SAM values for all diseases associated
with tobacco use gives the total number of deaths
attributable to smoking.
The SAF can be refined to account for differences
in smoking status (never, current, or former smoker)
and for age and sex subgroups. Smoking prevalence
and relative risk can be estimated for each of these
subgroups. SAFs have been calculated for 10 selected
causes of death in the United States (Table 28).
Recent studies have estimated the number of
deaths attributable to smoking in the United States
(Table 29). The estimates by Rice and colleagues,
Table 28. Smoking-attributable fraction for 10
selected causes of death, United States,
1985
Men Women
~~~ ~~~ L?) ~
(7c'c)
45 41
21 12
51 55
24 6
90 79
92 61
81 87
78 75
29 34
47 37
48 12
84 79
-.
Cause of death
Coronary heart disease
(aged 35-64)
Coronary heart disease
(aged 565)
Cerebrovascular disease
(aged 35-64)
Cerebrovascular disease
(aged 265)
Cancer of the lung
Cancer of the lip, oral cavity,
and pharynx
Cancer of the larynx
Cancer of the esophagus
Cancer of the pancreas
Cancer of the bladder
Cancer of the kidney
Chronic obstructive pulmonary
disease
Source: U.S. Department of Health and
(1989).
Human Services
CDC, and USDHHS all considered smoking status,
age, and sex. The estimates vary for several reasons:
the diseases included, the specific methodology used,
the target year, and the source of the smoking preva-
lence data and the relative risk estimates. The most
recent (1988) estimate for the United States (434,000
smoking-attributable deaths) is discussed in Chapter
4, "Economic Costs of the Health Effects of Smoking."
The 1985 estimate is used here to maintain consistency
with data available for Latin America and the Caribbean.
SAM has been estimated for many European
countries (Table 30), and the current worldwide esti-
mate is 3 million smoking-attributable deaths per year.
The methodology described earlier for calculat-
ing SAM can be used for countries for which reliable
information is available on smoking prevalence and
on the risk for major tobacco-associated diseases
among ever smokers relative to never smokers. Un-
fortunately, few countries in Latin America have such
data; an alternative methodology for calculating SAM
is described below.
Lung Cancer Mortality as an Index of Prior
Smoking in a Population
Numerous attempts have been made to describe
the relationship between smoking habits and mortality
Prezahce nud Mortality 89
Table 29. Smoking-attributable mortality smoking habits of the population, as expressed by the
in the United States risk of dying from lung cancer.
Reference
Rice et al., 1986
U.S. Office of Technology
Assessment, 1985
Centers for Disease Control,
1987b
Year Estimate
1980 270,000
1982 314,000
1985 320,000
for R(US,N-Sj < R(C) < RKIS)
U.S. Department of Health
and Human Services, 1989
1985* 390,000
in which R(C) is the lung cancer mortality rate for a
country in the Americas, R(US) is the lung cancer rate
for the United States (Table 31), and RtUS,N-S) is the
lung cancer rate for never smokers in the United States
(12.7 for men and 11.1 for women). When R(C) is
greater than RfUS), the index is arbitrarily set to 1.
The index has the following properties:
o It equals 0 for the few countries in Latin America
and the Caribbean with a lung cancer rate below
that of never smokers in the United States.
o It equals 1 for countries that have a lung cancer rate
higher than that of the United States (although there
were none).
*The 1985 estimate (rather than the 1988 estimate of 434,000
reported in Chapter 4, Table 1) is used here to maintain
consistency with the demographic and vital data available
for Latin America and the Caribbean.
from lung cancer in a population. Many of these
attempts have not been entirely successful, primarily
due to the lack of key information. Current lung cancer
mortality rates reflect smoking habits of 20 to 40 years
ago. Reliable data on lung cancer incidence and mor-
tality are available for many industrialized countries,
but only limited information is available on previous
smoking habits. Furthermore, the relationship between
smoking and lung cancer is affected by many factors.
Duration of smoking is the factor most strongly corre-
lated with risk for lung cancer. For example, when
duration of regular tobacco use is doubled from 15 to
30 years, lung cancer incidence increases about 20-fold
Pete 1986). Other factors that affect lung cancer risk
include number of cigarettes smoked per day, age at
initiation, tar yield of tobacco products, use of filters,
blend of tobaccos, and depth of inhalation. Many of
these factors vary over time, not only for a national
population but for individuals within a population.
Only in recent years have surveys in a few industrial-
ized countries collected data on these factors in some
detail. Thus, data are unavailable for building an
optimal model of smoking habits and lung cancer risk.
Nevertheless, tobacco consumption is highly
correlated with lung cancer; the SAF has been calcu-
lated at over 90 percent for countries that have popu-
lations with a long history of high prevalence of heavy
smokers (Table 31). This strong association suggests
that lung cancer mortality can be used as a surrogate
to measure the impact of smoking on a population.
The following index (0 uses lung cancer mortal-
ity rates for the population aged 55-64. This index, a
measure of smoking maturity in a population, con-
tains population risk factor information related to the
o It falls between 0 and 1 for countries with a lung
cancer rate between the U.S. rate for never smokers
and the overall U.S. rate, and the value increases as
the country's rate approaches that of the United
States.
This index can be used to develop estimates of
SAM for countries in Latin America and the Carib-
bean. For a given country, the lung cancer rate and
index are calculated, and this lung cancer index is used
to adjust all diseases. The index is multiplied bv the
disease-specific SAF for the United States to obtain an
adjusted disease-specific SAF for a specific country.
The number of deaths from a specific cause is then
multiplied by the adjusted SAF to obtain the SAM.
Thus, the index adjusts the SAF downward-to
a level appropriate for the extent of lung cancer in the
population. The index is nonlinear; large changes in
the upper range of lung cancer rates have only a small
effect on the SAF. But changes in the lower range, closer
to the rate for never smokers, have a proportionately
larger effect on the SAF. In Table 31, the SAF is given
with and without the index adjustment. The index
uniformly offers a more conservative estimate of SAF.
Because of the potential for diagnosis of lung
cancer to be more inadequate in some elderly popula-
tions than in younger populations, and because of the
need to choose a relatively stable measure of smoking
habits, the lung cancer rate for persons aged 55 to 64
was used in creating the index. If older age groups are
used, significant diagnostic misclassification occurs,
and the relationship to smoking is more tenuous. The low
rates for younger age groups render the rate estimates
90 Preztalence and Mortality
Table 30. Estimated number of deaths due to tobacco use in 27 countries of the World Health Organization
(WHO) European Region*
Country
Austria
Belgium
Bulgaria
Czechoslovakia
Denmark
Finland
France
German Democratic Republic
Germany, Federal Republic of
Greece
Hungary
Iceland
Ireland
Israel
Italy
Luxembourg
Malta
Netherlands
Norway
Poland
Portugal
Romania
Spain
Sweden
Switzerland
United Kingdom
Yugoslavia
Total for region
Total worldwide
Year
1985
1984
1984
1984
1985
1984
1984
1984
1985
1984
1985
1984
1983
1984
1981
1985
1985
1985
1984
1985
1985
1984
1980
1985
1985
1984
1982
1991
Male Female
5,527 3,354
8,905 2,664
6,129 3,215
14,693 7,363
5,531 3,311
4,094 1,900
25,751 10,102
12,393 6,178
49,572 26,433
5,305 1,718
10,742 5,541
115 78
2,754 1,449
1,416 859
39,489 15,324
298 121
115 54
12,140. 3,892
3,046 1,553
23,858 7,337
3,656 1,778
12,178 7,907
14,492 5,738
7,104 4,339
4,299 1,610
60,764 33,916
9,103 3,732
343,469 161,466
Total
8,881
11,569
9,344
22,056
8,842
5,994
35,853
18,571
76,005
7,023
16,283
193
4,203
2,275
54,813
419
169
16,032
4,599
31,195
5,434
20,085
20,230
11,443
5,909
94,680
12,835
504,935
3,000,000
Source: WHO (1988, 1991 [for worldwide estimate]).
Represents about 6OYG of the regional population. Tobacco is held responsible for about 90% of all deaths from lung cancer,
75% of bronchitis/emphysema deaths, and 257c of all deaths from ischemic heart disease. The estimate for each country is
based on the most current data provided to WHO by the countries themselves.
unstable. Further, the use of a single, well-defined
group at risk has the virtue of simplicity-data di-
rectly available to a country are used, and adjustment
that might be necessary for cross-country compari-
sons is avoided.
Estimates of Smoking-Attributable Mortality in
the Americas
Unadjusted Estimates
Before adjustment, approximately 375,000
deaths in the Americas were attributable to smc.king
around 1985 (Table 32). These were distributed by
disease as follows:
Disease Total SAM
Coronary heart disease 144,200
Cerebrovascular disease 46,800
Lung cancer 128,600
Oral, laryngeal, and esophageal cancer 23,200
Bladder cancer 5,700
COPD 27,300
In Latin America and the Caribbean, an interme-
diate estimate of 64,000 smoking-attributable deaths
was obtained, and most of these deaths were from
coronary heart disease (about 18,500), cerebrovascular
disease (about 17,000), and lung cancer (about 13,000).
The largest contribution to SAM in Latin America was
made by Brazil, followed closely by the Southern Cone
subregion.
Prezlalence and Mortality 91
Table 31. Smoking-attributable fraction (SAF) and adjusted SAF for lung cancer mortality,
selected industrialized countries, 1978-1981
Index of
Crude lung
Country Sex cancer rate* SAF smoking
maturity A%Fd
Canada M 142.8 .90 .92 .85
F 34.0 .71 .77 .60
England and Wales M 228.5 .94 1 .oo .92
F 63.3 .80 1.00 .78
Japan M 64.8 .83 .58 .53
F 21.0 .58 .50 .39
Sweden M 85.0 .83 .69 .63
F 28.0 .57 .66 .51
United State& M 166.7 .92 1 .oo .92
F 50.0 .78 1.00 .78
Source: Adapted from International Agency for Research on Cancer (1986).
:For persons aged 35 or older. The calculation actually uses the rate for persons aged 5544 years.
Difference
between SAF
and adjusted
SAF
.05
.ll
.02
.02
.30
.19
.20
.06
.oo
.oo
:Calculated by multiplying the SAF for the United States by the country-specific index of smoking maturity; see text.
+Total population.
SAM was calculated as the percentage of deaths exclusion of deaths attributed to ill-defined causes.
for persons aged 35 or older (last column of Table 32). SAM was adjusted for the first four of these factors as
For the Latin American subregions, the proportion follows. For the United States, the estimate of SAM
was highest for men in the Southern Cone and lowest was calculated and compared with that made for 1985
for men in Central America. In the Southern Cone, the KJSDHHS 1989). The latter estimate, which provided
difference in the rate for men and women reflects a a benchmark, was 37.2 percent larger than the estimate
large historical difference in the rate of tobacco con- computed in this analysis. The percent difference be-
sumption (see "Prevalence of Smoking" earlier in this tween these two estimates was used to alter upward
chapter). The lung cancer mortality rate for women in the estimates for the other countries in the Americas.
Peru was less than that for U.S. women who were The adjustments were made by cause (Table 33, see
never smokers. The index was zero, and by this footnotes), since the degree of underestimate varied
method, no deaths were attributable to smoking. with the condition.
Adjusted Estimates
The estimates of SAM (Table 32) are under-
estimates for several reasons: (1) COPD was un-
dercounted due to differences in cause-of-death
groupings; (2) cancers of the kidney and pancreas
were omitted; (3) the SAF for cancers of the oral cavity,
esophagus, and larynx is an underestimate (the three
cancers were grouped, and the smallest SAF for the
three was used); (4) other categories of disease or death
were omitted, including other types of cardiovascular
and respiratory disease, cervical cancer, infant deaths
due to maternal smoking during pregnancy and post-
natal exposure to environmental tobacco smoke, lung
cancer deaths due to passive smoking, and deaths
from smoking-related fires; and (5) an undercount of
deaths due to both underregistration of cases and the
After adjustment, an estimated 526,000 annual
deaths in the Americas are attributable to tobacco use;
about 100,000 of these are in Latin America and the
Caribbean. About two-thirds of these deaths occur in
Brazil and the Southern Cone. The estimated 36,000
deaths for Bermuda, Canada, and St. Pierre and
Miquelon correspond closely with estimates derived
by using several different methods and previously
reported for Canada alone (Collishaw, Tostowaryk,
Wigle 1988; PAHO 1992). As discussed below, the
100,000 annual deaths in Latin America and the Car-
ibbean, estimated from data for the mid-1980s, is
conservative. If the current U.S. SAF is applied and if
Latin American and Caribbean countries follow a tra-
jectory similar to that of North America, over 1 million
smoking-attributable deaths per year will occur in
Latin America and the Caribbean by the year 2030.
92 Prevalence and Mortality
A Comment on the Methodology
The attribution of mortality requires an empiri-
cal approach. In the method used here, which varies
somewhat in detail, but not in fundamental approach,
from other methods (WHO 19891, at least five basic
empirical decisions were made. First, the analysis
excluded mortality data for which cause of death was
inadequately specified, and no attempt was made to
adjust for the underreporting of deaths. Second, syn-
thetic estimates of mortality structure were used for
countries with little or no data. Third, a proration was
used to adjust for causes of death that could not be
analyzed by using PAHO data. Fourth, an empirical
index was developed to adjust for the many factors
that influence the risk that smoking imposes on a
population. Fifth, the SAM calculation made for the
United States (USDHHS 1989) was used as a bench-
mark for adjusting the estimates derived in this anal-
ysis. Each of these decisions influenced the final
estimate; in addition, some specific features of the
index and factors related to attributable risk in general
also had an influence.
The net effect of the empirical decisions is diffi-
cult to assess, but the first decision-no correction for
underreporting and no proration for ill-defined
causes-probably dominates and results in a sizable
underestimate. The order of magnitude of the under-
estimate can be approximated by comparing the esti-
mate of total mortality in Latin America derived for
this analysis (2,060,OOO [Table 251) with an estimate,
derived by using regression methods, that attempted
to account for underreporting (3,197,OOO [Hakulinen
et al. 19861). Based on this difference in overall mor-
tality of about 55 percent, the number of smoking-
attributable deaths might be as high as 155,000. The
more conservative estimate of 100,000 smoking-
attributable deaths was deemed more appropriate be-
cause it directly relates to the data with which
ministries of health in Latin American and Caribbean
countries actually work. In addition, the conservative
method allows a simple, uniform decision rule to be
used by all countries of the region in making their own
computations. Finally, this approach allows for in-
creasingly credible estimates of SAM to be made as
better mortality data become available and the esti-
mates are gradually refined.
The index of smoking maturation is based on a
comparison of lung cancer rates. Although accurate
information is more readily available for lung cancer
than for other conditions, it may not be the optimal
condition for use in calculating the index. Although
tar levels affect the risk for lung cancer, they appar-
ently do not affect the risk for cardiovascular disease
and COPD (USDHHS 1981). Further, the lag between
increased consumption of tobacco and a rise in lung
cancer mortality may not be representative of the lag
for other diseases. In addition, use of the 55 to 64 age
group for calculating the index underestimates the
population's exposure to smoking in most Latin
American and Caribbean countries because peak
tobacco-consumption rates have not yet been reached.
Because the index is empirical, there is no clear
methodologic justification for the square root transfor-
mation. Many transformations are available; the
square root was used because of properties appropri-
ate to the analysis. Specifically, taking the square root
of numbers less than one produces a nonlinear effect:
it increases all numbers that are less than one, but it
has a greater effect on numbers close to zero than on
numbers close to one. Thus, upward revision is pro-
portionately greater for countries with low rates than
for countries with high rates. This choice modulates,
to some extent, the conservative nature of the index.
On the other hand, no deaths were attributed to smok-
ing in countries with lung cancer rates less than those
for U.S. never smokers. Since smoking is not uni-
formly distributed in such countries, rates may be
higher for some subgroups, and at least some deaths
should have been attributed to smoking.
Finally, this methodology is weakened by a lack
of information on multiple risk factors. The SAF may
be higher or lower when risks other than smoking play
a significant role in disease causation. Because smok-
ing is the dominant risk factor for lung cancer, this
effect is probably negligible. In cardiovascular disease,
however, smoking interacts with hypertension, hyper-
cholesterolemia, physical inactivity, obesity, diabetes,
and possibly other risk factors as well, and this effect
may be considerable.
Thus, the empirical choices and the specifics of
the analysis may have differing effects, but the final
estimate of 526,000 annual deaths attributable to
smoking in the Americas is almost certainly conserva-
tive. This estimate-perhaps best viewed as the first
point on a continuum of such estimates-provides an
order of magnitude for the number of smoking-related
deaths in the Americas.
If, as suggested in the first half of this chapter,
the prevalence of cigarette smoking is increasing in
some areas, accurate assessment of SAM is of consid-
erable importance. As noted, the lack of some critical
data diminishes the precision of the estimates and
fosters a greater reliance on empirical decisions. As
data systems develop, individual countries will be
better able to apply these methods for calculating
SAM for their own populations.
Table 32. Smoking-attributable mortality* for men and women in the Americas, c. 1985
Region and
country
Men
Latin America
Andean Area
Colombia
Peru
Venezuela
Southern Cone'
Argentina
Chile
Brazil
Central America**
Mexico
Latin Caribbean
Cuba
Caribbean
North America++
Canada
United States
All regions of the
Americas
Women
Latin America
Andean Area
Colombia
Peru
Venezuela
Southern Cone'
Argentina
Chile
Brazil
Central America**
Mexico
Latin Caribbean
Cuba
Caribbean
North America++
Canada
United States
All regions of the
Americas
Lung cancer
mortality rateS
Index of
smoking
maturity
--__
-
-
.302
.140
.444
-
.829
.566
.456
-
,376
-
.716
(aged ~65)
SAfl "
(aged 265) (aged ~65)
SAM"
-___
SAF SAM SAF SAM
-
-
34.1
19.5
55.6
-
155.5
80.6
57.8
-
44.3
-
119.8
- 8,426 - 6,432 - 7,090
- 785 - 557 - 462
.136 386 ,063 287 .154 237
.063 24 .029 25 .072 24
,200 354 .093 228 .226 167
- 2,583 - 2,245 - 2,151
.373 1,983 .174 1,156 .423 1,659
.255 290 .119 344 .288 261
.205 3,411 .096 1,844 .233 3,652
- 71 - 89 - 36
,169 708 ,079 559 .192 435
- 867 - 1,138 - 355
,322 711 ,150 974 .365 298
-
- - 128 - 108 - 129
- -
209.0 .975
219.0 1.000
- 36,907 - 48,251 - 5,696
.439 3,376 .205 4,044 .497 449
.450 33,526 .210 44,204 .510 5,243
- - 45,460 - 54,791 - 12,914
-
-
16.1
7.8
23.7
-
16.6
19.5
15.0
-
16.4
-
42.2
-
-
,267
-
,409
-
,279
,338
,240
.2;
-
.632
-
-
,710
-
,167
-
.114
,139
.098
-
.112
-
,259
1,848
346
198
- 1,837
- 234
,032 126
- -
,049 108
- 403
,033 259
.041 119
,029 505
28
,033 207
- 459
,076 405
-
-
149
236
162
63
706
20
209
331
299
-
,147
-
,225
-
.153
,186
,132
-
,151
-
,347
857
101
59
-
42
223
149
58
313
10
113
98
85
-
-
75.1
90.1
-
-
.901
1 .ooo
-
-
-
.369
,410
30
11,315
768
10,547
- 27 -
- 28,854 -
.108 1,919 .496
.120 26,934 .550
29
5,343
386
4,957
- 13,194 - 30,718 - 6,229
Coronary
heart disease Coronary
heart disease
Cerebro-
vascular
disease
Source: Pan American Health Organization (1990b).
"Mortality from defined causes for persons aged
`Cancer of the lip, oral cavity, and pharynx. 35 or older, in thousands.
tThe lung cancer rate for U.S. never smokers used for the index calculation was 15.5 per 100,000 men aged 5.564 and 10.4
per 100,000 women aged 55-64.
94 Prevalence and Mortality
-
-
,073
.034
,107
,199
,136
,109
-
,090
,172
5,959 - 11,549 - 5,946 - 845 - 5,819 52,066 ,071
418 - 579 - 305 - 36 - 441 3,584 ,033
222 .272 258 .236 164 ,142 17 .254 212 1,784 ,040
26 .126 33 ,109 12 ,066 2 ,118 38 184 .009
143 ,400 263 .346 116 ,209 15 ,373 148 1,434 .063
2,182 - 5,952 - 2,446 - 468 - 1,727 19,754 .124
1,527 .746 4,580 ,647 1,782 .390 368 ,697 916 14,370 ,131
315 .509 492 ,441 260 .266 35 475 553 2,549 .083
2,302 .410 2,522 .356 2,197 .214 191 ,383 1,827 17,945 .075
56 - 75 - 33 - 5 - 67 431 .013
503 .339 938 .293 322 .177 47 .316 1,409 4,920 .037
498 - 1,483 - 645 - 98 - 348 3,432 .086
399 ,644 1,334 ,558 462 ,336 86 .601 252 4,517 ,146
- 198 - 214 - 131 - 18 - 105 1,030 ,062
- 13,098 - 82,569 - 12,781 - 3,503 - 11,892 214,696 .199
.234 1,162 .878 7,249 .761 1,254 .458 367 ,819 1,245 19,147 .211
.240 11,932 ,900 75,310 ,780 11,523 .470 3,135 ,840 10,645 195,519 .198
- 19,255 - 94,331 - 18,859 - 4,366 - 17,817 267,792 ,146
-
857
101
59
-
1,567
210
102
-
673
97
64
-
-
,016
-
,025
-
.017
.020
,014
-
.016
-
.038
-
.211
-
.323
-
.220
.267
.190
-
.217
-
.499
-
,163
-
,249
-
,170
,206
.147
-
,167
-
.385
-
.099
-
.151
-
,103
,125
.089
-
,102
-
.234
103
11
7
-
2,257 12,247 .021
289 1,716 .018
151 977 .025
-
42
223
149
58
313
10
113
98
85
108
317
220
87
360
2%
389
352
33
181
116
55
207
10
74
104
89
-
5
30
22
6
30
1
10
20
17
-
,211
-
.323
-
.220
,267
,190
-
.217
-
.499
- -
138 739
386 2,308
170 1,473
203 727
517 4,156
35 140
827 2,052
203 1,877
167 1,671
-
.039
.018
.016
,029
,023
,005
,018
.036
,069
-
29
5,343
386
4,957
-
-
.054
.060
-
.712
.790
26
32,706
2,242
30,463
-
-
.550
,610
11
3,657
312
3,345
- 6,229 - 34,299 - 4,342
-
-
.333
,370
-
3
1,253
105
1,148
-
-
.712
.790
33 218 ,015
7,170 95,562 ,095
532 6,631 .088
6,638 88,928 ,096
1,359 - 9,460 108,027 .067
Cerebro-
vascular
disease
(aged 265)
SAF SAM
Lung
cancer
SAF SAM SAF SAM SAF SAM SAF SAM
Oral,+
laryngeal, and
esophageal
cancer
`Smoking-attributable fraction.
`iSmoking-attributablemortality.
`Includes Falkland Islands.
*`Excludes Belize.
`+lncludes Bermuda and St. Pierre and Miquelon.
Bladder
cancer
Chronic
obstructive
pulmonary
disease
Total
SAM
Total SAM
t~:~~:~l
mortality
Table 33. Adjusted estimates of smoking-attributable mortality (SAM) in the Americas, c. 1985
-
Chronic
obstructive Total
Region and Total p;;;e;;:+q Other diseases5
country SAM* Cancer4 and causes adjusted
SAM
Latin America 64,300 18,600 1,400 13,800 98,100
Andean Area 5,300 1,700 10 1,200
Southern Cone/l 8,200
22,100 4,900 700 4,500 32,100
Brazil 22,100 5,400 300 4,600
Central America1 32,400
600 200 10 100 900
Mexico 7,000 5,100 100 2,000 14,200
Latin Caribbean 7,300 1,300 200 1,400 10,200
Caribbean 1,200 300 30 300 1,900
North America 310,300 43,800 12,000 60,000 426,100
United States 284,400 39,800 11,000 55,000 390,200
Other** 25,800 4,100 1,000 5,100 36,000
All regions of the
Americas 375,800 62,700 13,400 74,100 526,000
Source: Pan American Health Organization (1990b). Adjustments were based on 1985 estimates for the United States; U.S.
Department of Health and Human Services (1989). Percentages used for upward adjustment for chronic obstructive pulmo-
nary disease and other diseases and causes were specific to those diagnostic rubrics. Upward adjustment for cancers was
based on lung cancer.
*Total for men and women from Table 32.
+230% adjustment to compensate for undercounting.
*10.4% increase added to adjust for omission of cancers of the kidney and pancreas and for underestimates of smoking-
attributable fraction for cancers of oral cavity, esophagus, and larynx.
516.4% increase added to adjust for exclusion of cervical cancer, other types of cardiovascular and respiratory diseases,
deaths among newborns due to smoking by the mother, lung cancer deaths due to passive smoking, and deaths from
smoking-related fires.
IlIncludes Falkland Islands.
IExcludes Belize.
**Includes Bermuda, Canada, and St. Pierre and Miquelon.
96 Prevalence and Mortality
Conclusions
1. Certain sociodemographic phenomena-such as
change in population structure, increasing urban-
ization, increased availability of education, and
entry of women into the labor force-have in-
creased the susceptibility of the population of
Latin America and the Caribbean to smoking.
2. The lack of systematic surveillance information
about the prevalence of smoking in most areas of
Latin America and the Caribbean hinders com-
prehensive control efforts. Available information
reflects a variety of survey methods, analytic
schemes, and reporting formats.
3. Available data indicate that the median preva-
lence of smoking in Latin America and the Carib-
bean is 37 percent for men and 20 percent for
women. Variation among countries is consider-
able, however, and smoking prevalence is 50 per-
cent or more in some populations but less than 10
percent in others. In general, prevalence is highest
in the urban areas of the more developed coun-
tries and is higher among men than among
women.
4. The initiation of smoking (as measured by the
prevalence of smoking among persons 20 to 24
years of age) exceeds 30 percent in selected urban
areas. Although systematic time series are not
available, the data suggest that more recent co-
horts (especially of women) in the urban areas of
more developed countries are adopting tobacco
use at a higher rate than did their predecessors.
The smoking epidemic in Latin America and the
Caribbean is not yet of long duration or high
intensity, and the mortality burden imposed by
smoking is smaller than that for North America.
By 1985, an estimated minimum of 526,000 smoking-
attributable deaths were occurring each year in all
the countries of the Americas; 100,000 of these
deaths occurred in Latin American and the Carib-
bean countries.
The estimate of 526,000 deaths annually is conser-
vative and is best viewed as the first point on a
continuum of such estimates. However, it pro-
vides an order of magnitude for the number of
smoking-attributable deaths in the Americas.
The time lag between the onset of smoking and the
onset of smoking-attributable disease is forebod-
ing. In North America, a high prevalence of smok-
ing, now declining, has been followed by an
increasing burden of smoking-attributable mor-
bidity and mortality. In Latin America and the
Caribbean, rising prevalence portends a major
burden of smoking-attributable disease.
Prezvlrrm~ md Mortality 97
References
ANDERSON, J.E. Smoking during pregnancy and while
using oral contraceptives. Data from seven surveys in west-
em hemisphere populations. Paper presented at the Inter-
national Conference on Smoking and Reproductive Health,
San Francisco, California, October 15-17,1985.
ANKER, R., HEIN, C. Empleo de la mujer fuera de la
agricultura en paises de1 tercer mundo. In: Desigualdades
Entre Hombres y Mujeres en 10s Mercados de Trabajo Urban0 de1
Tercer Mundo. Geneva: Oficina International de1 Trabajo,
1987.
ASOCIACION DEMOGRAEICA COSTARRICENSE AND
CENTERS FOR DISEASE CONTROL. Encuesta Nacionat de
Fecundidad y Salud, Costa Rica 1986. San Jose, Costa Rica,
1987.
BECERRA, J.E., SMITH, J.C. Maternal smoking and low
birthweight in the reproductive history of women in Puerto
Rico, 1982. American Iournal of Public Health 781268-272,
March 1988.
BRUNNER, J.J. Educacidn Superior en America Latina:
Cambios y Desafios. Chile: Fondo de Cultura Economica,
1990.
CENTERS FOR DISEASE CONTROL. Brazil Demographic
and HealthSurvey, 1986. Columbia, Maryland: Institute for
Resource Development/Macro International Systems, Inc.,
1986. Data tapes.
CENTERS FOR DISEASE CONTROL. Guatemala Demo-
graphic and Health Survey, 1987. Columbia, Maryland:
Institute for Resource Development/Macro International
Systems, Inc., 1987a. Data tapes.
CENTERS FOR DISEASE CONTROL. Smoking-attributable
mortality and years of potential life lost-United States,
1984. Morbidity and Mortality Week/y Reporf 36t42L693-697,
October 30,1987b.
CENTERS FOR DISEASE CONTROL. Rio de Janeiro,
Curitiba, Recife Young Adult Reproductive Health Survey,
1989-1990. Rio de Janeiro: Sociedade Civil Bern Estar Fa-
miliar no Brasil, 1990a. Data tapes.
CENTERS FOR DISEASE CONTROL. Costa Rica Young
Adult Reproductive Health Survey, 1990. San Jose, Costa
Rica: Programa Salud Reproductiva, 1990b. Data tapes.
CENTERS FOR DISEASE CONTROL. Smoking-attrib-
utable mortality and years of potential life lost-United
States, 1988. Morbidity and Mortality Weekly Report 40(4):62-
71, February 1,199l.
CENTRO LATINOAMERICANO DE DEMOGRAFIA.
Bolefin Demografico/Demographic Bulletin. Santiago, Chile:
CELADE, Year XXIII, No. 45, January 1990.
COLLISHAW, N.E., TOSTOWARYK, W., WIGLE, D.T.
Mortality attributable to tobacco use in Canada. Canadian
Journa/ of Public Health 79(3):166-169, May-June 1988.
DE OLIVEIRA, O., ROBERTS, B. Los antecedentes de la
crisis urbana: Urbanizacibn y transformacibn ocupacional
en America Latina: 1940-1980. In: Lombardi, M., Veiga, D.
teds.) Las Ci&drs en Co@icto: Una Perspectiza Lntinoameric-
ana. Montevideo, Uruguay: Centro de Informaciones y
Estudios de1 Uruguay, Ediciones de la Banda Oriental, 1989.
DE STEFANI, E., CORREA, I'., OREGGIA, F., LEIVA, J,,
RIVERO, S., FERNANDEZ, G., DENEO-PELLEGRINI, H.,
ZAVALA, D., FONTHAM, E. Risk factors for laryngeal
cancer. Cancer 60(12):3087-3091, December 15,1987.
DE STEFANI, E., MUNOZ, N., ESTEVE, J., VASALLO, A.,
VICTORA, C.G., TEUCHMANN, S. Mate drinking, alcohol,
tobacco, diet and esophageal cancer in Uruguay. Cancer
Research 50:426-431, January 15,199O.
DOLL, R., PETO, R. The causes of cancer. Quantitative
estimates of avoidable risks of cancer in the United States
today. Jocmal of the National Cmcer Institute 66(6):1191-
1308, June 1981.
ECONOMIC COMMISSION FOR LATIN AMERICA AND
THE CARIBBEAN. Transformacidn Ocupacional y Crisis Social
en America Latina. Santiago, Chile: Naciones Unidas, 1989.
ERNSTER, V.L. Selling cigarettes: How women are used.
In: Forbes, W.F., Frecker, R.C., Nostbakken, D. (eds.) Pro-
ceedings of the Fifth World Conference on Smoking and Health,
Volume II. Ottawa, Canada: Canadian Council on Smoking
and Health, 1983.
ESCOBEDO, L.G., ANDA, R.F., SMITH P.F., REMINGTON,
P.L., MAST, E.E. So&demographic characteristics of ciga-
rette smoking initiation in the United States. Implications
for smoking prevention policy. /ournal offhe American Med-
ical Association 264(12):1550-1555, September 26,199O.
ESCOBEDO, L.G., REMINGTON, P.L., ANDA, R.F. Long-
term secular trends in initiation of cigarette smoking among
Hispanics in the United States. Public Health Reports
104(6):583-587, November-December 1989.
FRANCO, E.L., KOWALSKI, L.P., OLIVEIRA, B.V.,
CURADO, MI'., PEREIRA, R.N., SILVA, M.E., FAVA, A.S.,
TORLONI, H. Risk factors for oral cancer in Brazil: A case-
control study. Internafionaf Jounznl of Cancer 43:992-1ooO,l989.
GALLUP ORGANIZATION. The incidence of smoking in
Central and Latin America. Conducted for the American
Cancer Society. Princeton, New Jersey: Gallup Organiza-
tion, April 1988.
HAKULINEN, T., HANSLUWKA, H., LOPEZ, A.D.,
NAKADA, T. Global and regional mortality patterns by
cause of death in 1980. tnternational Journal of Eyidemiotogy
15:226-233, June 1986.
98 Prevalence and Mortality
HARRIS, J.E. Cigarette smoking among successive birth
cohorts of men and women in the United States during
1900-80. ]ournul offhe Nutional CancerInstitute 71(3):473-479,
1983.
HAYNES, S.G., HARVEY, C., MONTES, H., NICKENS, H.,
COHEN, B.H. Patterns of cigarette smoking among Hispanics
in the United States: Results from Hispanic Health and
Nutrition Examination Survey, 1982-1984. American Jourd
of Public Heu[th 80(supplement):47-53, December 1990.
INTERNATIONAL AGENCY FOR RESEARCH ON CAN-
CER. Tobacco Smoking. IARC Monographs on the Evalua-
tion of the Carcinogenic Risk of Chemicals to Humans,
Volume 38. Lyon, France: International Agency for Re-
search on Cancer, 1986.
ISCOVICH, J., CASTELLETTO, R., ESTEVE, J., MUNOZ, N.,
COLANZI, R.,CORONEL, A., DEAMEZOLA, I., TASSI, V.,
ARSLAN, A. Tobacco smoking, occupational exposure and
bladder cancer in Argentina. Zderdiorzol Jourd of Cancrr
40(6):734-740, December 15,1987.
JAMISON, D.T., MOSLEY, W.H. Disease control priorities
in developing countries: Health policy responses to epide-
miological change. American \ourno/ of Pnblic Health
81(1):15-22, January 1991.
JOLY, D.J. Enczlesta Sobre lus Caracteristicas de1 HLbito de
Fumar en AmPrica Latina. Washington, DC: Organizacibn
Panamericana de la Salud, Oficina Sanitaria Panamericana,
Oficina Regional de la Organizacidn Mundial de la Salud.
Publicaci6n Cientifica No. 337,1977.
JOLY, O.G., LUBIN, J.H., CARABALLOSO, M. Dark to-
bacco and lung cancer in Cuba. Jourd ofthe National Cancer
Iwtitute 70(6):1033-1039, June 1983.
MARTINEZ, I. Factors associated with cancer of the esoph-
agus, mouth and pharynx in Puerto Rico. Journal of the
Nutionul Cancer lnstifllle 42(6):1069-1094, June 1969.
MCFARLANE, C., WARREN, C.W. 1989 jamuicu Contrucep-
tiue Prezlalence Surzley: Final Report. Kingston, Jamaica:
National Family Planning Board, December 1989.
MERRICK, T.W. Population pressures in Latin America.
Populufion Bulletin 41(3), July 1986.
NATIONAL FAMILY PLANNING BOARD AND CEN-
TERS FOR DISEASE CONTROL. Young Adulf Reproductive
Health Survey,Jumuicu 1987: Final Report. Kingston, Jamaica:
National Family Planning Board, March 1988.
OMRAN, A.R. The epidemiologic transition: A theory of
the epidemiology of population change. Milbunk Memorial
Fwd Qluzrterly 49(4):509-538, October 1971.
PALLONI, A. Mortality in Latin America: Emerging pat-
terns. Poplrlation and Dmelopment Rezliezo 7(4):623449, De-
cember 1981.
PAN AMERICAN HEALTH ORGANIZATION. Health
Conditions in the Americas, 1990 Edition. Washington, DC:
Pan American Health Organization, Pan American Sanitary
Bureau, Regional Office of the World Health Organization.
Scientific Publication No. 524, 1990a.
PAN AMERICAN HEALTH ORGANIZATION. Mortality
Database. Washington, DC: Pan American Health Organi-
zation, Health Situation and Trend Assessment Program,
199Ob. Database.
PAN AMERICAN HEALTH ORGANIZATION. Tobacco or
Heulth: Status in the Americas. Washington, DC: Pan Amer-
ican Health Organization. Scientific Publication No. 536,
1992.
PARKIN, D.M., LAARA, E., MUIR, C.S. Estimates of the
worldwide frequency of sixteen major cancers in 1980. ln-
ternationa/JournulofCuncer 41(2):184-197, February 15,1988.
PETO, R. Influence of dose and duration of smoking on lung
cancer rates. In: Zaridze, D., Peto, R. teds.) Tobacco: A Major
International Health Huxard. Lyon, France: International
Agency for Research on Cancer. IARC Scientific Publication
No. 74,1986.
PORTES, A. Lotin American C/ass Structures: Their Com-
posifionand Change Dzcring theLust Decades. Washington, DC:
The Johns Hopkins University, School of Advanced Interna-
tional Studies, 1984.
RESTREPO, H.E., CORREA, I'., HAENSZEL, W., BRINTON,
L.A., FRANCO, A. A case-control study of tobacco-related
cancers in Colombia. &&tin of the Pun American Health
Oqanization 23(4):40-13, 1989.
RICE, D.P., HODGSON, T.A., SINSHEIMER, I'.,
BROWNER, W., KOPSTEIN, A.N. The economic costs of the
health effects of smoking, 1984. The MiIbunk Quarterly
64(4):489-547,1986.
SAKAMOTO, C.P., FREIRE, H.S., MORRIS, L. lnvestigqrio
Sobre S&de Reproductizla do jovem nu Cidade de Srio Puulo:
Relutdrio Final Atlanta, Georgia: Centers for Disease Con-
trol, 1991.
SCHOENBORN, C.A. Smoking and Other Tobacco Use:
United States 1987. U.S. Department of Health and Human
Services, Public Health Service, Centers for Disease Control,
National Center for Health Statistics. DHHS Publication No.
(PHS) 89-1597, Vital and Health Statistics, Series 10, No. 169,
1989.
SMITH, J.C., WARREN, C.W., GARCIA-NUNEZ, J. The
U.S.-Mexico Border: Contraceptive Use and Maternal Health
Cure in Perspective, 1979. El Paso, Texas: United States-
Mexico Border Health Association, 1983.
THE WORLD BANK. World Development Report 2992: The
Challenge of Development. New York: Oxford University
Press, 1991.
Prrz~alencr and Mortality 99
TUKEY, J.W. Exploratory Data Analysis. Reading, Massa-
chusetts: Addison-Wesley Publishing Company, 1977.
UNITED NATIONS. World Population Prospects, 1988. De-
partment of International Economic and Social Affairs. New
York: United Nations, 1989.
UNITED NATIONS. World Population Prospects, 1990. De-
partment of International Economic and Social Affairs. New
York: United Nations, 1991.
UNITED NATIONS EDUCATIONAL, SCIENTIFIC, AND
CULTURAL ORGANIZATION. Statistical Yeurbook/An-
nuuire Sfutistique/Anuurio Estadziistico 7989. Paris: Unesco,
1989.
U.S. DEPARTMENT OF HEALTH AND HUMAN SER-
VICES The Health Consequences of Smoking. The Changing
Cigarette: A Report of the Surgeon General. U.S. Department
of Health and Human Services, Public Health Service, Office
of the Assistant Secretary for Health, Office on Smoking and
Health. DHHS Publication No. (PHS) Sl-50156,198l.
U.S. DEPARTMENT OF HEALTH AND HUMAN SER-
VICES. Reducing the Heulth Consequences of Smoking: 25 Years
ofProgress. A Report ofthe Surgeon General. U.S. Department
of Health and Human Services, Public Health Service, Cen-
ters for Disease Control, Center for Chronic Disease Preven-
tion and Health Promotion, Office on Smoking and Health.
DHHS Publication No. (CDC) 89-8411,1989.
U.S. DEPARTMENT OF HEALTH AND HUMAN SER-
VICES. The Health Benefits of Smoking Cessation. A Report of
the Surgeon General. U.S. Department of Health and Human
Services, Public Health Service, Centers for Disease Control,
Center for Chronic Disease Prevention and Health Promo-
tion, Office on Smoking and Health. DHHS Publication No.
(CDC) 90-84161990.
U.S. OFFICE OF TECHNOLOGY ASSESSMENT. Smoking-
Related Deaths and Financial Costs. Health Program, Office of
Technology Assessment, U.S. Congress, September 1985.
UNIVERSIDADE FEDERAL DA BAHIA AND CENTERS
FOR DISEASE CONTROL. Salide e Educucuo Sexual do Jovem:
Urn Estudo em Salvador. Salvador, Brazil. February 1989.
VALENZUELA, M.S., HEROLD, J.M., MORRIS, L. Encuesta
de Salad Reprodzzctizla en Adnltos loz~enes: Grun San&go-I988
Informe Final. Atlanta, Georgia: Centers for Disease Control,
July 1989.
VASSALLO, A., CORREA, I'., DE STEFANI, E., CENDAN,
M., ZAVALA, D., CHEN, V., CARZOGLIO, J., DENEO-
PELLEGRINI, H. Esophageal cancer in Uruguay: A case-
control study. Journal of the Nationul Cancer Institute
75(6):1005-1009, December 1985.
VICTORA, C.G., MUNOZ, N., DAY, N.E., BARCELOS, L.B.,
PECCIN, D.A., BRAGA, N.M. Hot beverages and oesopha-
geal cancer in southern Brazil: A case-control study. Inter-
national \ournal of Cancer 39:710-716, 1987.
WARNER, K.E. Health and economic implications of a
tobacco-free society. Journal of the American Medical Associn-
tion 258(15):2080-2086, October 16, 1987.
WILKIE, J.W., OCHOA, E. feds.) Statistical Abstract of Latin
America, Volume 27. Los Angeles, California: UCLA Latin
American Center Publications, 1989.
WILKIE, R.W. Latin American Population and Urbanization
Arrulysis: Maps und Stutistics, 1950-2982. Los Angeles, Cali-
fornia: UCLA Latin American Center Publications, 1984.
WORLD HEALTH ORGANIZATION. Manna/ of Interna-
tional Statistical Classification of Diseases, Injuries, and Causes
of Death. Based on Recommendations of the Ninth Revision
Conference, 1973. Geneva: World Health Organization,
1977.
WORLD HEALTH ORGANIZATION. A 5 Yeur Action Plan:
Smoke free Europe. World Health Organization Regional Of-
fice for Europe. Copenhagen, Denmark: World Health Or-
ganization, 1988.
WORLD HEALTH ORGANIZATION. Report of a WHO
consultation on statistical aspects of tobacco-related mortal-
ity. Report prepared by World Health Organization, Ge-
neva, WHO/TOH/CLH/90.2, October 9-13,1989.
WORLD HEALTH ORGANIZATION. Tobacco-attributable
mortality: global estimates and projections. Tobacco Alert:
4-5,7, January 1991.
200 Prevalence and Mortality
|
en
|
markdown
|
017582
|
# Presentation: 017582
## Public Hearing on Direct-to-Consumer Promotion of Medical Products
- Gail H. Javitt, JD, MPH
- Genetics and Public Policy Center
- Johns Hopkins University
- November 1, 2005
**Notes:**
Thanks for inviting me
Our mission is to create the environment and tools needed by key decision makers in both the private and public sectors to carefully consider and respond to the challenges and opportunities that arise from scientific advances in genetics
Our first project looks at reproductive genetics, which include reproductive genetic testing, genetic modification and reproductive cloning
We do not take positions – we are a resource for all side of the growing debate how to guide the development and use of these technologies. But for today, I thought it would be useful and interesting to present what you need to know about Preimplantation Genetic Diagnosis, genetic testing of embryos created through IVF, which is rapidly becoming a part of IVF for thousands of patients and is growing rapidly in use.
## “No prescription required”
- “**No prescription required”**** **
**“****More than 99.9% accurate”**** **
**“****Completely safe”**
## Slide 3
**Notes:**
New Hope for Understanding DNA Predispositions Under normal conditions in the "Reward System" the neurotransmitter Dopamine works to maintain our normal drives. When dopamine is released into the synapse it stimulates certain dopamine receptors. These stimulated dopamine receptors signal feelings of well-being and stress reduction occurs as the main result. When there is a dysfunction in the "brain reward cascade" which could be caused by certain genetic variants, the brain requires a dopamine fix to feel good. People are born with this genetic trait that leads to substance seeking behavior. New Hope for Understanding DNA Predispositions Under normal conditions in the "Reward System" the neurotransmitter Dopamine works to maintain our normal drives. When dopamine is released into the synapse it stimulates certain dopamine receptors. These stimulated dopamine receptors signal feelings of well-being and stress reduction occurs as the main result. When there is a dysfunction in the "brain reward cascade" which could be caused by certain genetic variants, the brain requires a dopamine fix to feel good. People are born with this genetic trait that leads to substance seeking behavior.
New Hope for Understanding DNA Predispositions Under normal conditions in the "Reward System" the neurotransmitter Dopamine works to maintain our normal drives. When dopamine is released into the synapse it stimulates certain dopamine receptors. These stimulated dopamine receptors signal feelings of well-being and stress reduction occurs as the main result. When there is a dysfunction in the "brain reward cascade" which could be caused by certain genetic variants, the brain requires a dopamine fix to feel good. People are born with this genetic trait that leads to substance seeking behavior.
## Slide 4
## Genetic Testing Quality Initiative
- validity of tests is supported by the science before they are offered to patients and uses of outcomes of tests
- all laboratories must demonstrate their ability to get the right answer reliably
- health care providers are educated about these tests and able to provide them to patients with adequate context and counseling
- patients have confidence in the claims made about tests and in the tests themselves.
- Goals:
## Slide 6
|
en
|
converted_docs
|
503592
|
**2008 ISOG**
**SUMMARY OF CHANGES**
The following is a brief summary of the significant changes that were
made to the 2008 Interagency Single Engine Airtanker Operations Guide
(ISOG). All changes made to the document will be italicized in the 2008
revision. The ISOG should be posted to the National SEAT Web Site by the
last week in February. Hard copies should be available through the Great
Basin Cache Supply Office by March 2008. Order NFES #1844
Changes:
- Changed language **document wide** when referring to documentation
in the Aircraft Daily Diary to documenting in the SEAT Daily
Operations Worksheet (SEAT-002). Filling out the Aircraft Daily
Diary is no longer a requirement, a Daily Diary section has been
added to the SEAT Daily Operations Worksheet.
- Changed language **document wide** from the National
Call-When-Needed (CWN) contract to the National On Call Contract.
```{=html}
<!-- -->
```
- Added language for pilot qualifications for the new amphibious SEAT
aircraft add to the fleet. (Chapter 2, Section II, A. Pilot
Qualifications)
- Added new language to allow a SEAT Manager to manage up to three
trainees. (Chapter 2, Section IV, B. SEAT Manager Trainee)
- Added new language under the SEAT Manager duties to include the SEAT
Manager must know what type of contract they are administrating;
National On Call, Variable Term or Exclusive Use. (Chapter 2,
Section IV, C SEAT Manager Duties and Responsibilities)
- Added language for new required forms that must be completed each
day; AMD 23, SEAT Daily Operations Worksheet (SEAT-002), SEAT Cost
Summary (SEAT-003), and duty charts for both the pilot and driver
(SEAT-004 / SEAT-005). (Chapter 2, Section IV, C SEAT Manager Duties
and Responsibilities)
- Added new language for SEAT Managers to review relief costs and
provide documentation if the cost exceeds the limits identified in
the contract. (Chapter 2, Section IV, C SEAT Manager Duties and
Responsibilities)
- Added new language requiring the completion of the new SEAT Base
Operating Plan (SEAT-Plan-001). (Chapter 2, Section IV, C SEAT
Manager Duties and Responsibilities)
- Added new language to ensure the SEAT Manager contacts the Contract
Officers Representative (COR) within the first 24 hours when
managing a Variable Term or Exclusive Use contract. (Chapter 2,
Section IV, D. Exclusive Use or Variable Term SEAT Management)
- Added new language to the SEAT Manager's duties at a large airtanker
base to included helping coordinate any issues related to sterile
cockpit environment. (Chapter 2, Section IV, E. SEAT Manager Duties
at Established Airtanker Bases)
- Added new required 2008 forms in the SEAT Managers Kit. (Chapter 2,
Section IV, H. SEAT Managers Kit)
- Updated language for mandatory reference materials SEAT Managers
must have with them when on assignment. (Chapter 2, Section IV, I.
Mandatory Guides, Reference Material and Forms)
- Added a new section for General Safety to include; Flight Safety,
Situational Awareness and Minimum Safe Altitudes. (Chapter 3,
Section I, General Safety)
- Added additional language for requesting and obtaining approval for
proficiency flights. (Chapter 3, Section II, H. Proficiency flights)
- Added new language defining flights over waterways and the 300 foot
buffer requirement. (Chapter 3, Section II, I. Flights Over
Waterways)
- Added new language to include amphibious aircraft requirements for
all mission flights. No support vehicle for amphibious aircraft.
(Chapter 3, Section II, J. Required Support Equipment)
- Added new language defining the different types of SEAT contracts;
National On Call, Variable Term and Exclusive Use. (Chapter 3,
Section III, A,B &C Types of Contracts)
- Added new language on placing an order for a SEAT with the different
types of contracts. (Chapter 3, Section IV, A&B Placing an Order for
a SEAT)
- Clarified language on providing lunch to SEAT contractor personnel.
(Chapter 3, Section V, F. Meals)
- Added new language defining the sterile cockpit environment.
(Chapter 4, Section V, G. Sterile Cockpit Environment)
- Updated language for gate and tank specifications. (Chapter 5,
Section IV Tank and Gate Requirements and Standards)
- New language in the heading for Chapter 6 Title: "SEAT Bases and
Landing Areas".
- New language defining the different SEAT base categories. (Chapter
6, Section VI, SEAT Base Categories)
- Added new language requiring the completion of the new SEAT Base
Operating Plan (SEAT-Plan-001) for all Category II -- IV bases.
(Chapter 6, Section VIII, SEAT Base Operating Plan)
- New language on SEAT Base security for both the aircraft and the
base. (Chapter 6, Section IX, A.& B. SEAT Base Security)
- Add the following to the glossary: Fire Traffic Area (FTA), SEAT
Base Categories, Sterile Cockpit Environment, Waterways Environment
Guidance (300 Foot Buffer)
|
en
|
all-txt-docs
|
466411
|
"Il Trovatore, op. 627 /","sm2/sm1856/300000","300400","001.gif","1","1","","001.tif"
"Il Trovatore, op. 627 /","sm2/sm1856/300000","300400","002.gif","2","2","","002.tif"
"Il Trovatore, op. 627 /","sm2/sm1856/300000","300400","003.gif","3","3","","003.tif"
"Il Trovatore, op. 627 /","sm2/sm1856/300000","300400","004.gif","4","4","","004.tif"
"Il Trovatore, op. 627 /","sm2/sm1856/300000","300400","005.gif","5","5","","005.tif"
"Il Trovatore, op. 627 /","sm2/sm1856/300000","300400","006.gif","6","6","","006.tif"
"Il Trovatore, op. 627 /","sm2/sm1856/300000","300400","007.gif","7","7","","007.tif"
"Il Trovatore, op. 627 /","sm2/sm1856/300000","300400","008.gif","8","8","","008.tif"
"Il Trovatore, op. 627 /","sm2/sm1856/300000","300400","009.gif","9","9","","009.tif"
|
en
|
markdown
|
169150
|
# Presentation: 169150
## Session 5: Roadmap for Recovery
## Recovery Stages
- Stage 1: Withdrawal
- Stage 2: Early Abstinence (“Honeymoon”)
- Stage 3: Protracted Abstinence (“the Wall”)
- Stage 4: Adjustment/Resolution
- Matrix IOP
## Stage 1: Withdrawal
- Physical detoxification
- Cravings
- Depression/anxiety
- Low energy
- Irritability
- WITHDRAWAL
- Exhaustion
- Insomnia
- Paranoia
- Memory problems
- Intense hunger
- Matrix IOP
## Withdrawal Relapse Risk Factors
- Powerful cravings
- Paranoia
- Depression
- Disordered sleep patterns
- Unstructured time
- Proximity of triggers
- Fear of withdrawal symptoms
- Matrix IOP
## Withdrawal Structure
- Self-designed structure
- Helps eliminate avoidable triggers
- Makes the concept of “one day at a time” concrete
- Reduces anxiety
- Counters the drug-using lifestyle
- Provides a basic foundation for ongoing recovery
- Matrix IOP
## Building Blocks of Structure
- Matrix IOP
## Scheduling Pitfalls
- Unrealistic schedules
- Unbalanced schedules
- Imposed schedules
- No support from significant others
- Holidays, illness, and other changes
- Matrix IOP
## Stage 2: Early Abstinence
- Intense feelings
- Mood swings
- Other substance use
- Inability to prioritize
- Mild paranoia
**Stage 2: Early Abstinence**
- Increased energy and optimism
- Overconfidence
- Difficulty concentrating
- Continued memory problems
- HONEYMOON
- Matrix IOP
## Early Abstinence Relapse Risk Factors
- “Workaholism”
- Discontinuation of structure (including treatment)
- Overconfidence
- Secondary drug or alcohol use
- Inability to prioritize
- Resistance to behavior change
- Occasional paranoia
- Matrix IOP
## Early Abstinence Triggers and Thought Stopping
- Trigger
- Thought
- Thought stopping
- Continued thoughts
- Use
- Cravings
- Matrix IOP
## Interruption
**Interruption**
- Matrix IOP
## Types of Triggers
- Triggers can relate to
- People
- Places
- Things
- Times
- Emotional states
- Matrix IOP
## Triggers People
- Friends who use drugs/dealers
- Absence of significant other
- Voices of friends who use drugs/dealers
- Intimate partners
- People discussing drug use
- Matrix IOP
## Triggers Places
- Drug dealer’s home
- Bars and clubs
- Drug use neighborhoods
- Work
- Some street corners
*Anyplace* associated with use
- Matrix IOP
## Triggers Things
- Drug paraphernalia
- Money/ATMs
- Movies/TV shows about drugs and alcohol
- Sexually explicit magazines/movies
- Certain music
- Secondary drug or alcohol use
- Matrix IOP
## Triggers Times
- Idle time
- After work
- Holidays
- Birthdays/anniversaries
- Stressful times
- Paydays
- Friday/Saturday nights
- Matrix IOP
## Triggers Emotional States
- Anxiety
- Depression
- Boredom
- Fear
- Sexual arousal *or* deprivation
- Fatigue
- Anger
- Frustration
- Concern about weight gain
- Matrix IOP
## Thought Stopping
- Learn to recognize “using thoughts”
- Use visual imagery
- Snap a rubberband
- Relax
- Call someone
- Matrix IOP
## Nontrigger Activities
- Exercise
- 12-Step/mutual-help group meetings
- New recreation/hobby
- Faith-based or spiritual activities
- Eating/sleeping
- Non–drug-oriented movies
- Structured/monitored periods
- Matrix IOP
## Stage 3: Protracted Abstinence
- Continued lifestyle changes
- Anger and depression
- Isolation
- Family adjustment
**Return** **of** **cravings**
**Return to old behaviors**
- THE WALL
- Positive benefits from abstinence
- Emotional swings
- Unclear thinking
- Matrix IOP
## Protracted Abstinence Relapse Risk Factors
- Increased emotionality
- Behavioral “drift”
- Decreased ability to feel pleasure
- Low energy/fatigue
- Secondary drug use
- Breakdown of structure
- Interpersonal conflict
- Loss of motivation
- Insomnia
- Paranoia
- Relapse justification
- Matrix IOP
## Secondary Drugs and Alcohol
- Use of a secondary drug or alcohol may lead to relapse to stimulants through
- Cortical disinhibition
- Stimulant craving induction
- 12-Step philosophy conflict
- Abstinence violation effect
- Interference with new behaviors
- Matrix IOP
## Protracted Abstinence Relapse Justification
**The addicted brain attempts to provide a *****seemingly***** rational reason (justification) for behavior that moves a person in recovery closer to a slip.**
- Matrix IOP
## Relapse Justification Other People Made Me Do It
- My wife used so ...
- I was doing fine until he brought home ...
- I went to the beach with my sister and ...
- My brother came over for dinner and brought some ...
- I wanted to see my friend just once more, and he offered me some ...
- Matrix IOP
## Relapse Justification I Needed It for a Specific Purpose
- I was getting fat again and needed to control my weight, so I ...
- I couldn’t get the energy I needed without ...
- I can’t have fun without ...
- Life is too boring without ...
- I can’t be comfortable in social situations or meet people without ...
- Matrix IOP
## Relapse Justification I Was Testing Myself
- I wanted to see whether it would “work better” now that I’ve been clean awhile.
- I wanted to see my friends again, and I’m stronger now.
- I needed a little money and thought I could sell a little without using.
- I wanted to see whether I could use just a little and no more.
- I wanted to see whether I could be around it and say no.
- I thought I could drink without using.
- Matrix IOP
## Relapse Justification It Wasn’t My Fault
- It was right before my period, and I was depressed.
- I had an argument with my spouse.
- My parents were bugging me.
- My partner was intimate with another person.
- The weather was gloomy.
- I was only going to take a hit and ...
- Matrix IOP
## Relapse Justification It Was an Accident
- I was in a bar, and someone offered me some meth.
- I was at work, and someone offered ...
- I found some in my car.
- I went to a movie about ...
- A friend called to see how I was doing. We were talking and decided to get together.
- Matrix IOP
## Relapse Justification I Felt Bad
- Life is so boring I may as well use.
- I was feeling depressed, so ...
- My job wasn’t going well and I was frustrated, so ...
- I was feeling sorry for myself, so I ...
- Recovery is just too hard.
- Matrix IOP
## Stage 4: Adjustment and Resolution
- Feelings of accomplishment
- ADJUSTMENT/RESOLUTION
**Maintaining a balanced lifestyle**
**Accepting that recovery is a life-long process**
**Monitoring for **
**relapse** **signs**
**Addressing underlying issues that may surface ****or resurface**
- Continued lifestyle/ relationship change
- Matrix IOP
## Adjustment and Resolution Relapse Risk Factors
- Secondary drug or alcohol use
- Feeling “cured” and relaxing vigilance for relapse signs
- Relaxation of structure
- Losing recovery momentum/commitment
- Struggle with accepting addiction and recovery as a life-long process
- Reemergence of underlying emotional issues
- Matrix IOP
## Adjustment and Resolution Balance
**Work**
**Recovery ****Activities**
**Sleep**
**Leisure**
**Relationships**
- Matrix IOP
|
en
|
all-txt-docs
|
439363
|
THIS OPINION WAS INITIALLY ISSUED UNDER PROTECTIVE ORDER
AND IS BEING RELEASED TO THE PUBLIC IN ITS
ENTIRETY ON DECEMBER 23, 1992
MOTION FOR SUMMARY RELIEF DENIED: December 11, 1992
GSBCA 12082-P
TECHNOLOGY, MANAGEMENT & ANALYSIS CORPORATION,
Protester,
v.
ENVIRONMENTAL PROTECTION AGENCY,
Respondent,
and
ORACLE COMPLEX SYSTEMS CORPORATION,
Intervenor.
William W. Goodrich, Jr., and Thomas W.A. Barham of Arent
Fox Kintner Plotkin & Kahn, Vienna, VA, and Jacob B. Pompan and
Daniel A. Perkowski of Pompan, Ruffner & Bass, Alexandria, VA,
counsel for Protester.
Avital G. Zemel, Office of the General Counsel,
Environmental Protection Agency, Washington, DC, and L. Carol
Roberson, Office of General Counsel, Environmental Protection
Agency, Research Triangle Park, NC, counsel for Respondent.
Richard O. Duvall, Richard L. Moorhouse, and Michael H.
Ditton of Dunnells, Duvall & Porter, Washington, DC, counsel for
Intervenor.
Before Board Judges NEILL, HYATT, and VERGILIO.
NEILL, Board Judge.
On October 8, 1992, this protest was filed by Technology,
Management & Analysis Corporation (TMA). The procurement in
question involves a contract for the supply and support of
relational database management system (RDBMS) software and
related services under request for proposals (RFP) number
W002073-A3 issued by the U.S. Environmental Protection Agency
(EPA).
Respondent awarded the protested contract to Oracle Complex
Systems Corporation (OCSC), which has intervened, as a matter of
right, in this protest. Protester's initial complaint set forth
four bases of protest. On November 3, on motion from protester,
two of the four counts were dismissed with prejudice. Shortly
thereafter, the Board granted protester's motion to amend its
complaint to include two additional counts. The first alleges
negotiations with OCSC after submission of best and final offers
(BAFOs). The second count alleges that the offer of OCSC was
unbalanced.
Both respondent and intervenor moved for summary relief with
regard to the allegation of negotiations with OCSC after BAFOs.
Protester opposed the motions and brought its own cross-motion
for summary relief on the same count. We denied the cross-motion
and granted the two motions for summary relief. Technology,
Management & Analysis Corp. v. Environmental Protection Agency,
GSBCA 12082-P (Dec. 9, 1992).
Still before us is a motion for summary relief filed by the
EPA regarding the second count of the amended complaint, namely,
the allegation that the offer of OCSC was unbalanced. OCSC
supports the motion. For the reasons set out below, however, the
motion is denied.
Discussion
Among the facts relevant to the protest count alleging an
unbalanced offer, respondent lists the following as undisputed:
5. The estimate of the EPA's ordering needs has not
changed since the evaluation of the proposals and award
of the contract. . . .
6. The entire basis for Protester's allegation of
materially unbalanced offer is the speculation that
EPA's ordering pattern will change during the contract
(Answers to Respondent's Second Interrogatories, # 23,
24 and 25).
Respondent's Motion for Summary Relief as to Count VI at 4.
In a relatively detailed opposition to respondent's motion
for summary relief, counsel for protester vigorously challenges
the two facts set out above and said by respondent to be
undisputed. See Protester's Opposition to Respondent's Motion
for Summary Relief as to Count VI at 4-9.
It is well established that summary judgment will not be
granted if the moving party fails to establish the absence of any
genuine issue of material fact. Copeland's Enterprises, Inc. v.
CNV, Inc., 945 F.2d 1563, 1565-66 (Fed. Cir. 1991); Armco, Inc.
v. Cyclops Corp., 791 F.2d 147, 149 (Fed. Cir. 1986); Integrated
Systems Group, Inc., GSBCA 11494-P, 92-1 BCA 24,621, at 122,807
n.2, 1991 BPD 335, at 2 n.2; Griffin Services, Inc., GSBCA
11171, 91-3 BCA 24,156, at 120,872. We find that respondent in
this case has not met its burden. There clearly is an on-going
dispute between the parties regarding the stability or immutable
character of the EPA's ordering needs and pattern. We,
therefore, cannot grant respondent's motion to the extent that it
is premised on an alleged lack of controversy on these issues.
A second argument raised, in the alternative, by respondent
in support of its motion for summary relief is that even if the
OCSC offer is unbalanced, neither the solicitation nor the
Federal Acquisition Regulation (FAR) mandates rejection of a
materially unbalanced offer. Respondent's Motion for Summary
Relief as to Count VI at 10-11.
Protester counters this second argument of respondent by
citing to a provision in Section M of the solicitation which
notified offerors that "buy-in" offers which are priced low for
some ordering periods and high for other periods could not be
accepted. Protester's Opposition to Respondent's Motion for
Summary Relief as to Count VI at 3. The record for this case is
not yet sufficiently developed for us to be able to conclude that
this has or has not occurred or that the parties are in agreement
or disagreement on that matter.
Protester also points out that in SMS Data Products v.
United States, 900 F.2d 1553 (Fed. Cir. 1990), the Court held:
[N]o bid meeting the definition of mathematical
imbalance can be accepted if it includes bid prices
representing anything other than the value of a bona
fide fiscal year's requirements, either in the form of
explicit "separate charges" or implicit charges.
Implicit charges occur if the price of an item is not
proportional to its value, but instead includes part of
another fiscal year's requirement.
Id. at 1556. Protester contends that in this case, it will show
unbalancing which falls squarely under the SMS Data Products
rule. Whether this is correct rests of course on our eventual
assessment of the record as developed on this issue by the
parties. In a motion such as this, however, we are required to
resolve all significant doubt in favor of the non-movant. Armco,
791 F.2d at 149. Accordingly, we assume that, based on the
proffer offered in its opposition, for purposes of this motion,
protester will meet its burden of proof on this matter. For this
reason, we reject the alternative argument of respondent.
Decision
Respondent's motion for summary relief as to count VI is
DENIED.
____________________
EDWIN B. NEILL
Board Judge
We concur:
_______________________
CATHERINE B. HYATT
Board Judge
_______________________
JOSEPH A. VERGILIO
Board Judge
|
en
|
converted_docs
|
981434
|
##### QADATA Summary -- June 2006
The Inorganic Blind Sample Project (IBSP) of the Branch of Quality
Systems reviews about 100 inorganic analytical lines at the National
Water Quality Laboratory (NWQL) using double-blind, quality-control
samples. A summary of this review, the QADATA Summary, is a short report
commenting on only those analytical lines for which the quality-control
charts indicate or have indicated a bias and/or higher than expected
variability. Overall, the vast majority of the inorganic methods at the
NWQL demonstrate acceptable variability and little or no bias.
The data reviewed in this summary is for the time period 11/01/05
through 05/25/06; however, longer-range charts may be used when they add
clarity to the problem. The attached quality-control charts contain data
from samples that have been subject to the same laboratory handling
procedures as the samples submitted by the USGS district offices, and
the data have the same level of quality-control review as the data
released to the districts. Therefore, any factors that affect the data
displayed on the IBSP quality-control charts should also affect the
districts' data in a similar manner. Data from samples known to have
been affected by a problem independent of the laboratory are removed
from the charts.
In this report, the "Problem" is determined and written by IBSP and then
sent to the NWQL. The NWQL then gets two weeks to respond to the issue
by writing a "Lab Comment" and a "Corrective Action." Comments from the
lab are incorporated into the QADATA Summary as received. The most
recent comments and responses are in bold followed by comments and
responses from previous QADATA Summaries. Approximately one month after
the QADATA Summary is distributed, the NWQL and IBSP personnel usually
meet to follow-up on corrective actions and how the corrective actions
have impacted the new data.
Current charts (updated twice weekly) may be accessed at
<http://bqs.usgs.gov/bsp/FY06charts.htm>. Laboratory and district
personnel can also make their own custom QADATA retrieval to parallel
their objectives by using the QADATA Application online at
[http://bqs.usgs.gov/bsp](http://bqs.usgs.gov/bsp/mainpage.html) (select
QADATA Application button). Charts pertaining specifically to this
report can be accessed electronically by following the underlined
hyperlinks embedded within the report and associated with each analysis
discussed.
Historical QADATA Summaries may be accessed at
<http://bqs.usgs.gov/bsp/QAData.htm>.
*Tedmund M. Struzeski*
<[email protected]>
Table of Contents
Report Highlights Page
[One-Page Summary](#Highlights) 3
Detailed Description by Analyte
Nutrients
[Phosphorus, Filtered,](#nwql2331) (Low-level), Colorimetry, Labcode
2331, Parmcode 0666G 4
Trace Metals
[Strontium, Filtered,](#nwql2507) ICP-MS, Labcode 2507, Parmcode 1080I 5
Majors
[Alkalinity, Filtered,](#nwql2109) Electrometry, Labcode 2109, Parmcode
29801A 6
[Alkalinity, Whole-Water Recoverable,](#nwql0070) Electrometry, Labcode
0070, Parmcode 90410A 6
[Fluoride, Filtered,](#nwql0031) ISE, Labcode 0031, Parmcode 0950B 6
> []{#Highlights .anchor}**Report Highlights**
######### Note: Click the underlined text to access the control chart associated with the comment.
1. [Phosphorus](http://bqs.usgs.gov/bsp/QADATA_all/06Jun/Jun06NWQL00666G.gif),
filtered, colorimetry, low-level, parmcode 0666G -- Increased
variability, but less bias, starting January 2006.
2. [Alkalinity](http://bqs.usgs.gov/bsp/QADATA_all/06Jun/Jun06NWQL29801A.gif),
filtered, electrometry, parmcode 29801A -- Positive bias starting
October 2005. Recent data show 7.8% bias.
3. [Alkalinity](http://bqs.usgs.gov/bsp/QADATA_all/06Jun/Jun06NWQL90410A.gif),
whole-water recoverable, electrometry, parmcode 90410A -- Positive
bias starting September 2005. Recent data show 7.5% bias.
4. [Fluoride](http://bqs.usgs.gov/bsp/QADATA_all/06Jun/Jun06NWQL00950B.gif),
filtered, ISE, parmcode 0950B -- Increase in positive bias starting
April 2006. Data since then show 18% bias
NWQL PERFORMANCE ON IBSP SAMPLES
######### **Note: Click the underlined text in the left-hand column to access the control chart for the associated comment.**
+----------+------------------+-------------------+-------------------+
| ** | **Problem** | **NWQL** | **Corrective** |
| Nutrient | | | |
| Determin | | **Lab Comment** | **Action** |
| ations** | | | |
+==========+==================+===================+===================+
| [[]{# | **A positive | **One of the | **The analyst |
| nwql2331 | bias starting in | samples was | operating the |
| .anch | 2005 is shown | determined to be | instrument has |
| or}**Pho | improving in | a mispour by the | been instructed |
| sphorus, | February 2006. | analyst. Further | to take greater |
| F | However, | investigation is | care when |
| iltered* | variability has | now under way to | preparing samples |
| *](http: | increased as of | determine the | for analysis. We |
| //bqs.us | late-January | cause of the | are examining the |
| gs.gov/b | 2006. Since | lower-than-target | original data and |
| sp/QADAT | then, four out | values for the | are rerunning the |
| A_all/06 | of 34 results | other three | other three |
| Jun/Jun0 | (12%) are more | samples.** | samples to |
| 6NWQL006 | than\ | | determine if they |
| 66G.gif) | 4 f-pseudosigmas | | were mispoured as |
| **L | lower than the | | well. The |
| ow-level | target value.** | | examination is |
| Col | | | targeted to be |
| orimetry | | | completed by June |
| labcode | | | 16, 2006. Further |
| 2331 | | | corrective action |
| parmcode | | | may be necessary |
| 0666G** | | | depending on the |
| | | | results of the |
| | | | investigation.** |
+----------+------------------+-------------------+-------------------+
| | | | |
+----------+------------------+-------------------+-------------------+
+---------+---+------------------+-------------------+-------------------+
| **Trace | * | | **NWQL** | **Corrective** |
| Metal | * | | | |
| De | P | | **Comment** | **Action** |
| termina | r | | | |
| tions** | o | | | |
| | b | | | |
| | l | | | |
| | e | | | |
| | m | | | |
| | * | | | |
| | * | | | |
+=========+===+==================+===================+===================+
| [[]{#n | * | | **New calibration | **Analysis will |
| wql2507 | * | | standards were | be closely |
| .ancho | R | | prepared in May. | monitored until |
| r}**Str | e | | All blind samples | next QADATA |
| ontium, | s | | have been rerun | Summary is |
| Fil | u | | using the new | distributed.** |
| tered** | l | | calibration | |
| ](http: | t | | standards and no | |
| //bqs.u | s | | bias is evident | |
| sgs.gov | f | | at this time.** | |
| /bsp/QA | r | | | |
| DATA_al | o | | | |
| l/06Jun | m | | | |
| /Jun06N | t | | | |
| WQL0108 | h | | | |
| 0I.gif) | e | | | |
| * | l | | | |
| *ICP-MS | o | | | |
| labcode | w | | | |
| 2507 | c | | | |
| p | o | | | |
| armcode | n | | | |
| 1080I** | c | | | |
| | e | | | |
| | n | | | |
| | t | | | |
| | r | | | |
| | a | | | |
| | t | | | |
| | i | | | |
| | o | | | |
| | n | | | |
| | b | | | |
| | l | | | |
| | i | | | |
| | n | | | |
| | d | | | |
| | s | | | |
| | a | | | |
| | m | | | |
| | p | | | |
| | l | | | |
| | e | | | |
| | ( | | | |
| | a | | | |
| | t | | | |
| | 3 | | | |
| | 1 | | | |
| | . | | | |
| | 8 | | | |
| | u | | | |
| | g | | | |
| | / | | | |
| | L | | | |
| | ) | | | |
| | a | | | |
| | r | | | |
| | e | | | |
| | b | | | |
| | i | | | |
| | a | | | |
| | s | | | |
| | e | | | |
| | d | | | |
| | o | | | |
| | n | | | |
| | a | | | |
| | v | | | |
| | e | | | |
| | r | | | |
| | a | | | |
| | g | | | |
| | e | | | |
| | 6 | | | |
| | . | | | |
| | 4 | | | |
| | % | | | |
| | l | | | |
| | o | | | |
| | w | | | |
| | e | | | |
| | r | | | |
| | t | | | |
| | h | | | |
| | a | | | |
| | n | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | t | | | |
| | a | | | |
| | r | | | |
| | g | | | |
| | e | | | |
| | t | | | |
| | v | | | |
| | a | | | |
| | l | | | |
| | u | | | |
| | e | | | |
| | . | | | |
| | I | | | |
| | n | | | |
| | a | | | |
| | d | | | |
| | d | | | |
| | i | | | |
| | t | | | |
| | i | | | |
| | o | | | |
| | n | | | |
| | , | | | |
| | a | | | |
| | b | | | |
| | o | | | |
| | u | | | |
| | t | | | |
| | o | | | |
| | n | | | |
| | e | | | |
| | - | | | |
| | h | | | |
| | a | | | |
| | l | | | |
| | f | | | |
| | o | | | |
| | f | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | r | | | |
| | e | | | |
| | s | | | |
| | u | | | |
| | l | | | |
| | t | | | |
| | s | | | |
| | f | | | |
| | o | | | |
| | r | | | |
| | t | | | |
| | h | | | |
| | i | | | |
| | s | | | |
| | s | | | |
| | a | | | |
| | m | | | |
| | p | | | |
| | l | | | |
| | e | | | |
| | a | | | |
| | r | | | |
| | e | | | |
| | o | | | |
| | u | | | |
| | t | | | |
| | s | | | |
| | i | | | |
| | d | | | |
| | e | | | |
| | o | | | |
| | f | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | l | | | |
| | o | | | |
| | w | | | |
| | e | | | |
| | r | | | |
| | c | | | |
| | o | | | |
| | n | | | |
| | t | | | |
| | r | | | |
| | o | | | |
| | l | | | |
| | l | | | |
| | i | | | |
| | m | | | |
| | i | | | |
| | t | | | |
| | ( | | | |
| | - | | | |
| | 2 | | | |
| | f | | | |
| | - | | | |
| | p | | | |
| | s | | | |
| | e | | | |
| | u | | | |
| | d | | | |
| | o | | | |
| | s | | | |
| | i | | | |
| | g | | | |
| | m | | | |
| | a | | | |
| | s | | | |
| | ) | | | |
| | . | | | |
| | R | | | |
| | e | | | |
| | s | | | |
| | u | | | |
| | l | | | |
| | t | | | |
| | s | | | |
| | f | | | |
| | o | | | |
| | r | | | |
| | a | | | |
| | l | | | |
| | l | | | |
| | o | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | r | | | |
| | b | | | |
| | l | | | |
| | i | | | |
| | n | | | |
| | d | | | |
| | s | | | |
| | a | | | |
| | m | | | |
| | p | | | |
| | l | | | |
| | e | | | |
| | s | | | |
| | s | | | |
| | u | | | |
| | b | | | |
| | m | | | |
| | i | | | |
| | t | | | |
| | t | | | |
| | e | | | |
| | d | | | |
| | s | | | |
| | h | | | |
| | o | | | |
| | w | | | |
| | a | | | |
| | c | | | |
| | c | | | |
| | e | | | |
| | p | | | |
| | t | | | |
| | a | | | |
| | b | | | |
| | l | | | |
| | e | | | |
| | b | | | |
| | i | | | |
| | a | | | |
| | s | | | |
| | a | | | |
| | n | | | |
| | d | | | |
| | v | | | |
| | a | | | |
| | r | | | |
| | i | | | |
| | a | | | |
| | b | | | |
| | i | | | |
| | l | | | |
| | i | | | |
| | t | | | |
| | y | | | |
| | . | | | |
| | * | | | |
| | * | | | |
+---------+---+------------------+-------------------+-------------------+
| *P | | | | |
| revious | | | | |
| c | | | | |
| omments | | | | |
| for | | | | |
| str | | | | |
| ontium, | | | | |
| fi | | | | |
| ltered, | | | | |
| ICP-MS, | | | | |
| labcode | | | | |
| 2507, | | | | |
| p | | | | |
| armcode | | | | |
| 1080I* | | | | |
+---------+---+------------------+-------------------+-------------------+
| From | T | | | |
| | h | | | |
| > | e | | | |
| QADATA | d | | | |
| > | a | | | |
| Summary | t | | | |
| > April | a | | | |
| > 2006 | a | | | |
| | r | | | |
| | e | | | |
| | n | | | |
| | o | | | |
| | w | | | |
| | b | | | |
| | i | | | |
| | a | | | |
| | s | | | |
| | e | | | |
| | d | | | |
| | l | | | |
| | e | | | |
| | s | | | |
| | s | | | |
| | t | | | |
| | h | | | |
| | a | | | |
| | n | | | |
| | 5 | | | |
| | % | | | |
| | f | | | |
| | r | | | |
| | o | | | |
| | m | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | i | | | |
| | r | | | |
| | t | | | |
| | a | | | |
| | r | | | |
| | g | | | |
| | e | | | |
| | t | | | |
| | v | | | |
| | a | | | |
| | l | | | |
| | u | | | |
| | e | | | |
| | . | | | |
| | H | | | |
| | o | | | |
| | w | | | |
| | e | | | |
| | v | | | |
| | e | | | |
| | r | | | |
| | , | | | |
| | t | | | |
| | h | | | |
| | r | | | |
| | e | | | |
| | e | | | |
| | o | | | |
| | u | | | |
| | t | | | |
| | o | | | |
| | f | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | l | | | |
| | a | | | |
| | s | | | |
| | t | | | |
| | 1 | | | |
| | 3 | | | |
| | r | | | |
| | e | | | |
| | s | | | |
| | u | | | |
| | l | | | |
| | t | | | |
| | s | | | |
| | ( | | | |
| | 2 | | | |
| | 3 | | | |
| | % | | | |
| | ) | | | |
| | a | | | |
| | r | | | |
| | e | | | |
| | o | | | |
| | u | | | |
| | t | | | |
| | s | | | |
| | i | | | |
| | d | | | |
| | e | | | |
| | \ | | | |
| | - | | | |
| | 2 | | | |
| | f | | | |
| | ‑ | | | |
| | p | | | |
| | s | | | |
| | e | | | |
| | u | | | |
| | d | | | |
| | o | | | |
| | s | | | |
| | i | | | |
| | g | | | |
| | m | | | |
| | a | | | |
| | s | | | |
| | . | | | |
| | | | | |
| | A | | | |
| | n | | | |
| | a | | | |
| | l | | | |
| | y | | | |
| | s | | | |
| | i | | | |
| | s | | | |
| | s | | | |
| | h | | | |
| | o | | | |
| | u | | | |
| | l | | | |
| | d | | | |
| | b | | | |
| | e | | | |
| | c | | | |
| | l | | | |
| | o | | | |
| | s | | | |
| | e | | | |
| | l | | | |
| | y | | | |
| | m | | | |
| | o | | | |
| | n | | | |
| | i | | | |
| | t | | | |
| | o | | | |
| | r | | | |
| | e | | | |
| | d | | | |
| | u | | | |
| | n | | | |
| | t | | | |
| | i | | | |
| | l | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | n | | | |
| | e | | | |
| | x | | | |
| | t | | | |
| | Q | | | |
| | A | | | |
| | D | | | |
| | A | | | |
| | T | | | |
| | A | | | |
| | S | | | |
| | u | | | |
| | m | | | |
| | m | | | |
| | a | | | |
| | r | | | |
| | y | | | |
| | i | | | |
| | s | | | |
| | d | | | |
| | i | | | |
| | s | | | |
| | t | | | |
| | r | | | |
| | i | | | |
| | b | | | |
| | u | | | |
| | t | | | |
| | e | | | |
| | d | | | |
| | . | | | |
+---------+---+------------------+-------------------+-------------------+
| From | A | | There was | We transferred |
| | n | | increased scatter | the Sr analysis |
| > | u | | starting in | to the older |
| QADATA | p | | October and the | ICP-MS the week |
| > | w | | upward trend | of January 29th |
| Summary | a | | starting in | and have stopped |
| > F | r | | December. | running Sr on the |
| ebruary | d | | Starting in Oct. | new instrument. |
| > 2006 | t | | most of the Sr | There is not |
| | r | | results were from | enough data to |
| | e | | the new ICP-MS. | see the effect on |
| | n | | | the bias. If that |
| | d | | | fixes the problem |
| | i | | | we will not |
| | n | | | analyze Sr on the |
| | t | | | new instrument |
| | h | | | until we |
| | e | | | determine the |
| | d | | | cause of the |
| | a | | | problem and fix |
| | t | | | it. |
| | a | | | |
| | i | | | |
| | s | | | |
| | s | | | |
| | h | | | |
| | o | | | |
| | w | | | |
| | n | | | |
| | \ | | | |
| | s | | | |
| | t | | | |
| | a | | | |
| | r | | | |
| | t | | | |
| | i | | | |
| | n | | | |
| | g | | | |
| | D | | | |
| | e | | | |
| | c | | | |
| | e | | | |
| | m | | | |
| | b | | | |
| | e | | | |
| | r | | | |
| | 2 | | | |
| | 0 | | | |
| | 0 | | | |
| | 5 | | | |
| | . | | | |
| | D | | | |
| | a | | | |
| | t | | | |
| | a | | | |
| | s | | | |
| | i | | | |
| | n | | | |
| | c | | | |
| | e | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | n | | | |
| | e | | | |
| | x | | | |
| | h | | | |
| | i | | | |
| | b | | | |
| | i | | | |
| | t | | | |
| | a | | | |
| | p | | | |
| | o | | | |
| | s | | | |
| | i | | | |
| | t | | | |
| | i | | | |
| | v | | | |
| | e | | | |
| | b | | | |
| | i | | | |
| | a | | | |
| | s | | | |
| | o | | | |
| | f | | | |
| | 7 | | | |
| | . | | | |
| | 1 | | | |
| | % | | | |
| | a | | | |
| | b | | | |
| | o | | | |
| | v | | | |
| | e | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | t | | | |
| | a | | | |
| | r | | | |
| | g | | | |
| | e | | | |
| | t | | | |
| | v | | | |
| | a | | | |
| | l | | | |
| | u | | | |
| | e | | | |
| | . | | | |
+---------+---+------------------+-------------------+-------------------+
| | | | | |
+---------+---+------------------+-------------------+-------------------+
+---------+---+------------------+-------------------+-------------------+
| **Major | * | | **NWQL** | **Corrective** |
| De | * | | | |
| termina | P | | **Comment** | **Action** |
| tions** | r | | | |
| | o | | | |
| | b | | | |
| | l | | | |
| | e | | | |
| | m | | | |
| | * | | | |
| | * | | | |
+=========+===+==================+===================+===================+
| [[]{#n | * | | **Use of new | **At this time no |
| wql2109 | * | | instrumentation | corrective action |
| .anchor | T | | was initiated in | will be taken. |
| }**Alka | h | | July 2005. Prior | The inflection |
| linity, | e | | to the new | point technique |
| Fil | d | | instrumentation, | for determining |
| tered** | a | | spike recoveries | concentration is |
| ](http: | t | | showed a negative | being |
| //bqs.u | a | | bias. After the | investigated for |
| sgs.gov | i | | new | use in this |
| /bsp/QA | n | | instrumentation | method. The |
| DATA_al | d | | was initiated the | investigation is |
| l/06Jun | i | | bias became | targeted to be |
| /Jun06N | c | | positive with | completed by |
| WQL2980 | a | | decreasing | October 1, |
| 1A.gif) | t | | magnitude and | 2006.** |
| * | e | | more scatter. | |
| *Electr | a | | Recoveries for | |
| ometric | p | | reference | |
| labcode | o | | material M-152 | |
| 2109 | s | | (target value = | |
| p | i | | 6.00 mg/L) from | |
| armcode | t | | April 2006 to | |
| 2 | i | | present show a | |
| 9801A** | v | | 0.2% positive | |
| | e | | bias. M-168 | |
| | b | | recoveries | |
| | i | | (target value = | |
| | a | | 28.2 mg/L) from | |
| | s | | March to present | |
| | . | | show a 3.4% | |
| | R | | positive bias.** | |
| | e | | | |
| | s | | | |
| | u | | | |
| | l | | | |
| | t | | | |
| | s | | | |
| | f | | | |
| | r | | | |
| | o | | | |
| | m | | | |
| | s | | | |
| | a | | | |
| | m | | | |
| | p | | | |
| | l | | | |
| | e | | | |
| | s | | | |
| | a | | | |
| | n | | | |
| | a | | | |
| | l | | | |
| | y | | | |
| | z | | | |
| | e | | | |
| | d | | | |
| | a | | | |
| | s | | | |
| | o | | | |
| | f | | | |
| | N | | | |
| | o | | | |
| | v | | | |
| | e | | | |
| | m | | | |
| | b | | | |
| | e | | | |
| | r | | | |
| | 2 | | | |
| | 0 | | | |
| | 0 | | | |
| | 5 | | | |
| | a | | | |
| | r | | | |
| | e | | | |
| | b | | | |
| | i | | | |
| | a | | | |
| | s | | | |
| | e | | | |
| | d | | | |
| | o | | | |
| | n | | | |
| | a | | | |
| | v | | | |
| | e | | | |
| | r | | | |
| | a | | | |
| | g | | | |
| | e | | | |
| | 7 | | | |
| | . | | | |
| | 8 | | | |
| | % | | | |
| | a | | | |
| | b | | | |
| | o | | | |
| | v | | | |
| | e | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | t | | | |
| | a | | | |
| | r | | | |
| | g | | | |
| | e | | | |
| | t | | | |
| | v | | | |
| | a | | | |
| | l | | | |
| | u | | | |
| | e | | | |
| | * | | | |
| | * | | | |
| | . | | | |
+---------+---+------------------+-------------------+-------------------+
| | | | | |
+---------+---+------------------+-------------------+-------------------+
| [[]{#n | * | | **Use of new | **At this time no |
| wql0070 | * | | instrumentation | corrective action |
| .anchor | T | | was initiated in | will be taken. |
| }**Alka | h | | July 2005. Prior | The inflection |
| linity, | e | | to the new | point technique |
| Whol | d | | instrumentation, | for determining |
| e-Water | a | | spike recoveries | concentration is |
| Recove | t | | showed a negative | being |
| rable** | a | | bias. After the | investigated for |
| ](http: | i | | new | use in this |
| //bqs.u | n | | instrumentation | method. The |
| sgs.gov | d | | was initiated the | investigation is |
| /bsp/QA | i | | bias became | targeted to be |
| DATA_al | c | | positive with | completed by |
| l/06Jun | a | | decreasing | October 1, |
| /Jun06N | t | | magnitude and | 2006.** |
| WQL9041 | e | | more scatter. | |
| 0A.gif) | a | | Recoveries for | |
| * | p | | reference | |
| *Electr | o | | material M-152 | |
| ometric | s | | (target value = | |
| labcode | i | | 6.00 mg/L) from | |
| 0070 | t | | April 2006 to | |
| p | i | | present show a | |
| armcode | v | | 0.2% positive | |
| 9 | e | | bias. M-168 | |
| 0410A** | b | | recoveries | |
| | i | | (target value = | |
| | a | | 28.2 mg/L) from | |
| | s | | March to present | |
| | . | | show a 3.4% | |
| | R | | positive bias.** | |
| | e | | | |
| | s | | | |
| | u | | | |
| | l | | | |
| | t | | | |
| | s | | | |
| | f | | | |
| | r | | | |
| | o | | | |
| | m | | | |
| | s | | | |
| | a | | | |
| | m | | | |
| | p | | | |
| | l | | | |
| | e | | | |
| | s | | | |
| | a | | | |
| | n | | | |
| | a | | | |
| | l | | | |
| | y | | | |
| | z | | | |
| | e | | | |
| | d | | | |
| | a | | | |
| | s | | | |
| | o | | | |
| | f | | | |
| | N | | | |
| | o | | | |
| | v | | | |
| | e | | | |
| | m | | | |
| | b | | | |
| | e | | | |
| | r | | | |
| | 2 | | | |
| | 0 | | | |
| | 0 | | | |
| | 5 | | | |
| | a | | | |
| | r | | | |
| | e | | | |
| | b | | | |
| | i | | | |
| | a | | | |
| | s | | | |
| | e | | | |
| | d | | | |
| | o | | | |
| | n | | | |
| | a | | | |
| | v | | | |
| | e | | | |
| | r | | | |
| | a | | | |
| | g | | | |
| | e | | | |
| | 7 | | | |
| | . | | | |
| | 5 | | | |
| | % | | | |
| | a | | | |
| | b | | | |
| | o | | | |
| | v | | | |
| | e | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | t | | | |
| | a | | | |
| | r | | | |
| | g | | | |
| | e | | | |
| | t | | | |
| | v | | | |
| | a | | | |
| | l | | | |
| | u | | | |
| | e | | | |
| | * | | | |
| | * | | | |
| | . | | | |
+---------+---+------------------+-------------------+-------------------+
| | | | | |
+---------+---+------------------+-------------------+-------------------+
| [[]{#n | * | | **The upward | **The high bias |
| wql0031 | * | | shift in bias | evident in April |
| .anch | T | | seen in the BQS | seems to have |
| or}**Fl | h | | charts was not | diminished. The |
| uoride, | e | | evident in the | Nutrient Unit |
| Fil | d | | online QC charts | will closely |
| tered** | a | | for the months of | monitor line |
| ](http: | t | | April and May. | performance and |
| //bqs.u | a | | The analytical | BQS charts to see |
| sgs.gov | e | | system, however, | what effect the |
| /bsp/QA | x | | has been | change of |
| DATA_al | h | | thoroughly | electrodes has |
| l/06JUN | i | | cleaned several | made. If |
| /JUN06N | b | | times and all | necessary, new |
| WQL0095 | i | | pump tubing | standards will be |
| 0B.gif) | t | | replaced. A new | made.** |
| **\ | a | | reference and | |
| ISE | m | | fluoride | |
| labcode | a | | electrode were | |
| 0031 | r | | installed on May | |
| p | k | | 17.** | |
| armcode | e | | | |
| 0950B** | d | | | |
| | u | | | |
| | p | | | |
| | w | | | |
| | a | | | |
| | r | | | |
| | d | | | |
| | s | | | |
| | h | | | |
| | i | | | |
| | f | | | |
| | t | | | |
| | s | | | |
| | t | | | |
| | a | | | |
| | r | | | |
| | t | | | |
| | i | | | |
| | n | | | |
| | g | | | |
| | A | | | |
| | p | | | |
| | r | | | |
| | i | | | |
| | l | | | |
| | 2 | | | |
| | 0 | | | |
| | 0 | | | |
| | 6 | | | |
| | w | | | |
| | i | | | |
| | t | | | |
| | h | | | |
| | s | | | |
| | o | | | |
| | m | | | |
| | e | | | |
| | i | | | |
| | m | | | |
| | p | | | |
| | r | | | |
| | o | | | |
| | v | | | |
| | e | | | |
| | - | | | |
| | m | | | |
| | e | | | |
| | n | | | |
| | t | | | |
| | s | | | |
| | h | | | |
| | o | | | |
| | w | | | |
| | n | | | |
| | i | | | |
| | n | | | |
| | M | | | |
| | a | | | |
| | y | | | |
| | . | | | |
| | R | | | |
| | e | | | |
| | s | | | |
| | u | | | |
| | l | | | |
| | t | | | |
| | s | | | |
| | f | | | |
| | r | | | |
| | o | | | |
| | m | | | |
| | s | | | |
| | a | | | |
| | m | | | |
| | p | | | |
| | l | | | |
| | e | | | |
| | s | | | |
| | a | | | |
| | n | | | |
| | a | | | |
| | l | | | |
| | y | | | |
| | z | | | |
| | e | | | |
| | d | | | |
| | a | | | |
| | s | | | |
| | A | | | |
| | p | | | |
| | r | | | |
| | i | | | |
| | l | | | |
| | a | | | |
| | r | | | |
| | e | | | |
| | b | | | |
| | i | | | |
| | a | | | |
| | s | | | |
| | e | | | |
| | d | | | |
| | o | | | |
| | n | | | |
| | a | | | |
| | v | | | |
| | e | | | |
| | r | | | |
| | a | | | |
| | g | | | |
| | e | | | |
| | 1 | | | |
| | 8 | | | |
| | % | | | |
| | a | | | |
| | b | | | |
| | o | | | |
| | v | | | |
| | e | | | |
| | t | | | |
| | h | | | |
| | e | | | |
| | t | | | |
| | a | | | |
| | r | | | |
| | g | | | |
| | e | | | |
| | t | | | |
| | v | | | |
| | a | | | |
| | l | | | |
| | u | | | |
| | e | | | |
| | * | | | |
| | * | | | |
| | . | | | |
+---------+---+------------------+-------------------+-------------------+
| | | | | |
+---------+---+------------------+-------------------+-------------------+
######
|
en
|
markdown
|
890753
|
# Presentation: 890753
## MiniBooNE: Status and Prospects
- Eric Prebys, FNAL/BooNE Collaboration
## The MiniBooNE Collaboration
- Y.Liu, I.Stancu*University of Alabama*
- S.Koutsoliotas*Bucknell University*
- E.Hawker, R.A.Johnson, J.L.Raaf*University of Cincinnati*
- T.Hart, R.H.Nelson, E.D.Zimmerman*University of Colorado*
- A.A.Aguilar-Arevalo, L.Bugel, J.M.Conrad, J.Link, J.Monroe, D.Schmitz, M.H.Shaevitz, M.Sorel, G.P.Zeller*Columbia University*
- D.Smith*Embry Riddle Aeronautical University*
- L.Bartoszek, C.Bhat, S.J.Brice, B.C.Brown, D.A.Finley, R.Ford, F.G.Garcia, P.Kasper, T.Kobilarcik, I.Kourbanis, A.Malensek, W.Marsh, P.Martin, F.Mills, C.Moore, E.Prebys, A.D.Russell, P.Spentzouris, R.Stefanski, T.Williams*Fermi National Accelerator Laboratory*
- D.Cox, A.Green, T.Katori, H.Meyer, R.Tayloe*Indiana University*
- G.T.Garvey, C.Green, W.C.Louis, G.McGregor, S.McKenney, G.B.Mills, H.Ray, V.Sandberg, B.Sapp, R.Schirato, R.Van de Water, N.L.Walbridge, D.H.White*Los Alamos National Laboratory*
- R.Imlay, W.Metcalf, S.Ouedraogo, M.Sung, M.O.Wascko*Louisiana State University*
- J.Cao, Y.Liu, B.P.Roe, H.J.Yang*University of Michigan*
- A.O.Bazarko, P.D.Meyers, R.B.Patterson, F.C.Shoemaker, H.A.Tanaka*Princeton University*
- P.Nienaber*St. Mary's University of Minnesota*
- B.T.Fleming*Yale University*
## Outline
- State of neutrino mixing measurements
- Without LSND
- LSND and Karmen
- Experiment
- Beam
- Detector
- Calibration and cross checks
- Analysis
- Resent Results
- Future Plans and outlook
- Anti-neutrino running
- Path to oscillation results
## Theory of Neutrino Oscillations
- Neutrinos are produced and detected as *weak eigenstates* (e ,, or ).
- These can be represented as *linear combination of mass eigenstates*.
- If the above matrix is not diagonal *and* the masses are not equal, then the net weak flavor content will *oscillate *as the neutrinos propagate.
**Example: **if there is mixing between the e and :then the probability that a e will be detected as a after a distance *L* is:
- Distance in *km*
- Energy in GeV
- Mass eigenstates
- Flavor eigenstates
- Only measure *magnitude* of the *difference* of the squares of the masses.
## Probing Neutrino Mass Differences
- & Reactors
- Accelerators use decay to *directly* probe e
- Reactors use use *disappearance* to probe e
- Cerenkov detectors directly measure and e content in atmospheric neutrinos. Fit to e mixing hypotheses
- Solar neutrino experiments typically measure the disappearance of e.
- Also probe with “long baseline” accelerator and reactor experiments
## SuperKamiokande Atmospheric Result
- Huge water Cerenkov detector can directly measure and e signals.
- Use azimuthal dependence to measure distance traveled (through the Earth)
- Positive result announced in 1998.
- Consistent with mixing.
- Outer detector
- Inner detector
## SNO Solar Neutrino Result
- Looked for Cerenkov signals in a large detector filled with heavy water.
- Focus on 8B neutrinos
- Used 3 reactions:
* ****e*+*d**p+p+e**-*: only sensitive to ***e*
- ***x*+*d**p+n+****x*: equally sensitive to ***e *,***** *,****
* ****x*+ *e**-* ***x*+ *e**-*: 6 times more sensitive to ***e *than ***** *,*****d*
- Consistent with initial full SSM flux of ***e*’s mixing to ***** *,******
- Just SNO
- SNO+others
## Reactor Experimental Results
- Single reactor experiments (Chooz, Bugey, etc). Look for ***e* disappearance: all negative
- KamLAND (single scintillator detector looking at ALL Japanese reactors): ***e* disappearance consistent with mixing.
## K2K
- First “long baseline” accelerator experiment
- Beam from KEK PS to Kamiokande, 250 km away
- Look for disappearance (atmospheric “problem”)
- Results consistent with mixing
- Best fit
- No mixing
- Allowed Mixing Region
## Three Generation Mixing (Driven by experiments listed)
- General Mixing Parameterization
- CP violating phase
- Almost diagonal
- Third generation weakly coupled to first two
- “Wolfenstein Parameterization”
- Mixing large
- No easy simplification
- Think of mass and weak eigenstates as totally separate
## Best Three Generation Picture
## The LSND Experiment (1993-1998)
- Signature
- Cerenkov ring from electron
- Delayed from neutron capture
- ~30 m
- Energy 20-50 MeV
- mix
## LSND Result
- (Soudan, Kamiokande,
- MACRO, Super-K)
- (Homestake, SAGE,
- GALLEX, Super-K
- SNO, KamLAND)
- Excess Signal:
- Best fit:
- Only exclusive appearance result to date
- Problem: m2 ~ 1 eV2 not consistent with other results with simple three generation mixing
## Possibilities
- 4 neutrinos?
- We know from Z lineshape there are only 3 active flavors
- Sterile?
- CP or CPT Violation?
- More exotic scenarios?
- LSND Wrong?
- Can’t throw it out just because people don’t like it.
## Karmen II Experiment: not quite enough
- Pulse 800 MeV proton beam (ISIS)
- 17.6 m baseline
- 56 tons of liquid scintillator
- Factor of 7 less statistical reach than LSND
- -> NO SIGNAL
- Combined analysis still leaves an allowed region
- Combined
## Role of MiniBooNE
- Boo(ster) N(eutrino) E(xperiment)
- Full “BooNE” would have two detectors
- Primary Motivation: Absolutely confirm or refute LSND result
- Optimized for L/E ~ 1
- Higher energy beam -> Different systematics than LSND
- Timeline
- Proposed: 12/97
- Began Construction: 10/99
- Completed: 5/02
- First Beam: 8/02
- Began to run concurrently with NuMI: 3/05
- Presently ~7E20 proton on target in neutrino mode
- More protons that all other users in the 35 year history of Fermilab combined!
- Oscillation results: 2006
## MiniBooNE Neutrino Beam (not to scale)
- 8 GeV Protons
- ~ 7E16 p/hr max
- ~ 1 detected neutrino/minute
- L/E ~ 1
**FNAL****Booster**
**Be Target****and Horn**
**“****Little Muon Counter” (LMC): to understand K flux**
**50 m Decay Region**
**500m dirt**
**Detector**
## Detector
- 950,000 l of pure mineral oil
- 1280 PMT’s in inner region
- 240 PMT’s outer veto region
- Light produced by Cerenkov radiation and scintillation
- Light barrier
- Trigger:
- All beam spills
- Cosmic ray triggers
- Laser/pulser triggers
- Supernova trigger
## Neutrino Detection/Particle ID
- Important Background!!!
## Delivering Protons
- Requirements of MiniBooNE greatly exceed the historical performance of the 30+ year old 8 GeV Booster, pushes...
- Average repetition rate
- Above ground radiation
- Radiation damage and activation of accelerator components
- Intense Program to improvethe Booster
- Shielding
- Loss monitoring and analysis
- Lattice improvements (result of Beam Physics involvement)
- Collimation system
- Very challenging to continue to operate 8 GeV line during NuMI/MINOS operation
- Once believed imposible
- Element of lab’s “Proton Plan”
- Goal to continue to deliver roughly 2E20 protons per years to the 8 GeV program for at least the next few years.
## Running MiniBooNE with NuMI
- Note: these projections do *not* take into account the collider turning off in 2009
- NuMI rates would go up at least 20%, possible higher
- Major operational changes could make continued operation of 8 GeV line very difficult
- NuMI/MINOS
- MiniBooNE
## Beam to MiniBooNE
- NuMI Running
- NuMI Problems
- ~7 x 1020 protons
## Analysis: Modeling neutrino flux
- Analysis: Modeling neutrino flux
- Production
- GEANT4 model of target, horn, and beamline
- MARS for protons and neutrons
- Sanford-Wang fit to production data for and K
- Mesons allowed to decay in model of decay pipe.
- Retain neutrinos which point at target
- Soon hope to improve model with data from the HARP experiment taken from a target identical to MiniBooNE
## Interactions
- Cross sections
- Based on NUANCE 3 Monte Carlo
- Use NEUT and NEUEN as cross checks
- Theoretical input:
- Llewellyn-Smith free neucleon cross sections
- Rein-Sehgal resonant and coherent cross-sections
- Bodek-Yang DIS at low-Q2
- Standard DIS parametrization at high Q2
- Fermi-gas model
- Final state interaction model
- Detector
- Full GEANT 3.21 model of detector
- Includes detailed optical model of oil
- Reduced to raw PMT hits and analyzed in the same way as real data
- MiniBooNE
## Background
- If the LSND best fit is accurate, only about a third of our observed rate will come from oscillations
- Backgrounds come from both intrinsic e and misidentified
- Energy distribution can help separate
## Blindness
- Given the low signal to background ratio and the inherent difficulty of the analysis, there are many opportunities for unintentional bias
- Therefore, we consider a blind analysis essential
- General philosophy: guilty until proven innocent
- Events go “into the box” unless they are specifically tagged as being non-signal events, e.g
- Muons
- Single -like ring
- Topological cuts
- 0
- No Michel electron
- Clear two-ring fit, both with E>40 MeV
- Will only look at remaining data when we are confident that we model the beam and detector well.
- Note: This still allows us to look at the majority of our data!
## Characterizing the Detector
- Laser Calibration
- Laser pulses illuminate one of 4 flasks which scatter light isotropically
- Used to understand PMT response
- Cosmic Muons
- Muon Tracker used in conjunction with “cubes” to trigger on a particular endpoint (energy)
- Vital in understanding energy scale
## The Detector (cont’d)
- Electrons from muon decay (Michel electrons)
- Vital for understanding signal events.
- 0 Events
- Help to understand higher energy e
- Help fix energy scale
## Selecting Neutrino Events
- Collect data from -5 to +15 usec around each beam spill trigger.
- Identify individual “events” within this window based on PMT hits clustered in time.
- Time (ns)
- Time (ns)
- Time (ns)
- No cuts
- Veto hits < 6
- Veto hits<6tank hits>200
- 1600 ns spill
## Muon Reconstruction
- Muon reconstruction is based on a fit to PMT’s clustered in time
- Position and time of arrival are used to reconstuct the origin, direction and path length of the muon track segment
- Cos of angle of PMT hits relative to beam
## Charged Current Quasi-elastic Events
- Veto hits < 6
- Tank hits > 200
- PMT position/time fit consistent with muon
- Angular distribution
## Recent Results: (CCPiP)*
- Important for understanding backgrounds and nuclear cross sections.
- MiniBooNE
- *analysis by M. Wascko and J. Monroe
## Signature of CCPiP Event
- Look for exactly three events:
- First promptly with the beam
- Second two within the ~15 usec trigger window
- First event consistent with CC muon
- Second two consistent with Michel decays.
- (only charged tracks shown)
- Muon generates Cerenkov ring and stops
- Muon decay (“Michel”) electrons
## CCPiP Results
- CCPiP/CCQE ratio
- Corrected for efficiencies
## Additional Cross-checks: Neutrinos from NuMI beamline*
- NuMI decay pipe extends to almost just below the MiniBooNE detector
- *primarily analysis of A. Aguilar
## Path to “opening the box”
- Our present sample neutrino data is sufficient to release an oscillation result
- We are not yet confident enough in our analysis to do so
- Continue to refine Monte Carlo until open box samples agree within errors
- HARP data on MiniBooNE target an important constraint
- Generate systematic error matrix by varying all important production and optical model parameters (“Unisim Monte Carlo”).
- When confident, practice on a fake oscillation signal.
## Experimental Sensitivity
- Experimental Sensitivity
- No signal
- Can exclude most of LSND at 5
- Signal
- Can achieve good m2 separation
## Accommodating a Positive Signal
- We know from LEP that there are only 3 active, light neutrino flavors.
- If MiniBooNE confirms the LSND results, it might be evidence for the existence of sterile neutrinos
## Everybody Loves a Mystery
- 3+2 Sterile neutrinos
- Sorel, Conrad, and Shaevitz (hep-ph/0305255)
- MaVaN & 3+1
- Hung (hep-ph/0010126)
- Sterile neutrinos
- Kaplan, Nelson, and Weiner (hep-ph/0401099)
- Explain Dark Energy?
- CPT violation and 3+1 neutrinos
- Barger, Marfatia & Whisnant (hep-ph/0308299)
- Explain matter/antimatter asymmetry
- Lorentz Violation
- Kostelecky & Mewes (hep-ph/0406035)
- Extra Dimensions
- Pas, Pakvasa, & Weiler (hep-ph/0504096)
- Sterile Neutrino Decay
- Palomares-Ruiz, Pascoli & Schwetz (hep-ph/0505216)
## Near Future: MiniBooNE antineutrino running
- Inherently interesting
- Not much anti-neutrino data
- Directly address LSND signal
- Important for understanding our own systematics and those of other experiments
- Problems:
- Cross section not well known
- Lower rate (about 1⁄4)
- Wrong sign background
- Example of new physics:
- As we speak, MiniBooNE is switching the horn polarity to run in antineutrino mode
## Conclusions and Outlook
- MiniBooNE has been running for over three years, and continues to run well in the NuMI era
- The analysis tools are well developed and being refined to achieve the quality necessary to release the result of our blind analysis
- Recent results for CCQE and CCPiP give us confidence on our understanding of the detector and data.
- Look forward to many interesting results in 2006
|
en
|
converted_docs
|
547757
|
**Before the**
**Federal Communications Commission**
**Washington, D.C. 20554**
+----------------------------------+---+------------------------------+
| In the Matter of | * | File No. SLD-153862 |
| | * | |
| Request for Review of the | ) | CC Docket No. 96-45 |
| | * | |
| Decision of the | * | CC Docket No. 97-21 |
| | | |
| Universal Service Administrator | * | |
| by | * | |
| | ) | |
| Fairfax County Public Library | * | |
| | * | |
| Fairfax, Virginia | | |
| | * | |
| Federal-State Joint Board on | * | |
| | ) | |
| Universal Service | * | |
| | * | |
| Changes to the Board of | | |
| Directors of the | * | |
| | * | |
| National Exchange Carrier | ) | |
| Association, Inc. | * | |
| | * | |
| | | |
| | * | |
| | * | |
| | ) | |
| | * | |
| | * | |
| | | |
| | * | |
| | * | |
| | ) | |
| | * | |
| | * | |
| | | |
| | * | |
| | * | |
| | ) | |
| | * | |
| | * | |
| | | |
| | * | |
| | * | |
| | ) | |
| | * | |
| | * | |
| | | |
| | * | |
| | * | |
| | ) | |
| | * | |
| | * | |
| | | |
| | * | |
| | * | |
| | ) | |
| | \ | |
| | ) | |
| | \ | |
| | ) | |
| | \ | |
| | ) | |
| | * | |
| | * | |
+----------------------------------+---+------------------------------+
**ORDER**
**Adopted: March 28, 2001 Released: March 29, 2001**
By the Accounting Policy Division, Common Carrier Bureau:
1. In this Order, we deny a Request for Review filed by the Fairfax
County Public Library (Fairfax), Fairfax, Virginia,[^1] seeking
review of a funding commitment decision issued by the Schools and
Libraries Division (SLD) of the Universal Service Administrative
Company (Administrator) pursuant to a funding request for internal
connections.[^2]
2. Under the schools and libraries universal service support mechanism,
eligible schools, libraries, and consortia that include eligible
schools and libraries, may apply for discounts for eligible
telecommunications services, Internet access, and internal
connections.[^3] The instant appeal arises from SLD's denial of
Fairfax's Year 2 application for discounted internal connections,
Funding Request Numbers (FRNs) 298505 and 298506, on the grounds
that a significant portion of Fairfax's funding requests included
products ineligible for discounts.[^4] In particular, SLD stated
that speakerphones are ineligible for discounts. Fairfax filed an
appeal with SLD on November 19, 1999.[^5] SLD denied Fairfax's
appeal on May 5, 2000, reiterating that a significant portion of
Fairfax's funding request included products ineligible for
discounts.[^6]
3. Fairfax filed the instant appeal with the Commission on May 22,
2000.[^7] In this appeal, Fairfax states that SLD's decision to deny
Fairfax's funding request was arbitrary and should be reversed. In
particular, Fairfax argues that: (1) SLD unfairly penalized Fairfax
simply because it submitted separate funding requests, on a
site-specific basis, rather than requesting all discounts for
services in one funding request; (2) Fairfax made a good-faith
effort to exclude ineligible services and would have excluded the
speakerphones in question if they had been cited on the list of
eligible and ineligible services that was published by SLD; (3) it
is arbitrary to reject funding requests based on a threshold of 30
percent ineligibility, especially where estimates are concerned;
and (4) SLD has no statutory authority to deny funding for otherwise
eligible internal connections just because a single component may be
ineligible.[^8]
4. We have reviewed Fairfax's appeal and conclude that SLD properly
denied Fairfax's applications for discounts. We reject Fairfax's
argument that it was unfairly penalized for submitting separate
funding requests. Fairfax was well aware of SLD's policies regarding
ineligible services,[^9] but nonetheless chose to file separate
funding requests, further exposing itself to the possibility that
certain locations could be denied funding while others might be
granted funds. Fairfax concedes that it filed separate funding
requests for accounting and budgetary convenience, not because it
was required to do so by SLD.[^10]
5. We also reject Fairfax's claim that it could not have reasonably
known that speakerphones were ineligible for discounts because they
were not cited in SLD's list of eligible and ineligible services. In
the *Universal Service Order*, the Commission determined that
support for internal connections will not be available to finance
the purchase of equipment that is not needed to transport
information to individual classrooms, such as personal computers,
fax machines or modems.[^11] Consistent with this determination, the
Commission's Common Carrier Bureau (Bureau) issued a Public Notice
stating that "telephone handsets" are not eligible for support.[^12]
In its Request for Review, Fairfax concedes that its "E-Rate
consultant advised it that the speakerphones would probably be
excluded as ineligible."[^13] In particular, Fairfax's consultant,
Funds for Learning, advised Fairfax that "under the SLD rules, the
costs of speaker phones should \[be\] excluded. . . . \[T\]he
requests for the Kingstowne and Great Falls libraries should be
reduced by \$6,035.63 each."[^14] Given the clear Commission
precedent, we find no merit in Fairfax's argument that it could not
have known that speakerphones were ineligible for discounts.
6. We also reject Fairfax's allegation that it is arbitrary to reject
funding requests based on a threshold of 30 percent ineligibility.
The \"30 percent policy\" is not a Commission rule, but rather is an
SLD operating procedure established pursuant to Commission
policy.[^15] This operating procedure, used during SLD\'s
application review process, enables SLD to efficiently process
requests for funding for services that are eligible for discounts
but that also include some ineligible components. If 30 percent or
less of the request is for funding of ineligible services, SLD
normally will consider the application and issue a funding
commitment for the eligible services. If more than 30 percent of the
request is for funding of ineligible services, SLD will deny the
funding request in its entirety. The 30 percent policy allows SLD to
efficiently process requests for funding that contain only a small
amount of ineligible services without expending significant fund
resources working with applicants that are requesting funding of
ineligible services. Thus, contrary to Fairfax's claim of
arbitrariness, we find SLD's 30 percent policy to be reasonable and
prudent.
7. Finally, we reject Fairfax's claim that SLD has no statutory
authority to deny funding for otherwise eligible internal
connections just because a single component may be ineligible. SLD
implements the schools and libraries universal service mechanism
under Commission guidance. The Commission's rules repeatedly state
that universal service funds support only eligible services.[^16] In
this vein, the Commission has stated that schools and libraries may
not receive full support for contracts that provide only a single
price for a package that bundles services eligible for support with
those that are not eligible for support.[^17] Applicants are
instructed that any ineligible services must be identified and
segregated from services eligible for funding.[^18] In its FCC Form
471, Fairfax included a single price for a contract that includes
both eligible and ineligible products. Given Commission rules and
precedent, SLD properly denied Fairfax's entire funding request.
Therefore, SLD clearly has authority, under these limited
circumstances, to deny funding requests that include both eligible
and ineligible services, and we reject Fairfax's claims to the
contrary.
8. ACCORDINGLY, IT IS ORDERED, pursuant to authority delegated under
sections 0.91, 0.291, and 54.722(a) of the Commission's rules, 47
C.F.R. §§ 0.91, 0.291, and 54.722(a), that the Request for Review
filed on May 22, 2000 by Fairfax County Public Schools, Fairfax,
Virginia, IS DENIED.
FEDERAL COMMUNICATIONS COMMISSION
Mark G. Seifert
Deputy Chief, Accounting Policy Division
> Common Carrier Bureau
[^1]: *Request for Review by Fairfax County Public Library, of Decision
of Universal Service Administrato*r, CC Docket Nos. 97-21 and 96-45,
filed May 22, 2000 (Request for Review).
[^2]: *See* Letter from Schools and Libraries Division, Universal
Service Administrative Company, to W. Joseph Coleman Jr., Fairfax
County Public Library, issued October 26, 1999 (Funding Commitment
Decision Letter); Letter from Schools and Libraries Division,
Universal Service Administrative Company, to W. Joseph Coleman Jr.,
Fairfax County Public Library, issued May 5, 2000 (Administrator's
Decision on Appeal).
[^3]: 47 C.F.R. §§ 54.502, 54.503.
[^4]: *See* Funding Commitment Decision Letter at 4-5.
[^5]: Letter from W. Joseph Coleman Jr., Fairfax County Public Library,
to Schools and Libraries Division, Universal Service Administrative
Company, filed November 19, 1999 (SLD Letter of Appeal).
[^6]: *See* Administrator's Decision on Appeal at 1.
[^7]: *See* Request for Review.
[^8]: *See id.* at 3-5.
[^9]: *See id.* at 3, 5.
[^10]: *See id.* at 2.
[^11]: *See Federal-State Joint Board on Universal Service*, CC Docket
No. 96-45, Report and Order, 12 FCC Rcd 8776, 9021, para. 460 (1997)
(Universal Service Order), as corrected by *Federal-State Joint
Board on Universal Service*, CC Docket No. 96-45, Errata, FCC 97-157
(rel. June 4, 1997), *affirmed in part in Texas Office of Public
Utility Counsel v. FCC*, 183 F.3d 393 (5th Cir. 1999), *cert. denied
in Celpage, Inc. v. FCC*, 120 S. Ct. 2212 (May 30, 2000), *cert.
denied in AT&T Corp. v. Cincinnati Bell Tel. Co.*, 120 S. Ct. 2237
(June 5, 2000), *cert. dismissed, GTE Service Corp. v. FCC*, 121 S.
Ct. 423 (November 2, 2000).
[^12]: *See Common Carrier Bureau Reiterates Services Eligible for
Discounts to Schools and Libraries*, CC Docket No. 96-45, Public
Notice, DA 98-1110 (rel. Jun. 11, 1998).
[^13]: Request for Review at 3.
[^14]: Facsimile Transmission from Sara Fitzgerald, Funds for Learning,
to Joe Spakowski, Fairfax County Public Library (transmitted Oct.
13, 1999).
[^15]: *See Changes to the Board of Directors of the National Exchange
Carrier Association, Inc., Federal-State Joint Board on Universal
Service*, CC Docket Nos. 97-21 and 96-45, Third Report and Order in
CC Docket No. 97-21 and Fourth Order on Reconsideration in CC Docket
No. 97-21 and Eighth Order on Reconsideration in CC Docket No.
96-45, 13 FCC Rcd 25058 (1998).
[^16]: 47 C.F.R. §§54.502, 54.503.
[^17]: *See Universal Service Order*, 12 FCC Rcd at 9022, para. 461-62.
[^18]: *See* Instructions for Completing the Schools and Libraries
Universal Service Services Ordered and Certification Form (FCC Form
471), OMB Approval No. 3060-0806 (December 1998) at pp. 15-16.
|
en
|
converted_docs
|
542513
|
Slide 1
**Ua mau ke ea o ka aina i ka pono**
**The life (sovereignty) of the land is perpetuated in (by)
righteousness**
**Maintaining Momentum!!**
**Laura Thielen**
Slide 2
**Change in Governor; Change in Party**
**Former Gov. Ben Cayetano, Democrat to Current Gov. Linda Lingle,
Republican**
**How This Has Affected Homelessness in Hawaii**
Slide 3
**Honolulu Mayoral Race Heats Up!!**
This slide includes photos of the Mayoral candidates.
Slide 4
**The Ideal Homeless Policy Academy Team**
- Representative of the Governor's office
- President of the State Senate
- Speaker of the House of Representatives
- State Department directors
- City and county representatives
- Veterans Administration
- HUD representative
- Representatives from local homeless coalition
- Community members
Slide 5
**The Reality of a Homeless Policy Academy Team**
**Year 1**:
- State Department representatives
- HUD
- VA
- Homeless providers
**Year 2: Change in Administration, Change in Representation**
- State Department representatives
- City representatives
- HUD
- Veterans Administration
- Homeless services providers
Worker Bees Make It Work!!!
Slide 6
**Key Advocates**
- Dedicated service providers
- Media
- Former Governor
- New Governor
- Cabinet level staff
- Department level leadership
Slide 7
**Challenges/Lessons Learned**
- Keep working on initiatives
- Continuously educate Government officials
- Continuously update the media and get them involved
- Get involved with national trainers
- Don't give up despite disappointments
- Maintain pressure on administration
- Be creative
- Be willing to work with all members of
administration/legislature/council no matter what their party
affiliation or past record
Slide 8
**Remember the Stakeholders**
This slide includes photos of Hawaii's homeless
Slide 9
**Develop a Realistic Plan**
- Work with service providers
- Collect relevant data
- Continuously update plan
- Have a strong confident facilitator
- Participate in legislative process to make changes
- Focus on small benchmarks to reach larger goals
- Get the plan heard through the media
- Always keep the end goal in sight -- ending chronic homelessness
Slide 10
**Keeping Homelessness On the Front Page**
- The Honolulu Advertiser
- Starbulletin.com
- Downtown Planet
- Pacific Business News
- Letters to the Editor - 30
- Editorials -- 26
- Articles -- 75
- Dedicated Writers -- Several
Slide 11
**In Hawaii, These Were the Top Stories of 2003**
According to local Newspaper, The Honolulu Advertiser
1. Construction Boom
2. Community Warfare on Crystal Methamphetamine
3. Bus Strike
4. Illegal Mayoral Contributions
5. President of the University of Hawaii, Evan Dobelle
6. Assault on Hawaiian Interests
7. State School System
8. UH football coach June Jones makes more than \$800,000
9. Hawaiian Airlines files for bankruptcy
10. Governor criticizes State Supreme Court
11. Homelessness
> -Honolulu Advertiser, December 28, 2003
Slide 12
**You have the ability to maintain momentum!**
.
|
en
|
all-txt-docs
|
440911
|
SOUTH CENTRAL AND SOUTHEAST COLORADO AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE PUEBLO
152 PM MDT WED JUN 2 1999
...THREAT REMAINS FOR STRONG-SEVERE THUNDERSTORMS IN SOUTHEASTERN
COLORADO THIS EVENING...
TONIGHT: CURRENT WATER VAPOR IMAGERY LOOP SHOWED WEAK MID-LEVEL VORT
LOBE MOVING THROUGH NORTHWESTERN CO WITH ANOTHER WAVE INTO CENTRAL
AZ. 18Z/02 SURFACE ANALYSIS HAD DRYLINE BETWEEN KLHX AND KLAA TO
JUST WEST OF KSPD. LAPS CAPE READINGS ARE 2000-2200 J/KG...WITH
NO CONVECTIVE INHIBITION...ACROSS FAR SOUTHEASTERN CO. 1KM VIS/IR
SATELLITE IMAGERY...AND QUICK LOOK OUT THE WINDOW...REVEALED LITTLE
IN THE WAY OF SIGNIFICANT VERTICAL DEVELOPMENT...YET. JUST WAITING
FOR MID-LEVEL ENERGY. 18Z/02 RUC SHOWING WEAK MID-LEVEL SHORTWAVE
MOVING THROUGH CWA 22Z/02-03Z/03. IN RESPONSE...LOW LEVEL SURFACE
CONVERGENCE SHOULD TIGHTEN UP...IN RESPONSE THE MID-LEVEL ENERGY...
AND HELP INITIATE TSRA. VERTICAL WIND PROFILE WOULD SUGGEST
SUPERCELL THREAT IN EXTREME SOUTHEASTERN CO...WHILE MODEL SOUNDINGS
CONTINUE TO SHOW AN INVERTED-V TYPE STRUCTURE ALONG I-25 WITH STRONG
TO DAMAGING WINDS A THREAT MAINLY THIS EVENING. SEE SPC DAY 1
OUTLOOK. AFTER SUNSET...PRETTY SURE THE THREAT OF ORGANIZED
PRECIPITATION IS SLIME AS MID-LEVEL SHORTWAVE HEAD NORTHWARD TOWARDS
WY. ANY LEFT-OVER ORGANIZED TSRA WILL BE AROUND OUTFLOW BOUNDARIES.
LOOKING FOR LITTLE CHANGE IN MIN TEMPERATURES FROM LAST NIGHT...
SO CURRENT ZFP LOOKS GOOD.
THURSDAY: ATYPICAL EARLY JUNE UPPER LEVEL PATTERN TO CONTINUE ACROSS
CONTIGUOUS 48 STATES WITH LARGE CLOSED LOW IN CENTRAL CA AND SHOULD
DROP IN SOUTHERN CA BY THURSDAY NIGHT. DEEP SOUTHWEST FLOW WILL
CONTINUE ACROSS CWA ON THURSDAY...PER MODEL TIME SECTIONS. LITTLE
IN THE WAY OF WEAK MID-LEVEL WAVES EXPECTED FOR THURSDAY. HAVE THE
STANDARD PROBLEM OF KEEPING ZFP FROM YO-YOING FORECAST POPS. THE
QUALITY OF THE DEPTH OF MOISTURE IS DEFINITIELY IN QUESTION FOR
THURSDAY...ESPECIALLY IN THE PLAINS. AVN HAS A MEAN RH OF 20-30% FOR
THURSDAY AFTERNOON. STILL COULD NOT RULE OUT SOME DIURNAL TSRA IN
THE MOUNTAINS...SO WILL MAINTAIN SMALL POPS. FAIRLY CONFIDENT ON
PULLING POPS IN THE PLAINS/VALLEYS AND WILL DO SO. WITH LITTLE IN
THE WAY OF AIR MASS CHANGE...PERSISTENCE ON TEMPS LOOKS TO BE THE
WAY TO GO. CURRENT ZFP HAS THIS UNDER CONTROL.
THURSDAY NIGHT/FRIDAY: SOME MODEL DIFFERENCES ON TIMING OF
UNSEASONABLY STRONG LOW PRESSURE SYSTEM PULLING OUT. NGM IS
USUALLY THE FASTEST...SO WILL LEAN TOWARDS A ETA/AVN SOLUTION.
AS FAR AS SENSIBLE WEATHER IS A CONCERN...DEEP SOUTHWESTERLY FLOW
WILL PERSIST ACROSS CWA WITH RELATIVELY DEEP DRY AIR...MEAN RH 25-
35%. ONCE AGAIN...STRUGGLING WITH THE FLIP-FLOP OF POP ISSUE. THERE
SHOULD BE A SMALL THREAT FOR THURSDAY EVENING SHRA/TSRA IN THE
MOUNTAINS...IF THEY FORM THURSDAY AFTERNOON. OTHERWISE...WILL
REMOVE POPS IN PLAINS/VALLEYS FOR FRIDAY. WILL CONTINUE WITH
PERSISTENCE ON TEMPERATURES.
EXTENDED: AVN HAS GOOD CONTINUITY WITH THE OLD MRF ON SPATIAL AND
TEMPORAL ISSUES OF STRONG LOW PRESSURE SYSTEM MOVING THROUGH CWA ON
SATURDAY. COULD GET REAL INTERESTING IN CO ON SATURDAY. WILL PLAN
TO MAINTAIN CHANCE WORDING FOR SATURDAY/SUNDAY. AS LOW LIFTS TO
NORTHERN PLAINS LATE SUNDAY...NEXT LOW TO DROP IN THE PACIFIC
NORTHWEST FOR MONDAY. AT THE MOMENT...WILL GO AHEAD AND KEEP
MONDAY DRY. TEMPERATURES WILL BE NEAR SEASONAL READINGS.
.PUB...NONE.
METZE
</PRE><HR> <BR><PRE>FXUS65 KPUB 020951 co
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE TALLAHASSEE FL
1030 AM EDT WED JUN 2 1999
NGM LI/CAPE VALUES PRETTY INSIGNIFICANT...BUT BUFKIT MODEL
SOUNDING DATA FROM THE 00Z ETA SHOWS LI/S DOWN TO -1 TO -2 RANGE
THIS AFTERNOON WITH CAPES RISING ABOVE 1000. NEWER 03Z ETA AND 12Z
RUC RUNS ARE A BIT MORE UNSTABLE WITH LI/S OF -2 TO -3 ACROSS THE
BIG BEND AND CAPES OVER 1000 ACROSS PANHANDLE AND IMMEDIATE COASTAL
BIG BEND. LIMITING FACTOR WILL BE THE CAP AROUND 700 MB EVIDENT ON
12Z TLH SOUNDING. UPPER SUPPORT WILL BE WEAK TODAY AND MAINLY N OF
CWA. THE CAP STRNEGTH APPEARS STRONGEST ACROSS SW GA SI NIL POPS
LOOK GOOD THERE. TEMPTED TO REMOVE POPS FOR EASTERN ZONES BUT WONT
TRY TO FINESSE AT THIS TIME WITH AFORMENTIONED INSTABILITY AND SEA
BREEZE CONVERGENCE BEING A FACTOR AS WELL. WILL LEAVE SLIGHT CHANCE
POPS IN ALL ZONES BUT BELIEVE BEST CHANCE FOR CONVECTION WILL BE
ACROSS COASTAL AND WESTERN BIG BEND.
TEMPERATURES LOOK ON TRACK. ONLY CHANGE WILL BE TO BRING WINDS
AROUND TO MORE SOUTHERLY WITH SEA BREEZE.
MAW
</PRE><HR> <BR><PRE>FXUS62 KTBW 021432 fl
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GRAY ME
957 AM EDT WED JUN 2 1999
DISC...ATMOS BCMG MOR UNSTABLE ATTM...AS MOR BINOVC THS MRNG &
TEMPS/TDS ON THE RISE. HWVR...LACKING DYNAMICS ALFT (XCPT FOR WK PVA
THRU 18Z AS PER 12Z RUC INDICATES)...AS MAIN SW WL RMN WL TO THE SW OF
OUR FA THRU 00Z. TRIGGER FOR CONVECTION MAY BE FOCUSED ON BNDRY OVR
SWRN ME WHICH SEPARATES TDS IN THE MID/UPR 50S...FM TDS IN THE MID 60S.
ANOTHER FOCUS FOR CONVECTION/PCPN WL BE STNRY FNT OVR NRNMST ME. CAPES
BASICALLY IN THE 500-1000 RNG W/ LIS ARND -1/-2. PTBL WTR VALUES ARND
1.3".
BROKE OFF MEZ001/002 AS FNT HAS MADE IT THRU FVE. KEPT THEM W/ MOR
CLDS. OTHERWISE...ONLY MINOR CHANGES TO TEMP/CLD FCST.
.GYX...NONE.
THIS PRODUCT IS ALSO AVAILABLE ON THE NWS GRAY WEBSITE:
HTTP://WWW.NWS.NOAA.GOV/ER/GYX
JC
me
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE BALTIMORE/WASHINGTON
910 PM EDT WED JUN 2 1999
ERLR THIS EVNG ONE STRONG CELL WARNED ON MOVED FROM CNTRL BERKELEY CTY
WV ACRS SRN WASH CTY MD BTWN HAGERSTOWN AND BOONESBORO THEN NEAR
THURMONT MD INTO NW CARROLL CTY BEFORE SPINNING OFF ANOTHER CELL ON THE
ITS SRN XTRM AND MOVING INTO CNTRL CARROLL AND BALTIMORE CTY'S.
MEANWHILE ANOTHER CLUSTER OF SMALL CELLS HAS DVLPD VCNTY OF THE E
PORTION OF THE ERN PNHNDL OF WV. THESE CELLS WILL CONTINUE TO THE ENE
BUT LTST MESO ANALYSIS WUD SUGGEST THESE ARE NOT ENTERING A VERY FAVORBL
ENVIRONMENT FOR CONTINUED DVLPMNT. ELSW ACRS THE CWA THE MESOS SUGGEST
CONTINUED STABILIZATION.
LTST RUC FCST WEAK CDFNT TO ADVANCE TO A BWI-NYG LINE BY ARND 09Z.
ANOTHER WEAK LINE OF CONV ACTVTY IS DVLPG OVR N-CNTRL WV ATTM WHICH MAY
MOVE ACRS THE NRN ZNS OF THE CWA LATER TNGT SO WILL KEEP A 30 POP THERE.
ELSW RUC UPR SUPPORT FCST AND MESOS WUD SUGGEST LTL IF ANY ACTVY OVRNGT
ACRS THE SRN ZNS. OTW ERLR FCST APPEARS ON TARGET.
THAT'S IT FOR NOW...LATER.
.LWX...NONE.
PAP
</PRE><HR> <BR><PRE>FXUS61 KLWX 021830 md
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GRAND RAPIDS MI
345 PM EDT WED JUN 2 1999
19Z MSAS ANALYSIS INDICATES COLD FRONT HAS CLEARED LAN...JXN...AND
OUR CWA. TEMPS ALONG THE LAKE SHORE HAVE COOLED TO NEAR DEWPTS...
NEAR 50 DEG F. VIS SATL LOOP SHOWS RAPID CLEARING OVR WI AND ERN IA.
WRAP-AROUND -SHRA MAINLY CONFINED TO AREAS N OF CWA...WITH A FEW
NOTED OVER KENT...IONIA...BARRY COUNTIES. THESE WILL BE E OF CWA BY
FCST TIME.
MODELS IN GENERAL AGREEMENT THRU 48 HRS. ETA AND RUC (18Z RUN) HAVE
A GOOD HANDLE ON CURRENT LOW-LVL MOISTURE FIELDS AND THUS FOLLOWED
FOR TIMING OF CLEARING. EXPECT LOW CLOUDS TO ERODE ALONG LAKE SHORE
COUNTIES 00-03Z TIME FRAME...AND 03-09Z TIME FRAME INLAND AREAS.
THURS FEATURES A SUNNY FCST. FCST SOUNDINGS AND INSTABILITY CU
SCHEME SHOW LITTLE IF ANY CU DEVELOPMENT (WITH CAPPING INVERSION
AROUND 5K FT) AND VRY DRY MID AND HIGH LAYERS.
S/WAVE EJECTS OUT OF WRN U.S. TROF THURS AND RIDES NE OVR BUILDING
RIDGE ACROSS CENTRAL U.S. MODELS SHOW INCREASE IN H4 LAYER MOISTURE
AFT 00Z SAT ACROSS WRN LWR MI. BY 12Z...MODELS SHOW PCPN AS CLOSE AS
WRN WI AND IL. WITH VRY DRY AIR IN PLACE AND FCST WEAKENING OF THIS
WAVE AS IT APPROACHES LWR MI FRI...WILL LEAVE PCPN OUT OF FCST. BUT
WITH SIG MID-HIGH LVL MOISTURE MOVG ACROSS CWA...PARTLY SUNNY FCST
NEEDED.
FWC/FAN TEMPS WITHIN 1-2 DEG OF EACH OTHER...FCST REFLECTS THIS.
FOR EXTENDED PERIOD...OPTED TO LEAVE CHANCE OF SHRA AND TSRA FOR
LATE SAT AND SUN. RETURN SRLY WARM AND HUMID FLOW OVR WEEKEND WILL
SUPPLY THE MOISTURE AND IMPULSES MOVG OUT OF WRN U.S. TROF MAY
GENERATE CONVECTIVE COMPLEXES OVR NRN PLAINS AND UPPR MS VALLEY.
REMNANTS OF SUCH COULD BRING DECAYING SHRA AND TSRA ACTIVITY TO WRN
LWR MICH LATE SAT AND SUN. BY MONDAY...RIDGE STRENGTHENS AND
RETROGRADES. THIS WILL KEEP US DRY...BUT BUILDING HEAT MAY BRING
TEMPS CLOSE TO 90 DEG BY TUE OR WED OF NEXT WEEK.
.GRR...NONE.
GREENE
</PRE><HR> <BR><PRE>FXUS63 KDTX 021913 mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GRAND RAPIDS MI
1108 AM EDT WED JUN 2 1999
WILL UPDATE FCST TO LOWER TEMPS MOST AREAS... TO LOWER RAIN CHANCES
FOR SWRN CWA... AND TO END -SHRA AND TSRA ERN CWA BY LATE AFTERNOON.
14Z MSAS ANALYSIS PLACED SFC LOW CENTER BETWEEN CAD AND HTL WITH
COLD FRONT SSW THROUGH GRR...JUST W OF AZO...TO JUST E OF SBN.
DEWPTS STARTING TO FALL W OF HWY 131 AND W/NW FLOW OVR STILL COOL
LAKE MICH STARTING TO DROP TEMPS INTO 50S ALONG THE LAKE SHORE.
SATL LOOPS AND 12Z RUC ANALYSIS SHOWS UPPR LVL LOW JUST MOVG ONSHORE
ACROSS W CNTRL LWR MI ATTM...IN LINE WITH PREVIOUS FCST. WRAP AROUND
MOISTURE JUST N/W OF UPPR LOW WILL CLIP NRN 1/3 OF CWA THIS
AFTN...THUS LEFT SCATTERED SHOWERS IN THOSE AREAS. TIMED ENDING THE
SHOWERS MID/LATE AFTN. FOR SW CWA...LOWERED POPS TO 30 PCT FOR EARLY
AFTN AND FOR SE CWA...LEFT SCATTERED WORDING ENDING LATE AFTERNOON.
FRONTAL MOVEMENT WILL BE SLOW AND WILL NOT LIKELY CLEAR EXTRM SE
(KJXN AREA) UNTIL AROUND 20Z. LEFT MENTION OF THUNDER SE. LTG DATA
HAS SHOWN SOME MINIMAL ACTIVITY WITH CONVECTION ALONG/AHEAD OF FRONT
THIS MORNING.
TEMPS LOWERED AS COOLER/DRIER AIR IS FILTERING IN A BIT FASTER THAN
PREVIOUSLY FCST. LIMITED SS THIS AFTN WILL KEEP TEMPS CLOSE TO
CURRENT VALUES. W/NW FLOW OVR LAKE WILL AFFECT TEMPS WRN CWA AS WELL.
SVR THREAT IS MINIMAL OUR CWA THIS AFTN AS LITTLE COLD AIR ALOFT
ASSOC WITH UPPR LOW. LIMITED SS AHEAD OF SFC FRONT AND FROPA PRIOR
TO 20Z ALL WORKING AGAINST ANY DEEP CONVECTIVE DEVELOPMENT.
FCST UPDATE OUT BY 11:15 AM EST.
.GRR...NONE.
GREENE
</PRE><HR> <BR><PRE>FXUS63 KAPX 021500 mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GAYLORD MI
1055 AM EDT WED JUN 2 1999
QUICK UPDATE PREVIOUSLY SENT OUT TO REMOVE EARLY MORNING MENTION OF PATCHY
FOG. SFC LOW IS NOW INTO NW LOWER MI WITH SHOWERS WRAPPING UP AND
AROUND THE LOW EXTENDING FROM SE LOWER MI THROUGH NRN LOWER MI BACK
INTO NRN LAKE MI. MOST OF THE WELL ORGANIZED TSRA HAS DIMINISHED
FROM W TO E AND HAS MOVED INTO CENTRAL LAKE HURON. LATEST RUC IS
RIGHT ON TARGET WITH SHOWING 850-500 MB Q-VECTOR CONVERGENCE TAKING
THE SAME ROUTE...AND CONTINUING TO MOVE E AWAY FROM LOWER MI
THROUGHOUT THE AFTERNOON. UPPER LOW AND VORT MAX SWINGS THROUGH
LOWER MI THIS AFTERNOON...WHICH WILL QUICKLY DIMINISHING DPVA FROM W
TO E ACROSS NRN LOWER MI.
LATEST 1.1 RES BASE REF FROM GRR INDICATES ADDITIONAL CONVECTION
DEVELOPING IN AREAS ACROSS SRN LOWER MI THAT HAVE RECEIVED SOME
SOLAR HEATING THIS MORNING PER LATEST VSBL SATELLITE IMAGERY...AND
ARE IN A THETA E RIDGE. RUC SUGGESTS THE THETA E RIDGE WILL ACTUALLY
ROTATE AROUND THE UPPER LOW...KEEPING PORTIONS OF NRN LOWER MI S OF
A LINE FROM APN TO TVC IN THE RIDGE THROUGH THE AFTERNOON. THUS...IN
THESE AREAS WILL MAINTAIN CATEGORICAL POPS AND MENTION OF THUNDER
THIS AFTERNOON. N OF THAT LINE...WILL EXTEND PERIODS OF SHRA INTO
THE AFTERNOON AS EASTWARD PROGRESSION OF THE LOW IS SLOWER THAN
PREVIOUSLY ANTICIPATED. EXPECT RATHER LARGE AREA OF WRAP-AROUND SHRA
OVER NRN LAKE MI WILL SWEEP ACROSS AREA N OF TVC TO APN DURING THE
AFTERNOON. THEREFORE WILL KEEP PERIODS OF SHOWERS IN THE FORECAST
FOR THE AFTERNOON.
ONLY MINOR ADJUSTMENTS DOWNWARD FOR FORECASTED HIGHS TODAY...MAINLY
ACROSS ERN UPR MI AND FAR NRN LOWER IN LIGHT OF CURRENT CONDITIONS
AND INCREASING LOW LEVEL CAA BEHIND THE SFC LOW. WIND FORECAST WILL
ALSO HAVE TO BE FRESHENED.
TO USERS OF KAPX WSR-88D DATA...
THE GAYLORD RADAR WILL REMAIN DOWN THROUGH LATE AFTERNOON...WE WILL
KEEP YOU POSTED OF THE PROGRESS. WE WILL CONTINUE TO UTILIZE
OUR BACKUPS RADARS: KMQT...KGRB...KDTX...KGRR. PLEASE DO THE SAME.
WE ARE SORRY THIS INCONVENIENCE. PLEASE DO NOT HESITATE TO CALL IF YOU
HAVE QUESTIONS.
.APX...NONE.
EME
</PRE><HR> <BR><PRE>FXUS63 KDTX 021307 mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MARQUETTE MI
430 AM EDT WED JUN 2 1999
CONCERNS TODAY ARE PRECIP OVR SE CWA...THEN CLEARING AND MAX TEMPS.
SW UPPER LEVEL FLOW AT 500MB DOMINATING MUCH OF CONUS WITH UPR LOW
DIGS OVR PACIFIC NW AND 500MB CONFLUENCE IN E CANADA OVR SFC HIGH
PRS.
STRONG SHORTWAVE ANALYZED BY 00Z ETA OVR E IOWA...RESPONSIBLE FOR
SEVERE CONVECTION CURRENTLY SPREADING NE ACROSS S LK MICHIGAN INTO
LOWER MI. BOTH NGM/ETA CONSISTENT IN MOVING SHORTWAVE NE IN SE LOWER
MI BY 21Z. STRONGEST LIFT AND CONVECTION ASSOCIATED WITH FEATURE
WILL REMAIN MOSTLY S OF CWA PER 850-500MB QVECTOR FIELD AND
GUIDANCE. EXCEPTION IS MENOMINEE/DELTA/S SCHOOLCRAFT COUNTIES...
WITH KGRB 88D REFLECTIVITY DATA DEPICTING SHIELD OF RAIN SPREADING
RAPIDLY NE AT 06Z...AND 03Z RUC/18Z MESOETA SUPPORTING IDEA OF THIS
CONVECTION CLIPPING THIS PORTION OF CWA BETWEEN 09-18Z AS 1004MB SFC
LOW TRACKS NE TO BIG RAPIDS/CADILLAC IN LOWER MI. WILL LEAVE THUNDER
OUT AS BEST INSTABILITY REMAINS SE OF CWA PER 03Z RUC SHOWALTER
INDICES.
IFR/MVFR CEILINGS EXTEND WEST INTO CENTRAL MINNESOTA AT 06Z. PER ETA
RH CROSS SECTION AND 850-700MB QVECTOR DIV AFT 18Z...EXPECT
GRADUALLY CLEARING LATE TODAY FROM W TO E. AS UPPER LOW OVR W COAST
DIGS S TONIGHT AND THURSDAY...UPR LEVEL RIDGE AMPLIFIES OVR HIGH
PLAINS WITH SFC HIGH PRS RIDGE ENTRENCHED FM HUDSONS BAY S THROUGH
MISSISSIPPI RVR VALLEY. BY 00Z FRI UPR RIDGE AXIS APPROACHES W
CWA...WITH NGM BEING SLIGHTLY MORE PROGRESSIVE WITH FEATURE THAN
ETA.
IN RESPONSE TO LEE SIDE CYCLOGENSIS OVR HIGH PLAINS IMPRESSIVE
RETURN FLOW DEVELOPS OF GULF OVR PLAINS ON THURSDAY AND FRIDAY. 00Z AVNS
310K SFC DEPICTING ISENTROPIC LIFT WITH STRONG WAA PATTERN SPREADING
N ACROSS CWA ON FRIDAY. CONSEQUENTLY WILL INTRODUCE CHANCE OF
SHOWERS FRI WITH WARM FRONTAL PASSAGE FOLLOWED BY MORE
UNSTABLE...HIGHER THETA E AIR ADVECTING INTO CWA FROM SW. MRF
SUGGESTS WEAK COLD FRONTAL PASSAGE OCCURS SATURDAY NIGHT AS SFC LOW
MOVES E ACROSS S CANADA TO JAMES BAY BY 00Z MONDAY. BEST CHANCE
OF SIGNIFICANT CONVECTION LATE SATURDAY OR SATURDAY NIGHT.
PRS/THICKNESS FIELDS INDICATE FRONT MAY STALL AND WEAKEN VICINITY OF
S CWA ON SUNDAY WITH UPR FLOW BECOMING PARALLEL TO FRONT...SO WILL
RETAIN CHANCE OF SHOWERS.
TEMPS A BIT TRICKY TODAY...DEPENDING ON EXACT TIMING OF CLEARING.
BASED ON MQT LAMP GUIDANCE WILL UNDERCUT FWC BY A FEW DEGREES AND
ASSUME CLEARING REACHES MQT THIS EVENING. WARMEST OVR SW CWA PARTIAL
WHERE CLEARING ARRIVES AROUND 18Z.
.MQT...NONE.
WOLF
</PRE><HR> <BR><PRE>FXUS63 KDTX 020820 mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE TWIN CITIES/CHANHASSEN MN
830 PM CDT WED JUN 2 1999
THE UPPER AIR SOUNDING AT CHANHASSEN THIS EVENING SHOWS A STABLE AND
DRY AIR MASS. THE PRECIPITABLE WATER VALUE DECREASED IN HALF FROM 12
HOURS AGO. SATELLITE SHOWS CLOUD TRACES OVER OUR COUNTY WARNING AREA
DISSIPATING AND RUC HINTS THAT A MIDDLE LEVEL RIDGE WILL REMAIN
SAFELY EAST OF US THROUGH THE NIGHT. ANTICIPATE FAIR WEATHER THROUGH
THURSDAY MORNING. PREVIOUS FORECAST SCENARIO LOOKS HARD TO IMPROVE
ON.
.MSP...NONE
WH
</PRE><HR> <BR><PRE>FXUS63 KDLH 022037 mn
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE TWIN CITIES/CHANHASSEN MN
915 AM CDT WED JUN 2 1999
CONCERN THIS AFTERNOON IS EXTENT OF CLEARING. NO KMPX SOUNDING BUT KINL
SHOWING FAIRLY DEEP MOISTURE YET. 12Z RUC SEEMS TO HAVE BEEN
INITIALIZED TOO DRY FOR MPX. LAPS SOUNDING SEEMS TO HAVE TOO DEEP A
MOIST LAYER WHEN COMPARED TO PIREPS...SO SOME WHERE BETWEEN. THINK
CLEARING WILL WORK EAST DURING DAY BUT MAYBE NOT AS FAST AS RUC LOW
LEVEL MOISTURE PROGS SUGGEST IN THE EAST. THERE IS CONTINUING LOW LEVEL
DIV FORECAST THOUGH. CURRENT MAX TEMP FORECASTS SEEM OK WITH SOME
MINOR ADJUSTMENTS.
.MSP...NONE
RICHARDSON
</PRE><HR> <BR><PRE>FXUS63 KMPX 020911 mn
FORECAST DISCUSSION
NATIONAL WEATHER SERVICE JACKSON MS
915 PM CDT WED JUN 02 1999
ON SATELLITE THE REGION CONTINUES UNDER NORTHWEST FLOW...WITH RIDGE
AXIS TO THE WEST. THE ACTIVITY HAS MOSTLY DISSIPATED FOR NOW...BUT
EXPECT SOME ISOLATED ACTIVITY MAY DEVELOP LATER TONIGHT. THE RUC
MODEL SHOWS A WEAK SHORTWAVE COMING ACROSS THE REGION TONIGHT...BUT
MOISTURE WILL BE LACKING FOR ANY SCATTERED THUNDERSTORM COVERAGE. SO
WITH THIS IN MIND KEPT LOW POPS ACROSS THE REGION THROUGH THE NIGHT
AND LEFT TEMPS ALONE.
.JAN...
MS...NONE.
LA...NONE.
AR...NONE.
17
</PRE><HR> <BR><PRE>FXUS74 KJAN 022044 ms
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE BILLINGS MT
830 PM MDT WED JUN 3 1999
WATER VAPOR IMAGERY INDICATES UPPER LOW OVER ORFE/CA BORDER SAGGING
SOUTH WITH VORT LOBES EJECTING FROM IT. LATEST SURFACE MAP INDICATES
SURFACE LOW OVER BILLINGS WITH WARM FRONT STRETCHING ESE ALONG THE MT/WY
BORDER...WHERE MOST OF THE CONVECTION HAS FIRED UP. SEVERAL SURFACE
TROFS ALSO EMINATE FROM THE LOW.
00Z RUC INDICATES VORT LOBE SWINGING NORTH TO THE MT/WY BORDER BY EARLY
MORNING WITH A SLOW MOVEMENT OF THE WARM FRONT. SHOWERS/THUNDERSTORMS
SHOULD DECREASE AND WEAKEN OVERNIGHT WITH LOSS OF SURFACE HEATING...BUT
WITH ENOUGH DYNAMICS IN PLACE AND WARM FRONT MOVING SLOWLY NORTH WOULD
NOT BE SURPRISED TO STILL HAVE SCATTERED THUNDER OVERNIGHT.
WILL DECREASE POPS TO SCATTERED ALL AREAS FOR TONIGHT AND REMOVE MENTION
OF SEVERE FROM THE ZONES. STROBIN
BIL EB 052/073 050/076 053 634433
LVM .. 049/068 048/070 ... 634644
HDN .. 050/075 049/076 ... 634433
MLS .. 058/078 054/080 ... 634432
4BQ .. 057/078 055/079 ... 634332
BHK .. 051/076 051/078 ... 634432
SHR EB 049/073 047/079 050 634322
</PRE><HR> <BR><PRE>FXUS65 KTFX 030235 mt
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE BILLINGS MT
903 AM MDT WED JUN 02 1999
VERY LITTLE TO ARGUE WITH ON CURRENT FORECAST PACKAGE. A BIT OF
TWEAKING...BUT THAT IS ABOUT ALL.
SATELLITE PICTURES SHOW MOIST FLOW TO BE ABOUT DUE NORTH FROM THE GREAT
BASIN WITH EVEN A SLIGHT NORTHWEST BIAS TO IT. FOCUS OF THUNDERSTORM
ACTIVITY SHOULD BE MAINLY OVER WESTERN ZONES OF COUNTY WARNING AREA.
UPPER AIR DIFFLUENT FLOW ALSO SUPPORTS THIS.
HOWEVER...AM LOOKING AT A CONVERGENT BOUNDARY OVER THE EASTERN ZONES AS
POSSIBLY BEING ANOTHER FOCUS FOR THUNDERSTORM DEVELOPMENT. THE 12Z RAOB
SOUNDINGS DID NOT INDICATE CAPPING FOR HINDERING THUNDERSTORMS FROM
FORMING AND SOUNDING MODIFICATION SHOWS CAPES TO BE RATHER HIGH IN THAT
AREA. THUNDERSTORMS ARE FORECAST EVERYWHERE IN THE COUNTY WARNING AREA.
FOR THE NOW...THE GOING POPS LOOK GOOD.
UNFORTUNATELY...HAD NO RUC RUN FOR 12Z TO CONSULT. CHB
BIL EE 081/054 070/052 077 52244
LVM .. 075/051 069/... ... 52444
HDN .. 082/053 071/... ... 52244
MLS .. 085/059 076/056 ... 52244
4BQ .. 085/061 077/... ... 52244
BHK .. 085/058 078/... ... 52244
SHR EE 078/050 066/048 074 52444
</PRE><HR> <BR><PRE>FXUS65 KTFX 020908 mt
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE BINGHAMTON NY
940 PM EDT WED JUN 2 1999
3RD DRIEST MAY ON RECORD AT BGM AND ONLY 0.81 MONTHLY TOTAL AT SYR (6TH
DRIEST MAY) AND SIG RAIN CONTINUES TO ELUDE MUCH OF CNTRL NY AND NE PA.
WIND SHIFT LINE/FRONT PUSHING ACRS CNTRL NYS ATTM. LINE OF SHRA
ENTERING THE WRN CWA ASSCD WITH THIS BNDRY. UPR VORT MAX IS SHEARING
OUT TO THE NE AND WE'VE LOST THE DAYTIME HEATING. RUC SNDGS SHOW
STABLIZATION OCCURING AND LTG DATA INDICATES STRIKES CONFINED TO EASTERN
LAKE ONTARIO COUNTIES. ALTHOUGH I CAN'T RULE OUT AN ISOLD TSTM
OVERNIGHT..TRENDS INDICATE THE BEST POTNL IS OVER. AFTN PCKG MENTIONED
ONLY EVNG TSTMS AND THIS LOOKS GOOD SO WILL STICK WITH CONTINUITY AND
JUST GO WITH -SHRA FOR THE OVERNIGHT PD. HOWEVER WILL WORD PCPN AS SCT
AND DROP POPS INTO THE CHC CAT. TMRW'S FCST MAXES MAY BE A TAD ON THE
HIGH SIDE BUT MIDSHIFT CAN MAKE ANY TWEEKS TO LATER PDS IF NEEDED. LOOKS
LIKE A FEW VERY NICE DAYS TO FOLLOW BUT WE REALLY COULD USE THE RAIN.
.BGM...NONE.
BRADY
</PRE><HR> <BR><PRE>FXUS71 KOKX 030132 ny
STATE FORECAST DISCUSSION
NATIONAL WEATHER SERVICE ALBANY NY
1045 AM TUE JUN 1 1999
.DISC...AMS HS CHANGED LTL SINCE YSTDY. BERMUDA HI STL IN PLC.
CLDFNT HAS MVED ABT 200 MILES S...AND NOW LNS UP NR KCAR/KYUL/KMGG
LN. ATTM KENX WSR-88D SHWS LTL ACTVTY AS AREA IS NICELY CAPPED BY NVA
OVR RGN. LTST RUC CARRIES A SFC WV FM MI 2 SRN ONTARIO BY THIS EVE.
CLDFNT ITSFL MVS VRY LTL DRG THIS TIME. HOWEVER SFC CAPES JMP
MARKEDLY (~1200 J/KG KPOU ~1500 J/KG KALB AND EVN A BIT MORE N). NXT
SHT WV ALFT WL HELP DESTABILIZE ATMOS...ESP N AND W OF KALB.
HV MADE A FEW CHANGES 2 PREVIOUS PACKAGE REGARDG THIS PM. HV ADD A
BIT MORE SUN...RAISED TEMPS A CAT AND SO WITH THE POPS. (XCPT KPT
THEM AT 30 SERN ZN DUE TO SLITELY LOER CAPES AND FCT THAT FCRG
MECHANISM). BRN > 50 SO WE ARE LKG AT NON SUPER CELLS. HELICITY
HEALTHY AT 100 (M/S2) SO NOT OUT OF THE QUESTION A SQL LN CLD FM..BUT
MORE LIKELY ANY SVR WLD BE FM PULSE TYPE STMS. FA NOT OUTLKD FOR SVR
AND TEND 2 AGREE THAT ANY SVR WX SHLD BE ISLD. BIGGEST PRBLM WITH ANY
TSRA THIS PM WLD BE HVR RAINERS (PW > 1.5 INCHES) SO HVY DOWNPOUR
POSS CONTINUED. WBZ WITHIN HAIL THRESHOLD OF 10.5 KFT...BUT NOT
ENOUGH OF A THREAT 2 ADD 2 PCKGE ATTM.
NO MET CHANGES 2 LTR PDS. CONVC POT INCREASES TON AND ERLY TOM AS
CLFNT APPRCHES FA.
WRKZFP AVBL. ZONES GONE BFR 11 AM. BYE!
.ALB...NONE.
HWJIV
</PRE><HR> <BR><PRE>FXUS71 KBUF 021413 ny
FORECAST DISCUSSION FOR EASTERN NORTH DAKOTA AND NORTHWEST MINNESOTA
NATIONAL WEATHER SERVICE EASTERN ND/GRAND FORKS ND
900 PM CDT WED JUN 02 1999
FORECAST CHALLENGE FOR UPDATE CONCERNS TEMPS AND TSRA/SHRA THREAT.
CONVECTION TRYING TO FIRE IE. SLIGHTLY ENHANCED TOPS AHEAD OF WARM FRONT
FROM SE MT ALONG WESTERN DAKOTAS BORDER TO CENTRAL SD VIA IR LOOP
ALTHOUGH NOT TOO IMPRESSIVE ATTM. MAIN ACTION ATTM ALONG HIGH PLAINS.
STILL FEEL FAVORED AREA FOR TSRA TONIGHT TO THE WEST OF OUR FA AHEAD OF
SFC BOUNDARY IN ZONE OF STRONGEST H8 WAA...BOUNDARY LAYER MOIST
FLUX...MAIN H8 THETA-E RIDGE...DEVELOPING 30-40 KT LLJET...GREATER
INSTABILITY AND POOLING 60 DEGREE DEWPOINTS OVR THE CENTRAL DAKOTAS. 00Z
BIS SOUNDING FROM SHARP INDICATED LI OF -8 AND CAPE NEARLY 2500 J/KG.
SOME CONCERNS WITH WK W-E BOUNDARY OVR SE ND FROM 00Z SFC ANALYSIS WHICH
COINCIDES WITH H8 THETA-E LOBE FROM RUC. SOME ACCAS NOTED TO THE SOUTH
OF THE STATION. WITH THESE FEATURES UNDER MID LEVEL RIDGE WILL MAINTAIN
DRY FCST BUT WILL MONITOR. WILL MAINTAIN SLIGHT POPS OVR EXTREME
WESTERN FA WHICH BECOMES ON BACK SIDE OF RIDGE LATE AND CLOSER TO ABOVE
MENTIONED FEATURES. CURRENT TEMPS SEEM ON TRACK BUT WILL TAKE A LAST
LOOK BEFORE MAKING ANY MINOR CHANGES IF NEEDED.
.FGF...NONE
VOELKER
</PRE><HR> <BR><PRE>FXUS63 KBIS 021959 nd
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE WILMINGTON OH
945 AM EDT JUN 2 1999
KILN RADAR SHOWS A LINE OF SHOWERS AND THUNDERSTORMS EXTENDING FROM
CENTRAL OHIO SOUTHWEST INTO NORTHERN KENTUCKY. THIS LINE WILL
CONTINUE MOVING EAST THIS MORNING...STABILIZING THE AIRMASS IN ITS
WAKE. HOWEVER...THIS STABILIZATION IS EXPECTED TO BE BRIEF.
CURRENT SURFACE BASED CAPES ARE BETWEEN 500 TO 1000 J/KG. MODIFIED
ILN SOUNDING YIELDS AROUND 1600 J/KG DURING THE AFTERNOON WITH
EXPECTED HIGHS AROUND 80. LATEST SURFACE MAP SHOWS A COLD FRONT
ALONG THE ILLINOIS/INDIANA BORDER. PREVIOUS MODEL RUNS AND THE RUC
MOVE THIS COLD FRONT TO THE INDIANA/OHIO BORDER BY 18Z (2 PM) AND
THEN INTO CENTRAL OHIO BY LATE AFTERNOON. THIS FRONT IS ALSO
ASSOCIATED WITH AN UPR LVL S/W LOCATED ACROSS LOWER MICHIGAN. THE
FRONT ALONG WITH THE UPR LEVEL S/W WILL PROVIDE THE NECESSARY LIFT
TO TRIGGER MORE SHOWERS AND THUNDERSTORMS FOR THE AFTERNOON HOURS.
THE WET BULB ZERO ON ILN SOUNDING THIS MORNING WAS NEAR 11K. THIS
IS ON THE WARM SIDE. MODELS SHOW A MID LEVEL DRY PUNCH WORKING INTO
THE REGION DURING THE AFTERNOON. THIS DRY AIR ALOFT WILL ALLOW FOR
EVAPORATIVE COOLING. THUS...THE MAIN THREAT FOR SEVERE WEATHER
TODAY (IF IT MATERIALIZES) APPEARS TO BE DAMAGING WINDS. CURRENT
THINKING IS THAT SCATTERED SHOWERS AND THUNDERSTORMS WILL FORM
ACROSS THE WRN CWFA THIS AFTERNOON...AND THEN THEY WILL BECOME MORE
CONSOLIDATED ACROSS THE ERN CWFA BY LATE AFTERNOON.
AS THE COLD FRONT MOVES EAST TONIGHT...DRIER AIR WILL INFILTRATE THE
REGION...BRINGING AN END TO SHOWERS AND THUNDERSTORMS.
.ILN...NONE.
HICKMAN
oh
STATE FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MOUNT HOLLY NJ
300 PM EDT WED JUN 2 1999
---------------------------------------------------------------------
NOTE TO USERS OF THIS PRODUCT - EFFECTIVE 9 AM EDT JUNE 15 1999...
THE STATE FORECAST DISCUSSION FROM THE NATIONAL WEATHER SERVICE
FORECAST OFFICE IN MOUNT HOLLY...NEW JERSEY WILL BECOME AN AREA
FORECAST DISCUSSION...WITH A NEW WORLD METEOROLOGICAL ORGANIZATION
(WMO) HEADER AND NOAA WEATHER WIRE SERVICE (NWWS) PRODUCT IDENTIFIER.
PLEASE TAKE THE APPROPRIATE STEPS TO ENSURE YOUR CONTINUED RECEIPT OF
THIS PRODUCT.
WMO HEADER FXUS71 KPHI FXUS61 KPHI
NWWS ID PHLSFDPHL PHLAFDPHI
IF YOU HAVE QUESTIONS REGARDING THIS CHANGE...PLEASE CONTACT
METEOROLOGIST-IN-CHARGE GARY SZATKOWSKI AT 609-261-6600.
---------------------------------------------------------------------
DISC: LARGE SFC HI OVR SE W/B DIFLECTING APPROACHING LO PRES NNE INTO
EASTERN CANADA. SFC LO SPINNING THRU MI ATTM WITH SVRL CONVECTIVE
BANDS E INTO OHIO/PENNA AS SW MOVES ENE THIS EVENING. SOME TSTMS
WILL HOLD TOGETHER MOVING INTO UNSTABLE AIR E OF APPALACHIANS. W/B
WATCHING LINE OF TSTMS FOR ANY SUSPECT CELLS BUT NONE ARE LOOKING
TOO OMINOUS AT THIS TIME. SOME HVY RAIN WAS FALLING OVER WRN HALF OF
PA AND EXPECT THAT WE MAY GET INTO A FEW DOWNPOURS THIS EVENING ESP
OVER THE NRN PART OF CFA. SPC RUC2 SHOWS MAX ACROSS PA BORDER /.76/
AND WITH THE FRONT FIRST HALF OF THU. WINDS LIKELY TO GUSTS ON THE
ORDER OF 30 TO 40 KTS THIS EVENING WITH ANY TSTMS. 80H JET NICELY
PACKED E OF LO WITH SPEEDS OF 35-50KT.
WE GET THRU THIS PERIOD OF MUCH NEEDED RAIN TONIGHT AND ANOTHER
CHANCE WITH CFNT ON THU. MOST OF ACTIVITY ON THU WITH THE FRONT AND
MAY BE THRU BY NOONTIME EXCEPT FOR THE EXTREME SE SEXNS. A
REFRESHING CHANGE...NOT THAT ITS BEEN THAT BAD...ON TAP THU NIGHT
INTO FRI.
.PHI...NONE.
SEE YA...
EBERWINE (DIX 88D OTS)
</PRE><HR> <BR><PRE>FXUS61 KCTP 021857 pa
STATE FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MOUNT HOLLY NJ
1035 AM EDT WED JUN 2 1999
---------------------------------------------------------------------
NOTE TO USERS OF THIS PRODUCT - EFFECTIVE 9 AM EDT JUNE 15 1999...
THE STATE FORECAST DISCUSSION FROM THE NATIONAL WEATHER SERVICE
FORECAST OFFICE IN MOUNT HOLLY...NEW JERSEY WILL BECOME AN AREA
FORECAST DISCUSSION...WITH A NEW WORLD METEOROLOGICAL ORGANIZATION
(WMO) HEADER AND NOAA WEATHER WIRE SERVICE (NWWS) PRODUCT IDENTIFIER.
PLEASE TAKE THE APPROPRIATE STEPS TO ENSURE YOUR CONTINUED RECEIPT OF
THIS PRODUCT.
WMO HEADER FXUS71 KPHI FXUS61 KPHI
NWWS ID PHLSFDPHL PHLAFDPHI
IF YOU HAVE QUESTIONS REGARDING THIS CHANGE...PLEASE CONTACT
METEOROLOGIST-IN-CHARGE GARY SZATKOWSKI AT 609-261-6600.
---------------------------------------------------------------------
NOT GOING TO MAKE TOO MANY ADJ IF ANY. CWA BRIGHTENING UP AND TEMPS
W/B REACHING TOWARD FCST HIGHS FROM EARLIER PCKG. SPEED MAX OF 50KT
AND HIGH PW'S TO REMAIN W OF FA THIS AFTERNOON. SPC'S RUC2 MODEL
UPDATE A NICE DEPICTION OF CURRENT STATE OF ATMOS AND FOR THIS
AFTERNOON MOST OF CWF WILL BE PRECIP FREE. IMPRES VORT MAX OVER LWR
MI W/B FIRING MECH LATER ON TODAY.
OTHERWISE...SEE YA THIS AFTERNOON.
.PHI...NONE.
EBERWINE
</PRE><HR> <BR><PRE>FXUS71 KPBZ 021402 pa
AREA FORECAST DISCUSSION...UPDATED
NATIONAL WEATHER SERVICE GREENVILLE-SPARTANBURG SC
1153 PM EDT WED JUN 2 1999
QUICK UPDATE PLANNED TO LOWER POPS IN NC MTNS...NORTHEAST GEORGIA
AND WESTERN MOST SOUTH CAROLINA...AND TO ADD SOME QUALIFIER WORDING
FOOTHILLS/PIEDMONT AS APPEARS CONVECTION WILL BEGIN TO WANE IN
PREDAWN. ALTHO 00Z RUC DOES SUPPORT LEAVING SOME LOW POPS IN
OVERNIGHT...IT IS ALSO SUGGSTNG BEST MOISTR CONVERGENCE TO EAST OF
OUR CWFA LATE TONIGHT. ALSO PLAN TO PUNCH UP FOG WORDING A BIT; WITH
SOME AREAS RECEIVING OVER AN INCH OF RAIN TONIGHT...AREAS OF DENSE
FOG NOW APPEAR LIKELY...ESPECIALLY MTN ZONES AND ADJACENT FOOTHILLS.
.GSP...NONE.
BURRUS
</PRE><HR> <BR><PRE>FXUS62 KGSP 030155 sc
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GREENVILLE-SPARTANBURG SC
955 PM EDT WED JUN 2 1999
CONVECTION CONTINUES TO PROPAGATE EASTWARD ACROSS CWFA...AHEAD OF
WELL DEFINED VORTICITY CENTER IN GEORGIA AND SHORTWAVE/FRONTAL BNDRY
COMBO UPSTREAM IN TENNESSEE. INSTABILITY REMAINS MINIMAL...BUT
CONVERGENCE ENHANCED BY OUTFLOW FROM MAIN PRECIP AREA IS DEVELOPING
A NEW LINE OF STORMS NEAR GSP EXTENDING NOW INTO NORTH CAROLINA.
WILL RAISE POPS TO LIKELY IN FOOTHILLS/PIEDMONT ZONES AND MAY FOR
OVRNGT...MOST OF PRECIP SHUD BE OUT OF AREA BY MIDNIGHT EXCEPT
EXTREME EASTERN SECTIONS...AND MAY HAVE TO UPDATE BEFORE MIDNIGHT IF
PRECIP DWINDLES UNEXPECTEDLY FAST. WITH JUICY AIR IN PLACE AND
SHORTWAVE/FRONT STILL TO MOVE INTO REGION PER 00Z RUC...WE COULD SEE
ADDITIONAL CONVECTION DEVELOP ALMOST ANYWHERE. WILL TAKE POPS DOWN TO
LOW CHC IN EXTREME WEST.
.GSP...NONE.
BURRUS
</PRE><HR> <BR><PRE>FXUS62 KCHS 030102 sc
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE CHARLESTON SC
900 PM EDT WED JUN 2 1999
SCATTERED PCPN OVER N CNTL GA EARLY THIS EVE SLOLY MOVG E. 12Z MODELS
AS WELL AS LTST MESO ETA/RUC2/MAPS SHOW S/WV OVER NE GA SLIDING NE
TNGT PASSING WELL N OF AREA. ONE AREA OF LIFT GOES N WITH THE S/WV...
ANOTHER AREA SUSPICIOUSLY MOVES ACROSS SE GA. 00Z LAPS/MAPS ANAL
SHOWING A POCKET OF HIER CAPE/THETA-E AND LWR LI OVER INLAND SE GA
HOLDING TOGETHER. 00Z CHS SOUNDING NOT IMPRESSIVE AT ALL AS FAR AS
MOISTURE AND STABILITY. FOR THE UPDATE...WL INSERT A SLGT CHC POP FOR
WELL INLAND SE GA AND ALLENDALE CTY SC FOR SHRA. IF PCPN OVER CNTL GA
HOLDS TOGETHER NEXT COUPLE OF HRS...CAN UPDATE AREAS FURTHER E FOR
A 20 POP. OTHER THAN THAT...WINDS ALG THE CST STIRRING FAIRLY WELL
THIS EVE. WL UP CSTL WINDS TO 10 MPH TNGT AND MAY TWEAK FCST LOWS
UP A CAT IN A FEW SPOTS. OTHER THAN THAT...NO SIG CHGS.
CWF: EXPECTING OCNLY GUSTY CONDITIONS ALG THE BEACHES AGAIN TONIGHT
ON THE COOLING LAND/ WARMER WATER INTERFACE. RUC INDICATES TIGHTER
GRADIENT WILL RESIDE JUST N OF OUR S CAROLINA MFA AND WILL LIKELY
CONTINUE WITH 15 KT OVERNIGHT ALTHOUGH FINAL DECISION MAY LEAD TO
BECMG SW 15 TO 20 KT NRN WATERS ON UPDATE. GEORGIA WATERS FCST ON
TARGET AND EXPECT FEW CHANGES.
.CHS...
SC...NONE.
GA...NONE.
RVT/TJR
</PRE><HR> <BR><PRE>FXUS72 KCAE 030027 sc
AREA FORECAST DISCUSSION...UPDATED
NATIONAL WEATHER SERVICE GREENVILLE-SPARTANBURG SC
753 PM EDT WED JUN 2 1999
UPDATE FORTHCOMING TO REMOVE WATCH WORDING FROM FIVE COUNTIES IN
NORTHEAST GEORGIA AND WESTERN NORTH CAROLINA...AND BLEND THEM BACK
IN WITH THEIR CUSTOMARY GROUPINGS TO THEIR IMMEDIATE EAST. 21Z RUC
SUGSTS SHORTWAVE WILL PASS ALMOST DIRECTLY OVER OUR CWFA AHEAD OF
SURFACE COLD FRONT...WITH CONVECTION ON NRN END OF CONVECTIVELY
INDUCED VORTICITY MAXIMUM MOVING INTO OUR NORTHEAST GEORGIA COUNTIES
AS THE 8 PM HOUR APPROACHES. WILL MAKE NO OTHER CHANGES TO THE ZONES
WITH THIS UPDATE.
.GSP...NONE.
BURRUS
</PRE><HR> <BR><PRE>FXUS62 KCHS 021856 sc
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GREENVILLE-SPARTANBURG SC
209 PM EDT WED JUN 2 1999
CONVECTIVLY INDUCED VORT FROM LAST NIGHTS CONVECTION HAS SPRUNG INTO
LIFE AGAIN TDA WITH AN IMPRESSIVE LOOKING AREA OF CONVECTION OVER
NE AL. THIS FEATURE IS EMBEDDED IN A LARGER SCALE WEAK TROUGH.
SFC FRONT...SUCH AS IT IS...HAS NOT MADE A LOT OF SWRD PROGRESS
TDA. IN FACT...IT LOOKS ONE OF THOSE SITUATIONS WHERE IT WILL BE
VERY DIFFICULT TO JUDGE WHEN THE FRONT PASSES THE CWA. SFC DWPTS
DO NOT TAKE A DIVE UNTIL TMRW AFTN.
THE NGM AND AVN DID NOT INITIALIZE THE VORT AS WELL AS THE ETA. IN
FACT...THE ETA SOLUTION OF SHEARING THE VORT ACROSS THE REGION
OVERNIGHT IS NOT A BAD ONE. THE RUC TAKES THE MCV SE ACROSS GA THIS
EVENING...WHICH DOESN/T MAKE SENSE.
WHILE SOME CONVECTION IS DEVELOPING ON LEE TROUGH IN THE NC
FOOTHILLS...THE BULK IS STILL A WAYS TO THE WEST. I/M INCLINED TO
BELIEVE THAT WITH THE WEAK SHEAR THE MCS WL FALL APART LATER IN
THE EVENING AND NOT GENERATE WIDESPREAD CONVECTION OVER THE CWA...
THOUGH I WL KEEP HIGHER POPS IN THE WRN COUNTIES. ON THE PLUS
SIDE...NGM/ETA BOTH HAVE GOOD H8 CONVERGENCE OVER THE REGION BY 06Z
AND DEEP MOISTURE. THE NGM GENERATES A LARGE SWATH OF PCPN ACROSS
THE CWA OVERNIGHT...AND HAS FOR THE PAST COUPLE RUNS. STILL...AS WE
HAVE HAD SUCH A TOUGH TIME GETTING PCPN LATELY...WL NOT HAVE MORE
THAN HIGH CHANCE POPS ANYWHERE UNLESS THINGS CHANGE BEFORE ISSUANCE
TIME.
I REMOVED THE LOW CHANCE POPS FROM THE MTNS ON THU...OTHERWISE
W/FRONT-LEE TROUGH COMBO OVER ERN CWA...IDEA OF KEEPING CHANCE
POPS ERN MOST ZONES STILL A GOOD ONE.
RIDGE BUILDS INTO REGION THU NGHT AND FRI. WHILE ETA HAS A WEAK
MINOR WAVE APPROACHING FRI...SEE NO WAY THIS COULD INITIATE ANYTHING
W/BNDRY LAYER DRYING AND NO CONVERGENCE. ONLY MINOR DIFFERENCES FROM
FWC TEMPS THROUGH THE PERIOD.
STILL PLAN ON KEEPING THE EXTENDED DRY WITH H5 RIDGE IS NO HURRY TO
LEAVE THE SE.
CAEWRKGSP OUT BY 230.
PRELIMINARY NUMBERS:
AVL 60/82/55/82 4100
CLT 64/85/62/85 3310
GSP 64/86/62/86 3210
.GSP...NONE.
MCAVOY
</PRE><HR> <BR><PRE>FXUS72 KCAE 021457 sc
STATE FORECAST DISCUSSION
NATIONAL WEATHER SERVICE COLUMBIA SC
1015 AM EDT WED JUN 2 1999
TSTMS MOVG ACRS AL INTO NW GA ATTM WHILE BAND OF MID CLDS DVLP ACRS
CNTRL SC. 12Z RUC BRINGS H5 S/WV EWD AND WEAKENS IT SM. A LTL LOW LVL
MSTR CONVGNC WORKS INTO WRN SXNS CAROLINS BY LATE AFTN FOR CONTD LOW CHC
TSTMS. ATTM DO NOT EXPECT ANY SVR TSTMS WITH STRONGER STMS PRODUCING SM
HAIL/G40KT. CLDS ACRS CNTRL SC MAY HOLD TEMPS DN A FEW DEGS BUT SHD SEE
SM BRKS DURG THE AFTN. NO CHGS TO CUR FCST.
.CAE...NONE.
CDL
</PRE><HR> <BR><PRE>FXUS62 KGSP 021417 sc
AREA FORECAST DISCUSSION FOR SOUTHEAST SD/SOUTHWEST MN/NORTHWEST IA
NATIONAL WEATHER SERVICE SIOUX FALLS SD
903 PM CDT WED JUN 2 1999
LARGE SCALE PATTERN THIS EVENING HAS LARGE COLD TROF ALG CA COAST...
AND COUPLE OF STGR IMPULSES WRAPPING ARND. 12Z ETA/NGM ARE GOOD AT
PLACEMENT OF VORT NORTH OF 4 CORNERS...AVN OFF TO N...BUT LIKE THE
ETA SECONDARY PLACEMENT IN ERN NM...SETTING OFF LARGE MCS IN TX
PNHDL. ETA OTHERWISE WAS ALSO PREFERRED...WITH SOME CONTRIBUTIONS
TNGT ALLOWABLE FM RUC...ALTHOUGH 21Z RUC WAS LTL ON DRY SIDE AT LOW
LEVELS AGAIN...ABOUT 2-4C TOO LOW AT 850 HPA. DILEMMA THIS EVENING
IS DEALING WITH CONVECTIVE THREAT.
INITATION AT THIS TIME IS OCCURRING IN LOW LEVEL CONVERGENCE MAX ON
NRN PERIPHERY OF LLJ...AT RUC ADVERTISED NR 40 KTS AT RWD. OBSERVED
NWRD MOVEMENT AGREES THUS FAR WELL WITH THE RUC 850-300 THICKNESS...
WHICH WOULD TAKE ACTION INTO ND...THEN LEAK ESE LTR TNGT...REMAINING
LARGELY TIED TO ENERGY SOURCE COURTESY OF LLJ INTO SCNTRL SD.
BEST CHC WOULD BE FOR ORGANIZED SYSTEM TO BYOE (BRING YOUR OWN
ENVIRONMENT)...BUT WOULD STILL TAKE QUITE A BEATING DOING SO. RUC
SUGGESTS THAT AIRMASS AS HEADING EAST OVR CWA BY 09Z WILL BE VERY
UNFAVORABLE BY THE TIME YOU REACH I-29...AND WIND FIELDS NOT THAT
IMPRESSIVE AS WELL TO KEEP UP ORGANIZATION GAINED EARLIER. REMNANTS
OF COMPLEX WOULD LKLY TAKE UNTIL MRNG HOURS TO ARRIVE IN THESE
AREAS...AND CRNT FCST HANDLES QUITE WELL.
SFC WNDS ARE BACKING SLIGHTLY THROUGH THE PLAINS IN RESPONSE TO WRN
PLAINS PRESSURE FALLS...TO N OF OK SFC WMFNT. MOST LIKELY AREA TNGT
TO REMAIN AT LEAST SOMEWHAT COUPLED WILL BE WRN CWA...SO IF DECIDE
TO UPDATE...WL BUMP UP 5 MPH OR SO...AND BACK OFF TIMING AND
INCREASE CERTAINTY OF CONVECTION LTR TNGT.
ACTUALLY...AM SOMEWHAT MORE CONCERNED ABOUT CONVECTIVE THREAT THU
EVNG ACRS WRN CWA AS WMFNT LIFTS NWRD INTO NEBRASKA...AND LLJ
REINVIGORATES. BUT FOR NOW...WL LEAVE THAT UP TO MID FCSTR TO
SOLVE...AS BOUNDARIES WILL BE BETTER DEFINED BY THEN.
.FSD...NONE
CHAPMAN
</PRE><HR> <BR><PRE>FXUS63 KUNR 030153 sd
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MORRISTOWN TN
946 PM EDT WED JUN 2 1999
...UPDATE FOR PRECIP MOVING OUT OF THE AREA...
CURRENT RADAR TRENDS SHOW PRECIP MOVING OUT OF NORTHEAST TENNESSEE
AND SOUTHWEST VIRGINIA AT THIS TIME. STILL CONCERNED A LITTLE FOR
CHANCE POPS OVERNIGHT. RUC SHOWS ANOTHER SHORTWAVE TO MOVE INTO THE
AREA BETWEEN 09-12Z...AND WITH LINGERING OUTFLOW BOUNDARIES AND WEAK
SURFACE COLD FRONT...COULD SEE SOME ISOLATED THUNDERSTORMS FIRE
AGAIN LATE TONIGHT...SO WILL GO WITH A PARTLY CLOUDY SKY AND 20
PERCENT CHANCE OF SHOWERS AND THUNDERSTORMS.
THE ATMOSPHERE IS STILL UNSTABLE...BUT WITH THE ATMOSPHERE BEING
TURNED OVER THIS AFTERNOON AND EVENING...SHOULD NOT BECOME SEVERE.
ANOTHER CONCERN IS WITH CLEARING SKIES...AND RECENT RAINS...FOG
POSSIBLE SO WILL ADD PATCHY FOG TO THE ZONES.
THANKS...PDK
</PRE><HR> <BR><PRE>FXUS64 KOHX 030124 tn
AREA FORECAST DISCUSSION...RESEND
NATIONAL WEATHER SERVICE MORRISTOWN TN
1045 AM EDT WED JUN 2 1999
APPEARS THAT ZONES HANDLE THIS AFTERNOON/S WEATHER SCENARIO RATHER
WELL...SO NO CHANGES ARE ANTICIPATED.
09Z RUC INDICATES EARLY MORNING S/W IN NORTH-CENTRAL ALABAMA...WITH
COOLER AIR ALOFT SUPPORTING ELEVATED CAPES UP TO 2000 J/KG AND
THUNDERSTORMS NOW GETTING INTO THE SOUTH PLATEAU AND VALLEY. ALSO...
TO THE NORTH...NOCTURNAL MCS OVER KENTUCKY FALLING APART RATHER
RAPIDLY. SOME THUNDERSTORMS FORMED THIS MORNING ALONG MAIN OUTFLOW
BOUNDARY IN CUMBERLAND PLATEAU INTO NORTHEAST TENNESSEE.
LATEST MODEL AND SATELLITE DATA INDICATE THAT H5 TROUGH AND S/W
SYSTEM UPSTREAM IN THE MID-MISSISSIPPI VALLEY WILL SUPPORT AFTERNOON
CONVECTION IN ADVANCE OF COLD FRONT AND ALONG LINGERING OUTFLOW
BOUNDARIES. SOME AFTERNOON HEATING WILL INCREASE INSTABILITIES...
WITH CAPES RANGING FROM 2000 TO 3000 J/KG AND LI/S UP TO -7.
DM
</PRE><HR> <BR><PRE>FXUS64 KOHX 021419 tn
UTAH AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE SALT LAKE CITY UTAH
900 PM MDT WED JUN 2 1999
SYNOPSIS...SOUTHERLY FLOW AHEAD OF A LOW ALONG THE WEST COAST WILL
CONTINUE OVER THE AREA INTO FRIDAY. THE AIRMASS WILL DRY SOMEWHAT
FROM THE SOUTHWEST TONIGHT AND THURSDAY...THEN MOISTEN UP AGAIN
THURSDAY NIGHT AND FRIDAY AS THE UPPER LOW MOVES INLAND. SHOWERS WILL
DECREASE FROM THE SOUTHWEST TONIGHT AND WILL BE SCATTERED ABOUT THE
AREA THURSDAY...MAINLY OVER THE NORTH. SHOWERS WILL INCREASE FROM THE
SOUTHWEST AGAIN THURSDAY NIGHT AND FRIDAY.
DISCUSSION...COUPLE OF VORTICITY CENTERS ROLLING UP THE FRONT SIDE
OF THE LOW. ONE HAS CROSSED THE UINTAS AND IS NOW IS SOUTHWEST WY
AND BEST DEPICTED BY RUC AT 500MB. THE SECOND IS ACROSS EASTCENTRAL
NV AND SOUTHWESTERN UT AND BEST DEPICTED BY RUC AT 300MB.
CONVECTIVE ACTIVITY HAS SUBSIDED PAST FEW HOURS EXCEPT NEAR
SOUTHERN UT-NV WAVE. AS THIS WAVE CONTINUES TO MOVE NORTH...WOULD
EXPECT CONTINUED ACTIVITY ACROSS WEST CENTRAL THEN NORTHWEST UTAH
INTO THE EARLY NIGHT...WITH RUC PROGGING 300MB WAVE AXIS PASSING
GREAT SALT LAKE AT 09Z. PRECIPITATION TAPERING OFF IN THE NORTH
AND WILL LET URBAN/SMALL STREAM ADVISORY EXPIRE. CURRENT FORECASTS
FOR TONIGHT LOOK OK AND NO AMENDMENTS PLANNED.
SLC 8656 CDC 7466 BURCH
.SLC...FLOOD WARNING FOR THE LOGAN RIVER UFN UTZ001-007.
URBAN AND SMALL STREAM ADV TIL 10PM UT/SL COUNTIES.
</PRE><HR> <BR><PRE>FXUS65 KSLC 022201 ut
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE BALTIMORE/WASHINGTON
910 PM EDT WED JUN 2 1999
ERLR THIS EVNG ONE STRONG CELL WARNED ON MOVED FROM CNTRL BERKELEY CTY
WV ACRS SRN WASH CTY MD BTWN HAGERSTOWN AND BOONESBORO THEN NEAR
THURMONT MD INTO NW CARROLL CTY BEFORE SPINNING OFF ANOTHER CELL ON THE
ITS SRN XTRM AND MOVING INTO CNTRL CARROLL AND BALTIMORE CTY'S.
MEANWHILE ANOTHER CLUSTER OF SMALL CELLS HAS DVLPD VCNTY OF THE E
PORTION OF THE ERN PNHNDL OF WV. THESE CELLS WILL CONTINUE TO THE ENE
BUT LTST MESO ANALYSIS WUD SUGGEST THESE ARE NOT ENTERING A VERY FAVORBL
ENVIRONMENT FOR CONTINUED DVLPMNT. ELSW ACRS THE CWA THE MESOS SUGGEST
CONTINUED STABILIZATION.
LTST RUC FCST WEAK CDFNT TO ADVANCE TO A BWI-NYG LINE BY ARND 09Z.
ANOTHER WEAK LINE OF CONV ACTVTY IS DVLPG OVR N-CNTRL WV ATTM WHICH MAY
MOVE ACRS THE NRN ZNS OF THE CWA LATER TNGT SO WILL KEEP A 30 POP THERE.
ELSW RUC UPR SUPPORT FCST AND MESOS WUD SUGGEST LTL IF ANY ACTVY OVRNGT
ACRS THE SRN ZNS. OTW ERLR FCST APPEARS ON TARGET.
THAT'S IT FOR NOW...LATER.
.LWX...NONE.
PAP
</PRE><HR> <BR><PRE>FXUS61 KLWX 021830 md
EAST CENTRAL FLORIDA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MELBOURNE FL
1025 AM EDT THU JUN 3 1999
THIS AFTERNOON...VERY WEAK FLOW UP THROUGH 5KFT SHOWN BY THE CAPE
915MHZ PROFILER WILL ALLOW EAST COAST SEA BREEZE TO PUSH WELL INLAND
THIS AFTERNOON. HIGHEST POPS ARE ACROSS THE SOUTH...LOWERING AS YOU
GO NORTH. THIS MAKES SENSE AS 12Z RUC SHOWS HIGHEST MOISTURE ACROSS
SOUTHERN THIRD OF FA...WHERE SOME SHOWER ACTIVITY IS OCCURRING AT
THIS TIME...ALBIET MAINLY OFFSHORE. EXPECT SHOWERS AND STORMS TO
DEVELOP THIS AFTERNOON ALONG SEA BREEZE..ESPECIALLY AS IT INTERACTS
WITH LAKE BOUNDARIES AND OUTFLOWS FROM OTHER SHOWERS AND STORMS.
MAY BUMP UP MAX TEMPS FOR PORTIONS OF CENTRAL AND SOUTHERN SECTIONS
...ALREADY 84F HERE AT MLB. OTHERWISE CURRENT FORECAST LOOKS GOOD.
MARINE...POSITION OF RIDGE AXIS IS OVER NORTH FL AND DRIFTING SOUTH
...THUS BUOY WINDS ARE A LITTLE LIGHTER NORTH AS INDICATED IN THE
CURRENT CWF. SEA BREEZE CIRCULATION TO KICK WINDS UP TO ~10KT NEAR
SHORE...SO WILL INDICATE THIS IN THE FLG-COF LEG. OTHERWISE...NO
CHANGES.
.MLB...NONE.
KELLY/CRISTALDI
</PRE><HR> <BR><PRE>FXUS62 KEYW 031410 fl
AREA FORECAST DISCUSSION...UPDATED
NATIONAL WEATHER SERVICE DES MOINES IA
1031 AM CDT THU JUN 3 1999
CHALLENGE FOR THIS UPDATE TO BE SW CWA PRECIP CHCS AND TEMPS CWA
WIDE.
MORNING UPPER AIR ANALYSIS SHOWING RIDGE EXTENDING FROM MID MISS
VALLEY...NORTH THRU ERN IA AND CEN MN. MEANWHILE...AT 850 MB...
THERMAL RIDGE...AND THETA E RIDGE COULD BE FOUND OVER CEN AND ERN
KS/NE. BEST LOW LEVEL JET ALSO IN THOSE AREAS. FINALLY...RAOBS AND
PROFILERS SHOWING SHORT WAVE TROF ROTATING NORTHWARD THRU NE. AT
THE SFC...WARM FRONT FROM NE PAN THRU CEN KS TO SW MO AT 15Z.
MOISTURE AND WARM ADV OVER THIS WARM FRONT CONTINUES TO SET OFF SOME
SHOWERS AND A FEW TSRA. ORIGINAL BATCH OF PRECIP HAS MOVED THROUGH
MO VALLEY IN WRN IA AND ERN NE. THIS ACTIVITY HAS PRETTY MUCH
DISSIPATED AS SHOWING ON 88D AND WARMING IR SAT LOOPS. FARTHER
SOUTH...LIFT OVER WARM FRONT CONTINUES IN NE KS WITH AREAS JUST
SOUTH OF WARM FRONT GETTING GOOD HEATING. WILL LIKELY SEE MORE
TSRA IN THESE AREAS. GIVEN LATEST LAPS TRENDS FOR LI/CAPE/CIN/THETA
E CONV IN FAR WRN IA...SW IA...NRN MO...AND POINTS SW...WOULD EXPECT
THIS ACTIVITY TO CONTINUE. 12Z RUC ALSO BEARS THIS OUT WITH THETA E
RIDGE AND CONV MOVING IN SW CWA AFTER 18Z. IT EVEN BRINGS IN A
LITTLE PRECIP INTO THESE AREAS AS WELL.
THUS...WILL CONTINUE WDLY SCT SHRA/TSRA IN SW CWA FOR THE REST OF
THE DAY.
FOR TEMPS...PLENTY OF CLOUD COVER ACROSS CWA...EVEN THO ITS PRETTY
THIN IN NE CWA. LATEST VIS LOOPS WOULD POINT TO THICKER CLOUDS
MOVING OVER MOST OF CWA. THUS...TEMPS WILL HAVE TO BE KNOCKED DOWN
A NOTCH OR TWO.
.DSM...NONE
SEARCY
</PRE><HR> <BR><PRE>FXUS63 KDMX 030836 ia
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE JACKSON KY
955 AM EDT THU JUN 3 1999
UPDATE TO TAKE OUT DENSE FOG ADVISORY. VIS SAT SHOWS LOW CLOUDS
SCATTERING OUT UNDER BRIGHT JUNE SUNSHINE. THINK WE WILL SEE A
SCATTERING OF CU INTO EARLY AFTERNOON. 12Z RUC AND 03Z MESOETA SHOWING
8H MOISTURE INCREASING THIS AFTN IN THE MTN ZONES SO MAY BE PARTLY
SUNNY THERE. WILL WAIT FOR MORE MODEL DATA AND UPDATE AGAIN IF NEED BE
BY LATE MORNING.
.JKL...NONE
WHP
</PRE><HR> <BR><PRE>FXUS71 KRLX 031345 ky
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MARQUETTE MI
1100 AM EDT THU JUN 3 1999
TRANQUIL DAY UNDERWAY ACROSS FA. HIGH TEMPS ARE THE ONLY CONCERN.
VIS SATELLITE IMAGES THIS MORNING SHOW NEARLY CLOUDLESS SKY ACROSS
FA. SOME CI FROM CONVECTION IN PLAINS IS SPREADING E ACROSS MN
TOWARD UPPER LAKES REGION.
LATEST SFC ANALYSIS DEPICTS HIGH PRESSURE RIDGE EXTENDING FROM W
ONTARIO ACROSS W LK SUPERIOR...W UPPER MI INTO E WI. SFC HIGH WILL
SLOWLY PROGRESS E ACROSS UPPER MI/LK SUPERIOR THIS AFTN. ABUNDANT
SUNSHINE AND VERY LIGHT WIND REGIME ASSOCIATED WITH HIGH PRESSURE
WILL ALLOW LK BREEZES TO DOMINATE ACROSS FA THIS AFTN...AND THIS IS
REFLECTED NICELY IN 12Z RUC LOW-LEVEL WIND FIELDS.
USING 12Z GRB SOUNDING AND ASSUMING MIXING UP TO 800-825MB...HIGH
TEMPS IN THE LOWER-MID 70S SHOULD BE REALIZED IN THE INTERIOR W AND
CNTRL PORTIONS OF FA. SLIGHTLY LOWER TEMPS EXPECTED FOR INTERIOR E
FA BEST ON 12Z APX SOUNDING. THESE NUMBERS CORRESPOND WELL WITH
CURRENT FCST AND WITH 14Z LAMP GUIDANCE.
WILL ONLY MAKE MINOR ADJUSTMENTS TO CURRENT FCST ON UPDATE.
.MQT...NONE.
ROLFSON
</PRE><HR> <BR><PRE>FXUS63 KGRR 031434 mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GRAND RAPIDS MI
1035 AM EDT THU JUN 3 1999
WILL ONLY MAKE SOME MINOR MODIFICATIONS TO THE GOING ZONE FORECASTS
THIS MORNING. LATEST VISIBLE SATELLITE IMAGERY SHOWS LOW CLOUDS
QUICKLY MIXING OUT ON THEIR WESTERN EDGE WITH TEMPERATURES RISING
AND ANTICYCLONIC FLOW BUILDING INTO THE AREA. SHOULD BE ABLE TO
REMOVE BECOMING WORDING FROM ZONES... AND GO WITH A MOSTLY SUNNY
FORECAST FOR THE AFTERNOON... BUT WILL WAIT A LITTLE WHILE TO GIVE
THE CLOUD COVER IN THE GREATER LANSING AREA A CHANCE TO MIX OUT
MORE. MODIFIED 12Z SOUNDINGS AND CU SCHEME FROM THE 12Z RUC POINT
TOWARD SCATTERED CU AT BEST ACROSS MOST OF THE FORECAST AREA THIS
AFTERNOON. THE EASTERN AND FAR SOUTHERN PORTION OF THE AREA COULD
SEE SOME BKN CU... BUT DON/T FEEL THE POTENTIAL IS SUFFICIENT TO
PRECLUDE A MOSTLY SUNNY FORECAST. CIRRUS DEBRIS TO THE WEST WILL
CONTINUE TO THIN AS IT DESCENDS THE RIDGE INTO THE AREA... SO IT
WILL NOT POSE MUCH OF A PROBLEM FOR THIS AFTERNOON. FORECAST
TEMPERATURES LOOK PRETTY GOOD... AND MATCH UP WELL WITH MODIFIED 12Z
SOUNDINGS FROM APX AND DTX... AS WELL AS FORECAST 850MB TEMPERATURES
FOR THIS AFTERNOON FROM THE RUC. HOWEVER... WILL BREAK OUT TWO
ADDITIONAL ZONE GROUPS TO BETTER REFINE THE EXPECTED NORTH-SOUTH
TEMPERATURE GRADIENT.
ZONES WILL BE ISSUED BY 1115 AM.
.GRR...NONE.
TRH
</PRE><HR> <BR><PRE>FXUS63 KDTX 031409 mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE DETROIT/PONTIAC MI
1008 AM EDT THU JUN 3 1999
VERY AUTUMNAL FEEL OUT THERE THIS MRNG...AS LOW CLOUDS NOT GIVING UP
EASILY IN LOW LVL CYCLONIC FLOW. SFC TROFFINESS IS COUNTERACTING
DIURNAL EFFECTS TO SOME DEGREE...BUT JUNE SUNSHINE STARTING TO WIN
OUT ALONG THE EDGES...ESP IN NW LWR MI. WL SLOW DOWN THE CLEARING
TREND A BIT.
ETA CONTINUES TO PORTRAY ENUF LOW LVL MOISTURE TO POP CU IN THE
PLACES THAT DO CLEAR OUT. THE ETA HAS RUN FAR TOO MOIST IN THE LOW
LVLS...AND AM UNSURE IF RECENT CHANGES IN THE ETA HAVE CORRECTED
THIS. HOWEVER...LATEST RUC SUPPORTS ETA IN KEEPING LOTS OF MOISTURE
BLO 850 MB TDY. WL LEAVE IN PARTLY SUNNY FOR NOW...BUT MAY UPDATE TO
MOSTLY SUNNY IF CU DO NOT DEVELOP IN PLACES LIKE ARB/ADG/TTF BY
MIDDAY.
WITH CLOUDS AROUND LONGER...WL TREND MAX TEMPS DOWN. WL ADJUST WIND
WORDING TO REFLECT MESOETA TREND OF NW WIND...BECOMG NORTH ALL BUT
FAR SOUTH.
.DTX...NONE.
ZOLTOWSKI
</PRE><HR> <BR><PRE>FXUS63 KMQT 030854 mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GAYLORD MI
1025 PM EDT WED JUN 02 1999
CURRENT APX 88D SHOWING AREA OF RAIN...THAT HAD AFFECTED NORTHERN LOWER
AND EASTERN UPPER MICHIGAN EARLIER THIS AFTERNOON AND EVENING...HAS
DIMINISHED GREATLY AND EXITED COMPLETELY EAST OF THE AREA. LATEST
IR STLT LOOP AND AREA SURFACE OBSERVATIONS FROM WISCONSIN AND MINNESOTA
SHOWING GENERALLY SCT LOW AND HIGH CLOUDS IN AN AREA OF DEVELOPING UPPER
LEVEL AND SURFACE RIDGING. THIS AREA OF RIDGING AND DRYING IS FORECAST
BY THE RUC TO CONTINUE SLOWLY MOVING EASTWARD INTO THE GREAT LAKES
REGION OVERNIGHT.
WITH WEAKENING PRESSURE GRADIENT OVERNIGHT AND THEREFORE CALMING WINDS
AND CLEARING SKIES... WILL MENTION SOME FOG IN THE FORECAST DUE TO THE
RAINFALL AND COOLING TEMPS.
.APX...NONE.
SWR
</PRE><HR> <BR><PRE>FXUS63 KDTX 030222 mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE OMAHA/VALLEY NE
240 AM CDT THU JUN 3 1999
FORECAST CHALLENGES -- THUNDERSTORM POTENTIAL THROUGH FORECAST
SYNOPSIS -- THUNDERSTORMS CONTINUE TO DEVELOP IN STRONG SOUTHERLY
FLOW. PROFILERS SHOW CONTINUED DEVELOPMENT OF THE LOW LEVEL JET.
MENAWHILE MAJOR CIRC REMAINS OFF THE CA COAST. A VERY DISTINCT WAVE
IS MAKING ITS WAY NORTHEAST INTO W CENTRAL KANSAS. IT IS VERY
EVIDENT ON THE WATER VAPOR IMAGERY. 8Z ANALYSIS INDICATED A RIDGE
AXIS FROM CNTRL MN...THROUGH WRN IA A
LOOKING AT THE 06Z RUC AS A SHORT TERM INDICATES CONTINUED VERY
RAPID MOISTURE ADVECTION JUST ABOVE 850 MB. WITH THIS AND
CONVERGENCE THERE IS A STRONG ARGUMENT FOR THE THUNDERSTORMS IN N
CENTRAL KANSAS TO CONTINUE TO MOVE NORTHEAST AND INCREASE IN
COVERAGE.
FORECAST...IT WOULD APPEAR THAT ALTHOUGH THE NGM SEEMED TO BE DOING
BETTER PRIRO TO 06Z WITH MOST ACTIVITY TO THE S ACROSS SRN KANSAS
AND OKLAHOMA...THE ETA IS LOOKING MORE RELIABLE. THIS WILL MEAN ONE
AREA OF THUNDERSTORMS MOVING THROUGH THE CWA TODAY FROM THE SW. THE
BIE AREA SHOULD CLEAR ENOUGH THAT TEMPS THERE ARE LIKELY TO REACH
THE MID 80S. WITH THE WAVE MOVING ALONG RATHER DISTINCTLY...SHOULD
GET MODERATE TO HEAVY RAIN BUT FOR A SHORT PERIOD OF TIME IN THE
PARTS OF SERN AND EAST CENTRAL NEBRASKA THAT ARE ALREADY WET.
LOOKING FURTHER OUT...THERE IS SOME ARGUMENT TO AGREE WITH THE ETA
AND ALLOW FOR ANOTHER CHANCE OF THUNDERSTORMS LATE TONIGHT INTO
THURSDAY.
LOOKING AT TEMPS...TEND TO HOLD NRN CWA TO MID 70S UNDER CLOUDS...TO
MID 80S IN BIE. FOR TNT WITH INCREASING WINDS AGAIN AND MOISTURE
ADVECTION MID 60S SEEMS LOGICAL. FOR FRIDAY SLIGHT CHANCE IN THE
E. FOR FRIDAY WILL DEPEND ON SHOWERS BUT WILL HOLD AROUND 80.
.OMA...NONE
POWERS
</PRE><HR> <BR><PRE>FXUS63 KGID 030654 AMD ne
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE BINGHAMTON NY
1030 AM EDT THU JUN 3 1999
KBGM RADAR SHOWS MOST OF THE CWA PRECIP FREE ATTM. THERE ARE A FEW WEAK
RETURNS OVER ONEIDA COUNTY...THE WYOMING VALLEY AND THE POCONOS. ANY
SPRINKLES OR ISOLATED LGT SHOWERS REMAINING THIS AFT CAN BE COVERED BY
NOWCASTS AND WILL NOT INCLUDE IN THE ZONES. 09 UTC RUC SHOWS LOW LVL
MOISTURE HANGING ON THRU MUCH OF THE AFT. VIS SAT PICS SHOW QUITE A BIT
OF CLOUDS UPSTREAM SO WILL GO WITH MOCLDY. ALSO LOWERED TEMPS DUE TO
MORE CLOUDS THAN EXPECTED AND SOME PLACES ACTUALLY DROPPING A DEGREE OR
TWO OVER THE PAST HOUR. NO OTHER CHANGES.
.BGM...NONE.
SMF
</PRE><HR> <BR><PRE>FXUS71 KALY 031416 ny
STATE FORECAST DISCUSSION
NATIONAL WEATHER SERVICE ALBANY NY
1015 AM EDT THU JUN 3 1999
KENX WSR-88D STILL LIMITED TO CLEAR AIR MODE PENDING ARRIVAL OF
BACK-ORDERED PARTS.
.DISC...1ST CLDFNT NR A KAQW/KPOU LN ATTM. WND HAS SHFT 2 THE W
BEHIND IT...AND TDS ARE LOERING. HOWEVER STRGR SHT WV STL LURKS OVR
SERN ONT AS WELL AS 2NDRY SFC TROUGH. THIS WV (AND BNDRY) ARE PROGGED
2 SLD ACRS NRN NY BY ERLY PM. SAT PIX SHWS LOTS OF CLDS UPSTRM AND IT
APPRS THAT MDLS HV MISSED THIS FEATURE. THEY HV SPRD FRM ABT ALB AND
PTS N AND W. 270 WND MINIMIZES DWNSPG IN OUR AREA. ONCE THE WND TURNS
320-340...THEN WE SHLD DWNSLP NICELY (DURG EVE). CLDS APPRNTLY THE
RESULT OF PRTY GD LO LVL CAA WHICH IN TURN IS INCRG INV BTWN H8/H7
HGHT. THIS SCENARIO WL TEND 2 STABILIZE THE ATMOS. LTST RUC DOES
DEPICT THIS. WITH THE SHT WV MVG ACRS STL DO NOT FEEL COMPLETELY
COMFORTABLE REMVG ALL MENTION OF PCPN. WL GO FOR THE 20 POP DEAL MST
AREAS. DUE TO A MORE STABILIZED ATMOS...WL KP TSRA OUT XCPT FOR MID
HUDSON VLY AND LITCHFIELD HILLS WHICH IRONICALLY ARE/WL B ENJOYING
THE MST SUN. THE FNT HS NOT MVD THROUGH THERE YET. SO WL MENTION 20
POP TSRA THERE.
HV ADJSTD TMPS DWNRD DUE TO THE CLDS MOST PLCS. FEEL THAT TMPS WL NOT
RISE MUCH (IF AT ALL) FM KALB ON N AND W. OTRWISE JST FINE TUNED THIS
PM.
NO MET CHANGES 2 LTR PDS. EVN IF WE GET ANY RAFL TDY...WL BE MINIMAL
SO LKS AS IF WE ARE HEADED TWD DROUGHT SINCE NO MORE RA XCPTD THRU AT
LST THE UPCOMING WKND.
WRKZFP AVBL. ZONES GONE BY 1030AM.
.ALB...NONE.
HWJIV
</PRE><HR> <BR><PRE>FXUS71 KBUF 031403 ny
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE WILMINGTON NC
944 AM EDT THU JUN 3 1999
DISC: CURRENTLY WATER VAPOR AND UPPER AIR ANALYSIS SHOWING SHORTWAVE
CENTERED OVER THE CENTRAL CAROLINAS AND MOVING FAIRLY RAPIDLY TO THE
EAST. THIS FEATURE MATCHES WELL WITH THE CONVECTION OVER THE
SOUTHERN PORTION OF THE CWA.
09Z RUCII DIVERGENCE OF Q AT 300-700 MB SHOWS THE LIFT MOVING TO THE
ENE WITH TIME WITH SOUTH CAROLINA PORTION OF THE CWA UNDER A LESS
FAVORABLE AREA BY LATE AFTERNOON WITH EASTERN NORTH CAROLINA WITH
THE MORE FAVORABLE LIFT. THE 12Z RUC SHOWS THIS DIV Q AREA TO BE
SLIGHTLY WEAKER THAN 09Z FORECAST BUT THE TREND OF THE ENE MOVEMENT
OF LIFT IS STILL EVIDENT. ONLY CHANGES WILL BE TO SLIGHTLY TWEAK UP
POPS OVER SOUTHERN CWA IN RESPONSE TO ONGOING CONVECTION.
CWF...12Z RUC SHOWS THE SW WIND OF 20 KNOTS THROUGH THE AFTERNOON
AND CURRENT FCST LOOKS TO BE IN ORDER. NO MAJOR CHANGES PLANNED.
.ILM...NONE.
HAWKINS
</PRE><HR> <BR><PRE>FXUS62 KILM 030650 nc
FORECAST DISCUSSION FOR EASTERN NORTH DAKOTA AND NORTHWEST MINNESOTA
NATIONAL WEATHER SERVICE EASTERN ND/GRAND FORKS ND
1000 AM CDT THU JUN 03 1999
.CURRENT SYNOPTIC OVERVIEW...
13Z SURFACE AND STREAMLINE ANALYSIS DEPICTED LOW PRESSURE IN EASTERN
MONTANA WITH ILL DEFINED WARM FRONT EXTENDING EAST TOWARDS NORTH
DAKOTA/CANADIAN BORDER. KMVX RADAR INDICATED A BAND OF NORTHWARD
ADVANCING SHOWERS ALONG A ABERDEEN TO MINOT LINE WITH NO LIGHTNING
STRIKES CURRENTLY NOTED...PER LDS.
.SHORT TERM...
12Z RUC CONFIRMED AFOREMENTIONED SHOWER BAND OCCURRING ALONG 5H SHEAR
AXIS AND 85H THETA RIDGE. EXPECT PRECIPITATION THREAT TO CONTINUE
THROUGH THE AFTERNOON WITH BEST CHANCES FOR PRECIPITATION CONTINUING
ALONG INSTABILITY AXIS ALONG AND WEST OF FARGO TO DEVILS LAKE LINE.
LATE MORNING UPDATED PLANNED WITH ONLY SOME COSMETIC CHANGES PLANNED AT
THIS TIME.
.FGF...NONE
BERG
</PRE><HR> <BR><PRE>FXUS63 KFGF 030853 nd
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GREENVILLE-SPARTANBURG SC
142 AM EDT THU JUN 3 1999
CURRENT SHORTWAVE MOVED RAPIDLY E OF AREA BY 03Z RUC. SERIES OF
SHORTWAVES TO CROSS AREA THIS PACKAGE. MODELS DISAGREE ON STRENGTH
AND TIMING. WNW LOW LEVEL FLOW TO EXIST OVER AREA TODAY LIMITING
CONVECTIVE DEVELOPMENT LEE OF MOUNTAINS. UPSLOPE FLOW TO SUPPORT
POPS MOUNTAINS. FRONTAL CONVERGENCE AT TIME OF MAX HEATING TO
SUPPORT POPS I-77 CORRIDOR WHERE DOWNSLOPE EFFECT LESS. COLD FRONT
TO SLOWLY CROSS AREA BY 00Z TONIGHT...BUT MODELS DIFFER ON WHERE
TO STALL FRONT AFTERWARD...AND DIFFER ON ORIENTATION. LOW LEVEL
MOISTURE TO PERSIST THROUGH 06Z TONIGHT IN ETA...REPLACED BY HIGH
LEVEL MOISTURE THEREAFTER. NGM MAINTAINS LOW LEVEL MOISTURE
THROUGH 48 HOURS...HOWEVER ITS STALLED FRONT IS FARTHER S THAN
ETA AND DO NOT EXPECT A BELT OF LOW CEILINGS TO EXIST ALONG
S TIER FRI. EXPECT CLOUDS/POPS MOUNTAINS/I-77 TODAY...MOSTLY
SUNNY FOOTHILLS. PARTLY CLOUDY TONIGHT. PARTLY SUNNY FRI S TIER
...MOSTLY SUNNY REST.
AVL 82/56/81 300
CLT 86/63/84 300
GSP 88/62/84 000
.GSP...NONE.
JAT
</PRE><HR> <BR><PRE>FXUS62 KCHS 030523 AMD sc
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MORRISTOWN TN
925 AM EDT THU JUN 3 1999
FRONT STILL DIFFICULT TO LOCATE ON LATEST SURFACE ANALYSIS. BELIEVE
IT EXTENDS OVER WESTERN NC...ACROSS THE CUMBERLAND PLATEAU...OVER
NORTHERN TN AND INTO SOUTHERN MO. ISOLATED THUNDERSTORM THAT DEVELOP
ALONG THE FRONT THIS MORNING DISSIPATED IN THE MOUNTAINS. STILL
SHOWING AN ISOLATED SHOWER IN SOUTHERN VALLEY. MODELS PUSHING FRONT
SOUTH TODAY. 09Z RUC HAD ANOTHER WEAK 500MB TROF/VORTICITY MAX
PASSING OVER CWA THIS AFTERNOON. SHOULD SEE SOME SUNSHINE TODAY WHICH
WILL INCREASE OUR INSTABILITY. MODIFYING BNA 12Z SOUNDING WITH
AFTERNOON HIGHS IN THE MID 80S AND DEW POINTS IN THE MID 60S...GAVE
CAPES OVER 2000. WITH THE FRONT STILL IN AREA...RECOMMEND RAISING
POPS OVER SOUTHERN VALLEY AND SMOKIES THIS AFTERNOON.
RDU...SUGGEST RAISING POPS TO 30 PERCENT.
CRW...NO CHANGES NEEDED.
GH
</PRE><HR> <BR><PRE>FXUS74 KMEG 030838 tn
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GAYLORD MI
1110 AM EDT THU JUN 3 1999
LATEST SURFACE CHART SHOWS HIGH PRESSURE OVER ONTARIO...AND THIS
WILL CONTINUE BUILDING SOUTHEAST ACROSS MICHIGAN THIS AFTERNOON.
THIS HIGH WILL CONTINUE TRANQUIL WEATHER ACROSS FORECAST AREA TODAY
AND EVENTUALLY SCOUR OUT THE RESIDUAL LOW CLOUDINESS. THE
EXTENT/SPEED OF CLEARING IS THE MAIN FORECAST PROBLEM FOR THE
AFTERNOON.
12Z RUC HOLDS ONTO THE LOW LEVEL MOISTURE LONGER THAN 00Z MODELS...
AS SHOWN ON 925MB AND 1000/850 MB RH PROGS. DRY AIR WILL CONTINUE TO
ADVECT IN FROM THE NORTHWEST THIS AFTERNOON...AS WELL AS
DRYING/SUBSIDENCE FROM ALOFT. CLEARING IS STILL EXPECTED THIS
AFTERNOON...THOUGH WILL BACK OFF ON THE TIMING A BIT FOR MUCH OF
NORTHERN LOWER.
HAVE ALSO LOWERED TEMPERATURES MOST ZONES DUE TO WEAK LOW LEVEL...
ADDITIONAL CLOUD COVER AND CURRENT CONDITIONS.
.APX...NONE.
BAK
</PRE><HR> <BR><PRE>FXUS63 KMQT 031502 mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GREENVILLE-SPARTANBURG SC
1028 AM EDT THU JUN 3 1999
MORNING UPPER AIR ANALYSIS SHOWS A VERY MOIST AND RATHER UNSTABLE
AIRMASS OVER THE REGION. SFC FRONT IS RATHER ILL-DEFINED...BUT
APPEARS TO EXTEND ACROSS CENTRAL TN AND THEN ENE INTO EXTREME NRN
NC. BY LATE AFTN SFC BNDRY IS PROGGED BY THE RUC TO EXTEND FROM THE
CENTRAL NC MTNS ESE ACROSS THE NC/SC BORDER. THIS IS A LITTLE FURTHER
N THAN THE 00Z MODELS AND MAKES SENSE PER PRIND. DELTA-T/S ARE 16 TO
17 DEGREES THIS MORNING FROM H7 TO H5...NOT BAD. THE RUC PROJECTS
OUR LAPSE RATES TO BECOME SHALLOWER THIS AFTN...BUT BASED ON
UPSTREAM TEMPS...I DON/T SEE THIS HAPPENING.
AS A RESULT I WILL GO WITH 30 POPS FOR THE NC MTNS AND THE SC AND
NE GA ZONES. I/D LIKE TO REMOVE POPS FROM OUR ERN NC ZONES BASED ON
THE PROJECTED DRYING IN THE NC PIEDMONT...BUT I/LL KEEP THEM IN
BASED ON THE SLIGHT CHANCE THAT CONVERGENCE ON THE LEE TROUGH WL FIRE
CONVECTION (AND THE FACT THAT THEY HAVE BEEN IN THE ZONES FOR 4 RUNS
NOW).
W/HIGHEST LOW LVL THICKNESS IN A FEW DAYS AND W FLOW...TEMPS LOOK
GOOD.
.GSP...NONE.
MCAVOY
</PRE><HR> <BR><PRE>FXUS62 KCHS 031356 sc
|
en
|
all-txt-docs
|
203194
|
PUBLIC NOTICE
FEDERAL COMMUNICATIONS COMMISSION
1919 M STREET, N.W.
WASHINGTON, D.C. 20554
News media information 202/418-0500 Fax-On-Demand 202/418-2830 Internet: http://www.fcc.gov ftp.fcc.gov
Released: February 28, 1997
WIRELESS TELECOMMUNICATIONS BUREAU
COMMERCIAL WIRELESS SERVICE INFORMATION
Report No. LB-97-22
This Public Notice includes the following information regarding assignment and transfer
applications filed with the Wireless Telecommunications Bureau, Commercial Wireless Division:
Broadband Services transfer/assignment applications accepted for filing, if any;
Broadband Services transfer/assignment applications granted, if any;
Narrowband Services transfer/assignment applications accepted for filing, if any;
Narrowband Services transfer/assignment applications granted, if any.
BROADBAND SERVICESTRANSFER/ASSIGNMENT APPLICATIONS ACCEPTED
FOR FILING
No applications listed on this notice.
_____________________________________________________________________________
BROADBAND SERVICESTRANSFER/ASSIGNMENT APPLICATIONS GRANTED
The following MSA transfer application was filed and appeared on Public Notice, Report No. LB-97-16,
released January 24, 1997. No petitions to deny have been filed and the Commission has found the
application to be in the public interest. The Commission has granted the application effective February 28,
1997.
01379-CL-TC-97 Transfer of Control of Pueblo MSA Limited Partnership, Station KNKA519 from Pine
Drive Telephone Company to CommNet Cellular Inc., Market No. 241B - Pueblo MSA.
________________________________________________________________________________
The Commission (By Commercial Wireless Division) has granted the following pro forma PCS and
MSA/RSA transfer applications as indicated.
50083-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS1, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B404 (C Block) - San Francisco BTA.
(Granted 02/28/97, Station KNLF566)
50084-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS2, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B079 (C Block) - Chico-Oroville BTA.
(Granted 02/28/97, Station KNLF558)
50085-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS3, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B485 (C Block) - Yuba City BTA.
(Granted 02/28/97, Station KNLF569)
50086-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS4, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B389 (C Block) - Sacramento BTA.
(Granted 02/28/97, Station KNLF564)
50087-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS5, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B434 (C Block) - Stockton BTA.
(Granted 02/28/97, Station KNLF567)
50088-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS6, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B397 (C Block) - Salinas-Monterey BTA.
(Granted 02/28/97, Station KNLF565)
50089-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS7, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B022 (C Block) - Athens BTA.
(Granted 02/28/97, Station KNLF556)
50090-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS8, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B024 (C Block) - Atlanta BTA.
(Granted 02/28/97, Station KNLF557)
50091-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS9, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B160 (C Block) - Gainesville BTA.
(Granted 02/28/97, Station KNLF561)
50092-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS10, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B152 (C Block) - Ft. Pierce BTA.
(Granted 02/28/97, Station KNLF560)
50093-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS11, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B469 (C Block) - West Palm Beach BTA.
(Granted 02/28/97, Station KNLF568)
50094-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS12, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B293 (C Block) - Miami BTA.
(Granted 02/28/97, Station KNLF562)
50095-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS13, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B313 (C Block) - Naples BTA.
(Granted 02/28/97, Station KNLF563)
50096-CW-TC-97 Pro Forma PCS Broadband transfer of control of GWI PCS14, Inc. from General
Wireless, Inc. to General Wireless, Inc., Market B151 (C Block) - Ft. Myers BTA.
(Granted 02/28/97, Station KNLF559)
01629-CL-TC-97 Pro Forma transfer of control of Dobson Cellular of Enid, Inc. from Dobson Operating
Company (formerly known as Dobson Communications Corporation) to Dobson Communications
Corporation (formerly known as Dobson Holdings Corporation), Market No. 302A - Enid MSA.
(Granted 02/24/97, Station KNKA818)
01630-CL-TC-97 Pro Forma transfer of control of Dobson Cellular of Kansas/Missouri, Inc. from Dobson
Operating Company (formerly known as Dobson Communications Corporation) to Dobson
Communications Corporation (formerly known as Dobson Holdings Corporation), Market No. 432A - KS
5 - Brown RSA.
(Granted 02/24/97, Station KNKN637)
01631-CL-TC-97 Pro Forma transfer of control of Dobson Cellular of Kansas/Missouri, Inc. from Dobson
Operating Company (formerly known as Dobson Communications Corporation) to Dobson
Communications Corporation (formerly known as Dobson Holdings Corporation), Market No. 504A - MO
1 - Atchison RSA.
(Granted 02/24/97, Station KNKN553)
01632-CL-TC-97 Pro Forma transfer of control of Dobson Cellular of Kansas/Missouri, Inc. from Dobson
Operating Company (formerly known as Dobson Communications Corporation) to Dobson
Communications Corporation (formerly known as Dobson Holdings Corporation), Market No. 505A - MO
2 - Harrison RSA.
(Granted 02/24/97, Station KNKP989)
01633-CL-TC-97 Pro Forma transfer of control of Dobson Cellular of Kansas/Missouri, Inc. from Dobson
Operating Company (formerly known as Dobson Communications Corporation) to Dobson
Communications Corporation (formerly known as Dobson Holdings Corporation), Market No. 507A - MO
4 - DeKalb RSA.
(Granted 02/24/97, Station KNKN829)
01634-CL-TC-97 Pro Forma transfer of control of Dobson Cellular of Kansas/Missouri, Inc. from Dobson
Operating Company (formerly known as Dobson Communications Corporation) to Dobson
Communications Corporation (formerly known as Dobson Holdings Corporation), Market No. 508(A2) -
MO 5 - Linn RSA.
(Granted 02/24/97, Station KNKQ434)
01635-CL-TC-97 Pro Forma transfer of control of Dobson Cellular of Woodward, Inc. from Dobson
Operating Company (formerly known as Dobson Communications Corporation) to Dobson
Communications Corporation (formerly known as Dobson Holdings Corporation), Market No. 597A - OK
2 - Harper RSA.
(Granted 02/24/97, Station KNKN629)
01636-CL-TC-97 Pro Forma transfer of control of Oklahoma RSA 5 Limited Partnership from Dobson
Operating Company (formerly known as Dobson Communications Corporation) to Dobson
Communications Corporation (formerly known as Dobson Holdings Corporation), Market No. 600B - OK
5 - Roger Mills RSA.
(Granted 02/24/97, Station KNKN607)
01637-CL-TC-97 Pro Forma transfer of control of Oklahoma RSA 7 Limited Partnership from Dobson
Operating Company (formerly known as Dobson Communications Corporation) to Dobson
Communications Corporation (formerly known as Dobson Holdings Corporation), Market No. 602B - OK
7 - Beckham RSA.
(Granted 02/24/97, Station KNKN578)
01638-CL-TC-97 Pro Forma transfer of control of Texas RSA No. 2 Limited Partnership from Dobson
Operating Company (formerly known as Dobson Communications Corporation) to Dobson
Communications Corporation (formerly known as Dobson Holdings Corporation), Market No. 653B - TX
2 - Hansford RSA.
(Granted 02/24/97, Station KNKN646)
_____________________________________________________________________________________
NARROWBAND SERVICES
TRANSFER/ASSIGNMENT APPLICATIONS ACCEPTED FOR FILING
The applications listed herein have been found, upon initial review, to be acceptable for filing.
The Commission may return any of the applications if, upon further examination, it is determined they are
defective or not in conformance with the Commission's Rules and Regulations, or its policies.
Final action will not be taken on these applications earlier than 31 days following the date of this
notice, except for radio applications not requiring a 30 day notice period (Section 309(c)) of the
Communications Act.
FILE NUMBER: 21730-CD-AL-97
LICENSEE: TWO-WAY RADIO COMMUNICATIONS COMPANY
OF KANSAS, INC.
CALLSIGN: KKB402
ACTION: ASSIGNMENT
ASSIGNOR: TWO-WAY RADIO COMMUNICATIONS COMPANY
OF KANSAS, INC.
ASSIGNEE: GATEWAY COMMUNICATIONS, INC.
FILE NUMBER: 21731-CD-AL-97
LICENSEE: SJR LEASING, INC.
CALLSIGN: KUO645
ACTION: ASSIGNMENT
ASSIGNOR: SJR LEASING, INC.
ASSIGNEE: SCHUYLKILL MOBILE FONE, INC.
____________________________________________________________________________________
NARROWBAND SERVICES
TRANSFER/ASSIGNMENT APPLICATIONS GRANTED
The following transfer/assignment applications were granted effective February 28, 1997, unless otherwise
noted.
FILE NUMBER: 33994-CD-AL-96
LICENSEE: ELECTRONIC TRACKING SYSTEMS, INC.
CALLSIGN: KNKP608,KNKP609,KNLW206 & KNLW208
ACTION: ASSIGNMENT
ASSIGNOR: ELECTRONIC TRACKING SYSTEMS, INC.
ASSIGNEE: TSR PAGING INC. AND PAGING PARTNERS CORPORATION
(Granted pursuant to Order (DA 97-399), released February 21, 1997.)
FILE NUMBER: 21259-CD-AL-97
LICENSEE: SCOTT MAASEN
CALLSIGN: KNLT741 & KNLT748
ACTION: ASSIGNMENT
ASSIGNOR: SCOTT MAASEN
ASSIGNEE: RADIO COMMUNICATIONS SPECIALISTS, INC.
FILE NUMBER: 21296-CD-AL-97
LICENSEE: TELECONNECT LONG DISTANCE SERVICES & SYSTEMS CO.
CALLSIGN: KNKM483 (LEAD)
ACTION: ASSIGNMENT
ASSIGNOR: TELECONNECT LONG DISTANCE SERVICES & SYSTEMS CO.
ASSIGNEE: MOBILECOMM OF THE NORTHEAST, INC.
FILE NUMBER: 21298-CD-AL-97
LICENSEE: TELECONNECT LONG DISTANCE SERVICES & SYSTEMS CO.
CALLSIGN: KNKO322 & KNKO729
ACTION: ASSIGNMENT
ASSIGNOR: TELECONNECT LONG DISTANCE SERVICES & SYSTEMS CO.
ASSIGNEE: MOBILECOMM OF THE SOUTHWEST, INC.
FILE NUMBER: 21299-CD-AL-97
LICENSEE: TELECONNECT LONG DISTANCE SERVICES & SYSTEMS CO.
CALLSIGN: KNKM475,KNKO324,KNKO326 & KNKO320
ACTION: ASSIGNMENT
ASSIGNOR: TELECONNECT LONG DISTANCE SERVICES & SYSTEMS CO.
ASSIGNEE: MOBILECOMM OF THE WEST, INC.
FILE NUMBER: 21301-CD-AL-97
LICENSEE: SOUTHERNNET SYSTEMS, INC.
CALLSIGN: KNKM490
ACTION: ASSIGNMENT
ASSIGNOR: SOUTHERNNET SYSTEMS, INC.
ASSIGNEE: MOBILECOMM OF THE SOUTHEAST, INC.
FILE NUMBER: 21302-CD-AL-97
LICENSEE: SOUTHERNNET SYSTEMS, INC.
CALLSIGN: KNKM397 & KNKM459
ACTION: ASSIGNMENT
ASSIGNOR: SOUTHERNNET SYSTEMS, INC.
ASSIGNEE: MOBILECOMM OF TENNESSEE, INC.
FILE NUMBER: 21304-CD-TC-97
LICENSEE: UPPER PENINSULA TELEPHONE COMPANY
CALLSIGN: WQZ590,KQZ732,KWU296,KQK776,KNKC489 & KNKM228
ACTION: TRANSFER
TRANSFEROR: LESLIE G. MATTHEWS AND CECILE C. MATTHEWS
TRANSFEREE: LYNCH MICHIGAN TELEPHONE HOLDING CORPORATION
FILE NUMBER: 21305-CR-TC-97
LICENSEE: UPPER PENINSULA TELEPHONE COMPANY
CALLSIGN: KNKD499,KNKD500,KNKI543,KNKI639 & KNKO986 (RURAL RADIO)
ACTION: TRANSFER
TRANSFEROR: LESLIE G. MATTHEWS AND CECILE C. MATTHEWS
TRANSFEREE: LYNCH MICHIGAN TELEPHONE HOLDING CORPORATION
FILE NUMBER: 21306-CD-AL-97
LICENSEE: HIGH TECH COMMUNICATIONS CORP. OF IOWA
CALLSIGN: KNKG443,KNKG444,KNKG445,KNKG447 & KNLU256
ACTION: ASSIGNMENT
ASSIGNOR: HIGH TECH COMMUNICATIONS CORP. OF IOWA
ASSIGNEE: MEGACOMM CORPORATION
FILE NUMBER: 21729-CD-AL-97
LICENSEE: MERCURY PAGING & COMMUNICATIONS, INC.
CALLSIGN: KNKK617
ACTION: ASSIGNMENT (PRO FORMA)
ASSIGNOR: MERCURY PAGING & COMMUNICATIONS, INC.
ASSIGNEE: PNI SPECTRUM, LLC
FILE NUMBER: 21735-CD-P/AL-97
LICENSEE: PERSONAL COMMUNICATIONS, INC.
CALLSIGN: KGH870
ACTION: PARTIAL ASSIGNMENT (PRO FORMA)
FREQUENCY: 152.18 MHZ AT STATE COLLEGE, CLEARFIELD AND
PINE GROVE MILLS, PA
ASSIGNOR: PERSONAL COMMUNICATIONS, INC.
ASSIGNEE: STEVEN S. SELTZER, TO BE PLACED UNDER NEW
CALL SIGN KNLW399
- FCC -
|
en
|
markdown
|
802061
|
# Presentation: 802061
## BEHAVIORAL FAMILY COUNSELING AND NALTREXONE FOR MALE OPIOID-DEPENDENT PATIENTS
- William Fals-Stewart, Ph.D.
*Research Institute on Addictions*
## Heroin Use: Scope of the Problem
- In U.S., Growing Problem
*Most Common Primary Illicit Substance of Those Entering Treatment in U.S.*
*Cost Estimated to Be $30 Billion Annually*
*Only 20% of Those in Need of Treatment Actually Receive It*
- Significant Problem Internationally
## Pharmacological Treatment: NALTREXONE
- Opioid Antagonist
- *Blocks Subjective Reinforcing Effects of Opioid-Based Drugs*
- Positive Outcomes for Motivated Patients
*Physicians and Other Health Care Providers*
*Those Facing Employment Termination*
*Probationers and Others Facing Legal Sanctions*
## Use of Naltrexone in Community-Based Practice
- Despite Early Promise of Naltrexone, Not Widely Used in Community Practice
- Engagement and Compliance Problems
*Common Delivery Approaches are Unwieldy*
*Standard Medication Delivery Methods Lead to Rampant Noncompliance*
## Enhancing Naltrexone Compliance: Two Methods
- Voucher-Based Reinforcement Methods
- Family/Significant Other (SO) Approaches
## Voucher-Based Methods
- Recent Studies
*Preston et al., 1999*
*Carroll et al., 2001*
- Increase Compliance, Treatment Retention, and Opioid Abstinence During Period When Contingencies Were in Effect
- No Long-Term Follow-Up After Removal of Contingencies
## Family-Based Approach: Behavioral Family Counseling (BFC)
- Spouse or Significant Other (SO) Observe Medication Taking
- “Medication Contract” is Established Between Patient and SO, Which is Monitored in Counseling
- SO Verbally (and Positively) Reinforces Patient’s Compliance
## Behavioral Family Counseling & Medication Compliance: Previous Studies
- Disulfiram with Alcoholic Patients
- Naltrexone with Alcoholic Patients
- HIV Medication with Drug-Abusing Patients
- Lithium with Bipolar Patient
## Aims of Present Study
- Would the Use of Medication Contracts Between Opioid Dependent Patients and SOs Enhance Naltrexone Compliance During Primary Treatment?
- What Are the Durability of Observed Effects After Primary Treatment is Completed?
## Participants
- 124 Detoxified Opioid-Dependent Men Entering Outpatient Treatment
- Nonsubstance-Abusing SO (Intimate Partner, Parent, or Other Family Member) Willing to Participate in Treatment
## Sociodemographics/Background
- Age * ** **32.4 (6.2) Years*
- Education* ** ** **13.2 (2.1) Years*
- Race/Ethnicity* ** **61% Minority*
- Opioid Use* ** **6.6 (4.4) Years*
- Family Member* *
* ** **Spouses ** ** **35%*
* ** **Partner ** ** **13%*
* ** **Parent ** ** **36%*
* ** **Sibling ** ** **16%*
## Procedures
- Naltrexone Prescription to All Patients
- 50 mg/day
- Random Assignment:
- Behavioral Family Counseling (BFC)
- Individual-Based Treatment (IBT)
- Monitoring Naltrexone Compliance
- Within-Treatment and 12-Month Follow-Up Outcomes (Substance Use, Psychosocial)
## Description of Treatments
- Behavioral Family Counseling (BFC)
*Included Individual, Group, and Family Counseling during 24 weeks*
*“**Recovery Contract” with Family Member; Included Daily Monitoring of Naltrexone*
- Individual-Based Treatment
*Included Individual and Group Counseling Only during 24 weeks*
*No Recovery Contract*
## Primary Measures
- Timeline Followback Interview
*Calendar Assessment of Substance Use Frequency*
*Index: Percent Days Abstinent (PDA)*
- Addiction Severity Index (ASI)
*Composite Scores*
- Urine Assay Results
- Pill Counts, Blister Packs
## Results: Primary Outcomes
- Treatment Response Indicators
*Naltrexone Compliance*
*Substance Use*
- Posttreatment Outcomes
*Substance Use*
*Psychosocial Functioning*
## Treatment Response Indicators
*Effects During Primary Treatment*
## Days of Naltrexone Ingestion
## Percentage of Opioid-Free Urines During Treatment
## Opioid Survival: During Treatment
**BFC**
**IBT**
## Posttreatment Outcomes
*12-Month Follow-Up*
## Percent Days Abstinent (PDA) Opioids: 12-Month Follow-Up
## Percent Days Abstinent (PDA) All Drugs: 12-Month Follow-Up
**BFC**
**IBT**
## 12-Month Follow-Up ASI Composite Scores
## Mechanisms of Action: Mediational Analyses
- Examined Mediational Effect of Naltrexone Compliance on Treatment Response and Outcomes
- #Days of Naltrexone Use Was a Significant Partial Mediator of:
*Substance Use During Treatment*
*Substance Use After Treatment*
*ASI Composite Score Differences*
## Summary
- Participants in BFC Had Significantly Better Treatment Response and Outcome Compared to IBT
- Treatment Effects Were Partially Mediated by Naltrexone Compliance
## Limitations
- Engagement of Participants
*Participant Recruitment Difficult*
*Reluctance to Take Naltrexone*
- Requires Positive Family Participation
*Often Difficult*
## Ongoing Research
- Combination of Voucher Reinforcement and BFC
- BFC + Naltrexone versus BFC w/o Naltrexone
- Cost-Benefit and Cost-Effectiveness Studies
## Support
- National Institute on Drug Abuse
- R01DA012189
- R01DA014402
- R01DA014402-Supplement
- R01DA015937
- R01DA016236
- National Institute on Alcohol Abuse and Alcoholism
- R21AA013690
- Alpha Foundation
## Contact
- William Fals-Stewart, Ph.D.
- Research Institute on Addictions
- 1021 Main Street
- Buffalo, NY 14203-1016
- [email protected]
- Slides available at: *www.addictionandfamilies.org*
|
en
|
converted_docs
|
662432
|
Last revised 21 August 2008
**Preferred Magnitudes of Selected Significant Earthquakes**
<table style="width:100%;">
<colgroup>
<col style="width: 15%" />
<col style="width: 6%" />
<col style="width: 24%" />
<col style="width: 1%" />
<col style="width: 5%" />
<col style="width: 2%" />
<col style="width: 7%" />
<col style="width: 8%" />
<col style="width: 8%" />
<col style="width: 20%" />
</colgroup>
<thead>
<tr class="header">
<th><strong>Date</strong></th>
<th><h1 id="time">Time†</h1></th>
<th colspan="2"><strong>Place</strong></th>
<th colspan="2"><strong>Lat.</strong></th>
<th><strong>Long.</strong></th>
<th><h2 id="fatalities">Fatalities</h2></th>
<th><strong>M</strong></th>
<th><strong>M<sub>X</sub></strong>‡ <strong>(M reference)</strong></th>
</tr>
</thead>
<tbody>
<tr class="odd">
<td>January 23, 1556 </td>
<td></td>
<td colspan="2">Shensi, China </td>
<td colspan="2">34.5</td>
<td>109.7</td>
<td>830,000</td>
<td>~8</td>
<td></td>
</tr>
<tr class="even">
<td>August 17, 1668 </td>
<td></td>
<td colspan="2">Anatolia, Turkey </td>
<td colspan="2">40.0</td>
<td>36.0</td>
<td>8,000</td>
<td>~8</td>
<td></td>
</tr>
<tr class="odd">
<td>January 26, 1700 </td>
<td></td>
<td colspan="5">Cascadia subduction zone from No. CA to Vancouver
Is.</td>
<td></td>
<td>~9</td>
<td>M (Satake et al, 1996)</td>
</tr>
<tr class="even">
<td>November 1, 1755 </td>
<td>10:16</td>
<td colspan="2">Lisbon, Portugal </td>
<td colspan="2">36.0</td>
<td>-11.0</td>
<td>70,000</td>
<td>~8.7</td>
<td>M<sub>I</sub> (Johnston, 1996)</td>
</tr>
<tr class="odd">
<td>December 16, 1811</td>
<td>08:00</td>
<td colspan="2">New Madrid, MO </td>
<td colspan="2">36.6</td>
<td>-89.6</td>
<td></td>
<td>~7.2–8.1</td>
<td>M<sub>I</sub> (Johnston, 1996; Hough et al, 2000; Bakun and Hopper,
2004)</td>
</tr>
<tr class="even">
<td>January 23, 1812 </td>
<td>15:00</td>
<td colspan="2">New Madrid, MO </td>
<td colspan="2">36.6</td>
<td>-89.6</td>
<td></td>
<td>~7.0–7.8</td>
<td>M<sub>I</sub> (Johnston, 1996; Hough et al, 2000; Bakun and Hopper,
2004)</td>
</tr>
<tr class="odd">
<td>February 7, 1812 </td>
<td>09:45</td>
<td colspan="2">New Madrid, MO </td>
<td colspan="2">36.6</td>
<td>-89.6</td>
<td></td>
<td>~7.4–8.0</td>
<td>M<sub>I</sub> (Johnston, 1996; Hough et al, 2000; Bakun and Hopper,
2004)</td>
</tr>
<tr class="even">
<td>June 2, 1823 </td>
<td>08:00</td>
<td colspan="2">South flank of Kilauea, HI </td>
<td colspan="2">19.3</td>
<td>-155</td>
<td></td>
<td>~7</td>
<td>M<sub>I</sub> (Klein and Wright, 2000) </td>
</tr>
<tr class="odd">
<td>June 10, 1836 </td>
<td>15:30</td>
<td colspan="2">S San Francisco Bay region, CA </td>
<td colspan="2">36.96</td>
<td>-121.37</td>
<td></td>
<td>~6.5</td>
<td>M<sub>I</sub> (Bakun, 1999) </td>
</tr>
<tr class="even">
<td>June 1838</td>
<td></td>
<td colspan="2">San Francisco Peninsula, CA </td>
<td colspan="2">37.27</td>
<td>-122.23</td>
<td></td>
<td>~6.8</td>
<td>M<sub>I</sub> (Bakun, 1999) </td>
</tr>
<tr class="odd">
<td>January 5, 1843 </td>
<td>02:45</td>
<td colspan="2">Marked Tree, AR </td>
<td colspan="2">35.5</td>
<td>-90.5</td>
<td></td>
<td>~6.3</td>
<td>M<sub>I</sub> (Johnston, 1996) </td>
</tr>
<tr class="even">
<td>January 9, 1857 </td>
<td>16:24</td>
<td colspan="5">Fort Tejon, CA (San Andreas fault from Parkfield to
Wrightwood)</td>
<td>1</td>
<td>~7.9</td>
<td>M (Grant and Sieh, 1993; Stein and Hanks, 1998)</td>
</tr>
<tr class="odd">
<td>December 16, 1857</td>
<td>21:00</td>
<td colspan="2">Naples, Italy </td>
<td colspan="2">40.3</td>
<td>16.0</td>
<td>11,000</td>
<td>~6.9</td>
<td>M<sub>I</sub></td>
</tr>
<tr class="even">
<td>October 8, 1865 </td>
<td>20:46</td>
<td colspan="2">San Jose, CA</td>
<td colspan="2">37.21</td>
<td>-121.86</td>
<td></td>
<td>~6.5</td>
<td>M<sub>I</sub> (Bakun, 1999) </td>
</tr>
<tr class="odd">
<td>April 3, 1868 </td>
<td>02:25</td>
<td colspan="2">Hilea, SE Hawaii, HI </td>
<td colspan="2">19.2</td>
<td>-155.5</td>
<td>77</td>
<td>~7.9</td>
<td>M<sub>I</sub> (Klein and Wright, 2000) </td>
</tr>
<tr class="even">
<td>October 21, 1868 </td>
<td>15:53</td>
<td colspan="2">Hayward, CA </td>
<td colspan="2">37.7</td>
<td>-122.1</td>
<td>30</td>
<td>~6.8</td>
<td>M<sub>I</sub> (Bakun, 1999) </td>
</tr>
<tr class="odd">
<td>February 20, 1871 </td>
<td>08:42</td>
<td colspan="2">Molokai, HI </td>
<td colspan="2">21.2</td>
<td>-156.9</td>
<td></td>
<td>~6.8</td>
<td>M<sub>I</sub> (Klein and Wright, 2000) </td>
</tr>
<tr class="even">
<td>March 26, 1872 </td>
<td>10:30</td>
<td colspan="2">Owens Valley, CA </td>
<td colspan="2">36.5</td>
<td>-118.0</td>
<td>27</td>
<td>~7.4</td>
<td>M (Beanland and Clark, 1994) </td>
</tr>
<tr class="odd">
<td>December 15, 1872</td>
<td>05:40</td>
<td colspan="2">N Cascades, WA </td>
<td colspan="2">47.9</td>
<td>-120.3</td>
<td></td>
<td>~6.8</td>
<td>M<sub>I</sub> (Bakun et al, 2002)</td>
</tr>
<tr class="even">
<td>November 23, 1873</td>
<td>05:00</td>
<td colspan="2">CA-OR coast</td>
<td colspan="2">42.2</td>
<td>-124.2</td>
<td></td>
<td>~7.3</td>
<td>M<sub>I</sub> (Bakun, 2000) </td>
</tr>
<tr class="odd">
<td>September 1, 1886 </td>
<td>02:51</td>
<td colspan="2">Charleston, SC </td>
<td colspan="2">32.9</td>
<td>-80.0</td>
<td>60</td>
<td>~7.3</td>
<td>M<sub>I</sub> (Johnston, 1996) </td>
</tr>
<tr class="even">
<td>April 24, 1890 </td>
<td>11:36</td>
<td colspan="2">Corralitos, CA </td>
<td colspan="2">36.96</td>
<td>-121.78</td>
<td></td>
<td>~6.3</td>
<td>M<sub>I</sub> (Bakun, 1999) </td>
</tr>
<tr class="odd">
<td>October 27, 1891 </td>
<td>21:38</td>
<td colspan="2">Mino-Owari, Japan </td>
<td colspan="2">35.6</td>
<td>136.6</td>
<td>7,273</td>
<td>~8</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="even">
<td>April 19, 1892 </td>
<td>10:50</td>
<td colspan="2">Vacaville, CA </td>
<td colspan="2">38.50</td>
<td>-121.82</td>
<td>1</td>
<td>~6.4</td>
<td>M<sub>I</sub> (Bakun, 1999) </td>
</tr>
<tr class="odd">
<td>April 21, 1892 </td>
<td>17:43</td>
<td colspan="2">Winters, CA </td>
<td colspan="2">38.59</td>
<td>-121.96</td>
<td></td>
<td>~6.4</td>
<td>M<sub>I</sub> (Bakun, 1999) </td>
</tr>
<tr class="even">
<td>October 31, 1895 </td>
<td>11:08</td>
<td colspan="2">Charleston, MO </td>
<td colspan="2">37.0</td>
<td>-89.4</td>
<td></td>
<td>~6.6</td>
<td>M<sub>I</sub> (Johnston, 1996) </td>
</tr>
<tr class="odd">
<td>June 15, 1896 </td>
<td>10:32</td>
<td colspan="2">Sanriku, Japan </td>
<td colspan="2">39.5</td>
<td>144.0</td>
<td>27,000</td>
<td>~8.5</td>
<td>M</td>
</tr>
<tr class="even">
<td>June 12, 1897 </td>
<td>11:06</td>
<td colspan="2">Assam, India </td>
<td colspan="2">26.0</td>
<td>91.0</td>
<td>1,500</td>
<td>~8.3</td>
<td></td>
</tr>
<tr class="odd">
<td>June 20, 1897 </td>
<td>20:14</td>
<td colspan="2">Calaveras fault, CA </td>
<td colspan="2">37.0</td>
<td>-121.6</td>
<td></td>
<td>~6.3</td>
<td>M<sub>I</sub> (Bakun, 1999) </td>
</tr>
<tr class="even">
<td>March 31, 1898 </td>
<td>07:43</td>
<td colspan="2">Mare Island, Ca </td>
<td colspan="2">38.11</td>
<td>-122.36</td>
<td></td>
<td>~6.3</td>
<td>M<sub>I</sub> (Bakun, 1999) </td>
</tr>
<tr class="odd">
<td>April 15, 1898 </td>
<td>07:07</td>
<td colspan="2">Mendocino County, CA </td>
<td colspan="2">39.3</td>
<td>-123.9</td>
<td></td>
<td>~6.8</td>
<td>M<sub>I</sub> (Bakun, 2000) </td>
</tr>
<tr class="even">
<td>September 4, 1899 </td>
<td>00:22</td>
<td colspan="2">Cape Yakataga, AK </td>
<td colspan="2">60.0</td>
<td>-142.0</td>
<td></td>
<td>7.9</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="odd">
<td>September 10, 1899</td>
<td>21:41</td>
<td colspan="2">Yakutat Bay, AK </td>
<td colspan="2">60.0</td>
<td>-142.0</td>
<td></td>
<td>8.0</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="even">
<td>October 9, 1900 </td>
<td>12:28</td>
<td colspan="2">Kodiak Is., AK </td>
<td colspan="2">57.1</td>
<td>-153.5</td>
<td></td>
<td>7.7</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="odd">
<td>March 3, 1901 </td>
<td>07:45</td>
<td colspan="2">Parkfield, CA </td>
<td colspan="2">36.2</td>
<td>-120.7</td>
<td></td>
<td>6.4</td>
<td>M<sub>S</sub> (Abe, 1988) </td>
</tr>
<tr class="even">
<td>August 27, 1904 </td>
<td>21:56</td>
<td colspan="2">Fairbanks, AK </td>
<td colspan="2">64.7</td>
<td>-148.1</td>
<td></td>
<td>7.3</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="odd">
<td>July 9, 1905 </td>
<td>09:40</td>
<td colspan="2">Mongolia</td>
<td colspan="2">49.0</td>
<td>99.0</td>
<td></td>
<td>8.4</td>
<td><h3 id="m-kanamori-1977">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="even">
<td>January 31, 1906 </td>
<td>15:36</td>
<td colspan="2">Colombia-Ecuador</td>
<td colspan="2">1.0</td>
<td>-81.5</td>
<td>1,000</td>
<td>8.8</td>
<td><h3 id="m-kanamori-1977-1">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="odd">
<td>April 18, 1906 </td>
<td>13:12</td>
<td colspan="5">San Francisco, CA (San Andreas fault from Cape Mendocino
to San Juan Bautista)</td>
<td>3,000</td>
<td>7.8</td>
<td>M (Bakun, 1999) </td>
</tr>
<tr class="even">
<td>August 17, 1906 </td>
<td>00:40</td>
<td>Valparaiso, Chile </td>
<td colspan="2">-33.0</td>
<td colspan="2">-72.0</td>
<td>20,000</td>
<td>8.2</td>
<td><h3 id="m-kanamori-1977-2">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="odd">
<td>December 28, 1908</td>
<td>04:20</td>
<td>Messina, Italy </td>
<td colspan="2">38.3</td>
<td colspan="2">15.6</td>
<td>70,000</td>
<td>7.2</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="even">
<td>July 1, 1911 </td>
<td>22:00</td>
<td>Calaveras fault, CA </td>
<td colspan="2">37.39</td>
<td colspan="2">-121.80</td>
<td></td>
<td>6.5</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="odd">
<td>October 3, 1915 </td>
<td>06:52</td>
<td>Pleasant Valley, NV </td>
<td colspan="2">40.5</td>
<td colspan="2">-117.5</td>
<td></td>
<td>7.1</td>
<td>M (Stover and Coffman, 1993) </td>
</tr>
<tr class="even">
<td>October 11, 1918</td>
<td>14:14</td>
<td>Puerto Rico</td>
<td colspan="2">18.47</td>
<td colspan="2">-67.63</td>
<td>116</td>
<td>7.5</td>
<td>M<sub>S</sub> (McCann, 1985)</td>
</tr>
<tr class="odd">
<td>December 6, 1918 </td>
<td>08:41</td>
<td>Vancouver Is., B.C., Canada </td>
<td colspan="2">49.62</td>
<td colspan="2">-125.92</td>
<td></td>
<td>7.0</td>
<td>M<sub>L</sub> (Gutenberg and Richter, 1954: Rogers, 1983) </td>
</tr>
<tr class="even">
<td>December 16, 1920</td>
<td>12:05</td>
<td>Ningxia-Gansu, China </td>
<td colspan="2">36.60</td>
<td colspan="2">105.32</td>
<td>200,000</td>
<td>7.8</td>
<td>M (Kanamori, 1977)</td>
</tr>
<tr class="odd">
<td>January 31, 1922 </td>
<td>13:17</td>
<td>offshore, Cape Mendocino, CA </td>
<td colspan="2">40.70</td>
<td colspan="2">-125.55</td>
<td></td>
<td>7.3</td>
<td>M<sub>G-R</sub> (Ellsworth, 1990) </td>
</tr>
<tr class="even">
<td>March 10, 1922 </td>
<td>11:21</td>
<td>Parkfield, CA </td>
<td colspan="2">35.9</td>
<td colspan="2">-120.9</td>
<td></td>
<td>6.1</td>
<td>M (Bakun and McEvilly, 1984) </td>
</tr>
<tr class="odd">
<td>January 22, 1923 </td>
<td>09:04</td>
<td>offshore, Cape Mendocino, CA </td>
<td colspan="2">40.49</td>
<td colspan="2">-125.32</td>
<td></td>
<td>7.2</td>
<td>M<sub>G-R</sub> (Ellsworth, 1990) </td>
</tr>
<tr class="even">
<td>September 1, 1923 </td>
<td>02:58</td>
<td>Kanto, Japan </td>
<td colspan="2">35.40</td>
<td colspan="2">139.08</td>
<td>143,000</td>
<td>7.9</td>
<td><h3 id="m-kanamori-1977-3">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="odd">
<td>March 1, 1925 </td>
<td>02:19</td>
<td>Charlevoix, Quebec, Canada </td>
<td colspan="2">47.76</td>
<td colspan="2">-69.84</td>
<td></td>
<td>6.3</td>
<td>M (Bent, 1992) </td>
</tr>
<tr class="even">
<td>June 28, 1925 </td>
<td>01:21</td>
<td>Clarkston Valley, MT </td>
<td colspan="2">46.32</td>
<td colspan="2">-111.52</td>
<td></td>
<td>6.6</td>
<td>M (Dosier, 1989)</td>
</tr>
<tr class="odd">
<td>June 29, 1925 </td>
<td>14:42</td>
<td>Santa Barbara, CA </td>
<td colspan="2">34.3</td>
<td colspan="2">-119.8</td>
<td>13</td>
<td>6.8</td>
<td>M (Stein and Hanks, 1998)</td>
</tr>
<tr class="even">
<td>October 22, 1926 </td>
<td>12:35</td>
<td>Monterey Bay, CA </td>
<td colspan="2">36.62</td>
<td colspan="2">-122.35</td>
<td></td>
<td>6.1</td>
<td>M<sub>G-R</sub> (Ellsworth, 1990) </td>
</tr>
<tr class="odd">
<td>October 22, 1926 </td>
<td>13:35</td>
<td>Monterey Bay, CA </td>
<td colspan="2">36.55</td>
<td colspan="2">-122.18</td>
<td></td>
<td>6.1</td>
<td>M<sub>G-R</sub> (Ellsworth, 1990) </td>
</tr>
<tr class="even">
<td>March 7, 1927 </td>
<td>09:27</td>
<td>Tango, Japan </td>
<td colspan="2">35.80</td>
<td colspan="2">134.92</td>
<td>3,020</td>
<td>7.6</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="odd">
<td>May 22, 1927 </td>
<td>22:32</td>
<td>Tsinghai, China </td>
<td colspan="2">37.39</td>
<td colspan="2">102.31</td>
<td>200,000</td>
<td>7.6</td>
<td>M (Kanamori, 1977)</td>
</tr>
<tr class="even">
<td>November 4, 1927 </td>
<td>13:51</td>
<td>offshore Lompoc, CA </td>
<td colspan="2">34.92</td>
<td colspan="2">-121.03</td>
<td></td>
<td>7.1</td>
<td>M (Stein and Hanks, 1998)</td>
</tr>
<tr class="odd">
<td>November 18, 1929</td>
<td>20:32</td>
<td>Grand Banks, Nova Scotia, Canada </td>
<td colspan="2">44.69</td>
<td colspan="2">-56.01</td>
<td></td>
<td>7.3</td>
<td>M (Bent,1995) </td>
</tr>
<tr class="even">
<td>December 21, 1932</td>
<td>06:10</td>
<td>Cedar Mountain, NV </td>
<td colspan="2">38.51</td>
<td colspan="2">-118.08</td>
<td></td>
<td>7.2</td>
<td>M</td>
</tr>
<tr class="odd">
<td>March 2, 1933 </td>
<td>17:31</td>
<td>Sanriku, Japan </td>
<td colspan="2">39.22</td>
<td colspan="2">144.62</td>
<td>2,990</td>
<td>8.4</td>
<td><h3 id="m-kanamori-1977-4">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="even">
<td>March 11, 1933 </td>
<td>01:54</td>
<td>Long Beach, CA </td>
<td colspan="2">33.6</td>
<td colspan="2">-118.0</td>
<td>115</td>
<td>6.4</td>
<td>M (Hauksson & Gross, 1991) </td>
</tr>
<tr class="odd">
<td>November 20, 1933</td>
<td>23:21</td>
<td>Baffin Bay, Canada </td>
<td colspan="2">73.00</td>
<td colspan="2">-69.98</td>
<td></td>
<td>7.4</td>
<td>M (Stein et al. 1979)</td>
</tr>
<tr class="even">
<td>January 15, 1934 </td>
<td>08:43</td>
<td>Bihar, India </td>
<td colspan="2">27.55</td>
<td colspan="2">87.09</td>
<td>10,700</td>
<td>8.1</td>
<td><h3 id="m-kanamori-1977-5">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="odd">
<td>June 8, 1934 </td>
<td>04:47</td>
<td>Parkfield, CA </td>
<td colspan="2">35.9</td>
<td colspan="2">-120.9</td>
<td></td>
<td>6.1</td>
<td>M (Bakun and McEvilly, 1984) </td>
</tr>
<tr class="even">
<td>November 1, 1935 </td>
<td>06:03</td>
<td>Timiskaming, Quebec, Canada </td>
<td colspan="2">48.89</td>
<td colspan="2">-79.00</td>
<td></td>
<td>6.2</td>
<td>M (Bent, 1996) </td>
</tr>
<tr class="odd">
<td>July 22, 1937 </td>
<td>17:09</td>
<td>Salcha, AK </td>
<td colspan="2">64.49</td>
<td colspan="2">-146.85</td>
<td></td>
<td>7.3</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="even">
<td>January 23, 1938 </td>
<td>08:32</td>
<td>Maui, HI </td>
<td colspan="2">20.96</td>
<td colspan="2">-156.18</td>
<td></td>
<td>6.8</td>
<td>M<sub>S</sub> (Klein and Wright, 2000) </td>
</tr>
<tr class="odd">
<td>November 10, 1938</td>
<td>20:18</td>
<td>Shumagin Islands, AK </td>
<td colspan="2">55.33</td>
<td colspan="2">-158.37</td>
<td></td>
<td>8.2</td>
<td><h3 id="m-kanamori-1977-6">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="even">
<td>December 26, 1939</td>
<td>23:57</td>
<td>Erzincan, Turkey </td>
<td colspan="2">39.77</td>
<td colspan="2">39.53</td>
<td>32,700</td>
<td>7.8</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="odd">
<td>May 19, 1940 </td>
<td>04:36</td>
<td>Imperial Valley, CA </td>
<td colspan="2">32.73</td>
<td colspan="2">-115.50</td>
<td>9</td>
<td>7.1</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="even">
<td>December 7, 1944 </td>
<td>04:35</td>
<td>Tonankai, Japan </td>
<td colspan="2">33.75</td>
<td colspan="2">136.00</td>
<td>1,223</td>
<td>8.1</td>
<td><h3 id="m-kanamori-1977-7">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="odd">
<td>April 1, 1946 </td>
<td>12:28</td>
<td>Unimak Is., AK </td>
<td colspan="2">52.75</td>
<td colspan="2">-163.50</td>
<td>165</td>
<td>8.1</td>
<td>M (Tanioka and Seno, 2001) </td>
</tr>
<tr class="even">
<td>June 23, 1946 </td>
<td>17:13</td>
<td>Vancouver Island, B.C., Canada </td>
<td colspan="2">49.75</td>
<td colspan="2">-124.50</td>
<td></td>
<td>7.3</td>
<td>ML (Gutenberg and Richter, 1954; Rogers, 1983)</td>
</tr>
<tr class="odd">
<td>August 4, 1946</td>
<td>17:51</td>
<td>Dominican Republic</td>
<td colspan="2">19.25</td>
<td colspan="2">-69.00</td>
<td>100</td>
<td>8.0</td>
<td>M<sub>S</sub> (Abe, 1981)</td>
</tr>
<tr class="even">
<td>December 20, 1946</td>
<td>19:19</td>
<td>Nankaido, Japan </td>
<td colspan="2">32.5</td>
<td colspan="2">134.5</td>
<td>1,330</td>
<td>8.1</td>
<td><h3 id="m-kanamori-1977-8">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="odd">
<td>October 16, 1947 </td>
<td>02:09</td>
<td>Fairbanks, AK </td>
<td colspan="2">64.2</td>
<td colspan="2">-148.3</td>
<td></td>
<td>7.2</td>
<td>M</td>
</tr>
<tr class="even">
<td>April 13, 1949 </td>
<td>19:55</td>
<td>Olympia, WA </td>
<td colspan="2">47.1</td>
<td colspan="2">-122.7</td>
<td>8</td>
<td>7.1</td>
<td>M<sub>L</sub> (Baker and Langston, 1987) </td>
</tr>
<tr class="odd">
<td>August 22, 1949 </td>
<td>04:01</td>
<td>Queen Charlotte Is., B.C, Canada </td>
<td colspan="2">53.62</td>
<td colspan="2">-133.27</td>
<td></td>
<td>8.1</td>
<td><h3 id="m-kanamori-1977-9">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="even">
<td>August 15, 1950 </td>
<td>14:09</td>
<td>Assam-Tibet</td>
<td colspan="2">28.5</td>
<td colspan="2">96.5</td>
<td>1,526</td>
<td>8.6</td>
<td><h3 id="m-kanamori-1977-10">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="odd">
<td>August 21, 1951 </td>
<td>10:57</td>
<td>Kona, HI </td>
<td colspan="2">19.50</td>
<td colspan="2">-155.95</td>
<td></td>
<td>6.9</td>
<td>M<sub>S</sub> (Klein and Wright, 2000) </td>
</tr>
<tr class="even">
<td>July 21, 1952 </td>
<td>11:52</td>
<td>Kern County, CA </td>
<td colspan="2">34.95</td>
<td colspan="2">-119.05</td>
<td>12</td>
<td>7.3</td>
<td>M (Stein and Hanks, 1998)</td>
</tr>
<tr class="odd">
<td>November 4, 1952 </td>
<td>16:58</td>
<td>Kamchatka, Russia </td>
<td colspan="2">52.76</td>
<td colspan="2">160.06</td>
<td></td>
<td>9.0</td>
<td><h3 id="m-kanamori-1977-11">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="even">
<td>March 29, 1954 </td>
<td>06:17</td>
<td>Spain</td>
<td colspan="2">37.03</td>
<td colspan="2">-3.51</td>
<td></td>
<td>7.9</td>
<td>M</td>
</tr>
<tr class="odd">
<td>July 6, 1954 </td>
<td>11:13</td>
<td>Rainbow Mtn, NV </td>
<td colspan="2">39.42</td>
<td colspan="2">-118.53</td>
<td></td>
<td>6.6</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="even">
<td>August 24, 1954 </td>
<td>05:51</td>
<td>Stillwater, NV </td>
<td colspan="2">39.58</td>
<td colspan="2">-118.45</td>
<td></td>
<td>6.8</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="odd">
<td>December 16, 1954</td>
<td>11:07</td>
<td>Fairview Peak, NV </td>
<td colspan="2">39.32</td>
<td colspan="2">-118.20</td>
<td></td>
<td>7.1</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="even">
<td>December 16, 1954 </td>
<td>11:11</td>
<td>Dixie Valley, NV </td>
<td colspan="2">39.5</td>
<td colspan="2">-118.0</td>
<td></td>
<td>6.8</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="odd">
<td>October 24, 1955 </td>
<td>04:10</td>
<td>Concord, CA </td>
<td colspan="2">38.0</td>
<td colspan="2">-122.1</td>
<td>1</td>
<td>5.4</td>
<td>M<sub>L</sub> (Bolt and Miller, 1975) </td>
</tr>
<tr class="even">
<td>March 9, 1957 </td>
<td>14:22</td>
<td>Andreanof Is., AK </td>
<td colspan="2">51.56</td>
<td colspan="2">-175.39</td>
<td></td>
<td>8.6</td>
<td><h3 id="m-johnson-et-al.-1994">M (Johnson et al., 1994)</h3></td>
</tr>
<tr class="odd">
<td>December 4, 1957 </td>
<td>03:37</td>
<td>Gobi-Altai, Mongolia </td>
<td colspan="2">45.15</td>
<td colspan="2">99.21</td>
<td>30</td>
<td>8.1</td>
<td><h3 id="m-kanamori-1977-12">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="even">
<td>April 7, 1958 </td>
<td>15:30</td>
<td>Huslia, AK </td>
<td colspan="2">65.94</td>
<td colspan="2">-156.37</td>
<td></td>
<td>7.3</td>
<td>M</td>
</tr>
<tr class="odd">
<td>July 10, 1958 </td>
<td>06:15</td>
<td>Fairweather, AK </td>
<td colspan="2">58.37</td>
<td colspan="2">-136.66</td>
<td>5</td>
<td>7.7</td>
<td>M (Abe and Kanamori, 1980)</td>
</tr>
<tr class="even">
<td>August 18, 1959 </td>
<td>06:37</td>
<td>Hebgen Lake, MT </td>
<td colspan="2">44.60</td>
<td colspan="2">-110.64</td>
<td>28</td>
<td>7.3</td>
<td>M (Dosier, 1985)</td>
</tr>
<tr class="odd">
<td>February 29, 1960 </td>
<td>23:40</td>
<td>Agadir, Morocco </td>
<td colspan="2">30.5</td>
<td colspan="2">-9.3</td>
<td>10,000</td>
<td>5.7</td>
<td>M</td>
</tr>
<tr class="even">
<td>May 22, 1960 </td>
<td>19:11</td>
<td>Chile</td>
<td colspan="2">-38.24</td>
<td colspan="2">-73.05</td>
<td>5,700</td>
<td>9.5</td>
<td><h3 id="m-kanamori-1977-13">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="odd">
<td>March 28, 1964 </td>
<td>03:36</td>
<td>Prince William Sound, AK </td>
<td colspan="2">61.02</td>
<td colspan="2">-147.65</td>
<td>128</td>
<td>9.2</td>
<td><h3 id="m-kanamori-1977-14">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="even">
<td>June 16, 1964 </td>
<td>04:01</td>
<td>Niigata, Japan </td>
<td colspan="2">38.43</td>
<td colspan="2">139.23</td>
<td>26</td>
<td>7.5</td>
<td>M</td>
</tr>
<tr class="odd">
<td>February 4, 1965 </td>
<td>05:01</td>
<td>Rat Is., AK </td>
<td colspan="2">51.21</td>
<td colspan="2">178.50</td>
<td></td>
<td>8.7</td>
<td><h3 id="m-kanamori-1977-15">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="even">
<td>April 29, 1965 </td>
<td>15:28</td>
<td>Seattle-Tacoma, WA </td>
<td colspan="2">47.32</td>
<td colspan="2">-122.33</td>
<td>7</td>
<td>6.5</td>
<td>M<sub>L</sub> (Algermissen and Harding, 1965) </td>
</tr>
<tr class="odd">
<td>June 28, 1966 </td>
<td>04:26</td>
<td>Parkfield, CA </td>
<td colspan="2">35.88</td>
<td colspan="2">-120.49</td>
<td></td>
<td>6.1</td>
<td>M (Tsai and Aki, 1969) </td>
</tr>
<tr class="even">
<td>September 12, 1966</td>
<td>16:41</td>
<td>Truckee, CA </td>
<td colspan="2">39.38</td>
<td colspan="2">-120.22</td>
<td></td>
<td>5.9</td>
<td>M (Tsai and Aki, 1970) </td>
</tr>
<tr class="odd">
<td>December 10, 1967</td>
<td>22:51</td>
<td>Koyna, India </td>
<td colspan="2">17.39</td>
<td colspan="2">73.77</td>
<td></td>
<td>6.3</td>
<td>M (Langston, 1976) </td>
</tr>
<tr class="even">
<td>October 2, 1969 </td>
<td>06:19</td>
<td>Santa Rosa, CA </td>
<td colspan="2">38.30</td>
<td colspan="2">-122.76</td>
<td>1</td>
<td>5.7</td>
<td>M<sub>L</sub> (Bolt and Miller, 1975) </td>
</tr>
<tr class="odd">
<td>May 31, 1970 </td>
<td>20:23</td>
<td>Peru</td>
<td colspan="2">-9.25</td>
<td colspan="2">-78.84</td>
<td>66,000</td>
<td>7.9</td>
<td><h3 id="m-kanamori-1977-16">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="even">
<td>July 31, 1970 </td>
<td>17:08</td>
<td>Colombia</td>
<td colspan="2">-1.49</td>
<td colspan="2">-72.56</td>
<td>1</td>
<td>8.0</td>
<td>M<sub>S</sub></td>
</tr>
<tr class="odd">
<td>February 9, 1971 </td>
<td>14:00</td>
<td>San Fernando, CA </td>
<td colspan="2">34.40</td>
<td colspan="2">-118.39</td>
<td>65</td>
<td>6.6</td>
<td>M (Heaton, 1982) </td>
</tr>
<tr class="even">
<td>February 4, 1975 </td>
<td>11:36</td>
<td>Haicheng, China </td>
<td colspan="2">40.72</td>
<td colspan="2">122.73</td>
<td>10,000</td>
<td>7.0</td>
<td>M (Cipar, 1979) </td>
</tr>
<tr class="odd">
<td>August 1, 1975 </td>
<td>20:20</td>
<td>Oroville, CA </td>
<td colspan="2">39.50</td>
<td colspan="2">-121.39</td>
<td></td>
<td>5.8</td>
<td>M</td>
</tr>
<tr class="even">
<td>November 29, 1975</td>
<td>14:47</td>
<td>South flank of Kilauea, HI </td>
<td colspan="2">19.45</td>
<td colspan="2">-155.03</td>
<td>2</td>
<td>7.2</td>
<td>M<sub>S</sub> (Klein and Wright, 2000) </td>
</tr>
<tr class="odd">
<td>February 4, 1976 </td>
<td>09:01</td>
<td>Guatemala</td>
<td colspan="2">15.30</td>
<td colspan="2">-89.14</td>
<td>23,000</td>
<td>7.5</td>
<td>M</td>
</tr>
<tr class="even">
<td>July 27, 1976 </td>
<td>19:42</td>
<td>Tangshan, China </td>
<td colspan="2">39.61</td>
<td colspan="2">117.89</td>
<td>255,000<strong>*</strong></td>
<td>7.5</td>
<td><h3 id="m-kanamori-1977-17">M (Kanamori, 1977)</h3></td>
</tr>
<tr class="odd">
<td>August 6, 1979 </td>
<td>17:05</td>
<td>Coyote Lake, CA </td>
<td colspan="2">37.11</td>
<td colspan="2">-121.52</td>
<td></td>
<td>5.7</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="even">
<td>October 15, 1979 </td>
<td>23:17</td>
<td>Imperial Valley, CA </td>
<td colspan="2">32.82</td>
<td colspan="2">-115.65</td>
<td></td>
<td>6.5</td>
<td>M (Stein and Hanks, 1998) </td>
</tr>
<tr class="odd">
<td>January 24, 1980 </td>
<td>19:00</td>
<td>Livermore, CA </td>
<td colspan="2">37.71</td>
<td colspan="2">-121.73</td>
<td></td>
<td>5.8</td>
<td>M (Bolt et al., 1981) </td>
</tr>
<tr class="even">
<td>May 25, 1980 </td>
<td>16:33</td>
<td>Mammoth Lakes, CA </td>
<td colspan="2">37.60</td>
<td colspan="2">-118.83</td>
<td></td>
<td>6.2</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="odd">
<td>May 25, 1980 </td>
<td>16:49</td>
<td>Mammoth Lakes, CA </td>
<td colspan="2">37.65</td>
<td colspan="2">-118.90</td>
<td></td>
<td>5.9</td>
<td>M<sub>L</sub> (Ellsworth, 1990) </td>
</tr>
<tr class="even">
<td>May 25, 1980 </td>
<td>19:44</td>
<td>Mammoth Lakes, CA </td>
<td colspan="2">37.55</td>
<td colspan="2">-118.82</td>
<td></td>
<td>5.9</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="odd">
<td>May 27, 1980 </td>
<td>14:50</td>
<td>Mammoth Lakes, CA </td>
<td colspan="2">37.48</td>
<td colspan="2">-118.80</td>
<td></td>
<td>6.0</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="even">
<td>November 8, 1980 </td>
<td>10:27</td>
<td>Gorda Plate, CA </td>
<td colspan="2">41.12</td>
<td colspan="2">-124.67</td>
<td></td>
<td>7.2</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="odd">
<td>May 2, 1983 </td>
<td>23:42</td>
<td>Coalinga, CA </td>
<td colspan="2">36.23</td>
<td colspan="2">-120.32</td>
<td></td>
<td>6.4</td>
<td>M (Stein and Hanks, 1998) </td>
</tr>
<tr class="even">
<td>October 28, 1983 </td>
<td>14:06</td>
<td>Borah Peak, ID </td>
<td colspan="2">44.09</td>
<td colspan="2">-113.80</td>
<td>2</td>
<td>6.9</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>November 16, 1983</td>
<td>16:13</td>
<td>Kaoiki, HI </td>
<td colspan="2">19.44</td>
<td colspan="2">-155.38</td>
<td></td>
<td>6.7</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>April 24, 1984 </td>
<td>21:15</td>
<td>Morgan Hill, CA </td>
<td colspan="2">37.30</td>
<td colspan="2">-121.71</td>
<td></td>
<td>6.1</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>November 23, 1984</td>
<td>18:08</td>
<td>Round Valley, CA </td>
<td colspan="2">37.45</td>
<td colspan="2">-118.60</td>
<td></td>
<td>5.8</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="even">
<td>September 19, 1985</td>
<td>13:17</td>
<td>Michoacan, Mexico </td>
<td colspan="2">18.44</td>
<td colspan="2">-102.36</td>
<td>9,500</td>
<td>8.0</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>December 23, 1985</td>
<td>05:16</td>
<td>Nahanni, NW Terr, Canada </td>
<td colspan="2">62.16</td>
<td colspan="2">-124.31</td>
<td></td>
<td>6.8</td>
<td>M (Wetmiller et al., 1988) </td>
</tr>
<tr class="even">
<td>May 7, 1986 </td>
<td>22:47</td>
<td>Andreanof Is., AK </td>
<td colspan="2">51.56</td>
<td colspan="2">-174.81</td>
<td></td>
<td>7.9</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>July 8, 1986 </td>
<td>09:20</td>
<td>North Palm Springs, CA </td>
<td colspan="2">33.97</td>
<td colspan="2">-116.78</td>
<td></td>
<td>6.1</td>
<td>M (Hartzell, 1989) </td>
</tr>
<tr class="even">
<td>July 21, 1986 </td>
<td>14:42</td>
<td>Chalfant Valley, CA </td>
<td colspan="2">37.53</td>
<td colspan="2">-118.43</td>
<td></td>
<td>6.2</td>
<td>M (Ellsworth, 1990) </td>
</tr>
<tr class="odd">
<td>October 1, 1987 </td>
<td>14:42</td>
<td>Whittier Narrows, CA </td>
<td colspan="2">34.06</td>
<td colspan="2">-118.13</td>
<td>8</td>
<td>5.9</td>
<td>M (Hartzell and Iida, 1990) </td>
</tr>
<tr class="even">
<td>November 30, 1987</td>
<td>19:23</td>
<td>Gulf of Alaska</td>
<td colspan="2">58.84</td>
<td colspan="2">-142.60</td>
<td></td>
<td>7.8</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>January 22, 1988 </td>
<td>00:35</td>
<td>Tennant Creek, Australia</td>
<td colspan="2">-19.87</td>
<td colspan="2">133.78</td>
<td></td>
<td>6.3</td>
<td>M (Choy and Bowman, 1990) </td>
</tr>
<tr class="even">
<td>January 22, 1988 </td>
<td>03:57</td>
<td>Tennant Creek, Australia</td>
<td colspan="2">-19.88</td>
<td colspan="2">133.83</td>
<td></td>
<td>6.4</td>
<td>M (Choy and Bowman, 1990) </td>
</tr>
<tr class="odd">
<td>January 22, 1988 </td>
<td>12:04</td>
<td>Tennant Creek, Australia</td>
<td colspan="2">-19.90</td>
<td colspan="2">133.83</td>
<td></td>
<td>6.6</td>
<td>M (Choy and Bowman, 1990) </td>
</tr>
<tr class="even">
<td>March 6, 1988 </td>
<td>22:35</td>
<td>Gulf of Alaska</td>
<td colspan="2">57.26</td>
<td colspan="2">-142.75</td>
<td></td>
<td>7.7</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>November 25, 1988</td>
<td>23:46</td>
<td>Saguenay, Quebec, Canada </td>
<td colspan="2">48.06</td>
<td colspan="2">-71.27</td>
<td></td>
<td>5.9</td>
<td>M (Boatwright and Choy, 1992) </td>
</tr>
<tr class="even">
<td>December 7, 1988 </td>
<td>07:41</td>
<td>Spitak, Armenia </td>
<td colspan="2">40.93</td>
<td colspan="2">44.11</td>
<td>25,000</td>
<td>6.8</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>October 18, 1989 </td>
<td>00:04</td>
<td>Loma Prieta, CA </td>
<td colspan="2">37.14</td>
<td colspan="2">-121.76</td>
<td>63</td>
<td>6.9</td>
<td>M (Wald et al., 1991) </td>
</tr>
<tr class="even">
<td>December 25, 1989</td>
<td>14:24</td>
<td>Ungava, Quebec, Canada </td>
<td colspan="2">60.07</td>
<td colspan="2">-73.54</td>
<td></td>
<td>6.0</td>
<td>M (Bent, 1994) </td>
</tr>
<tr class="odd">
<td>June 28, 1991 </td>
<td>14:43</td>
<td>Sierra Madre, CA </td>
<td colspan="2">34.25</td>
<td colspan="2">-117.95</td>
<td>2</td>
<td>5.6</td>
<td>M (Wald et al., 1991) </td>
</tr>
<tr class="even">
<td>August 17, 1991 </td>
<td>22:17</td>
<td>Honeydew, CA</td>
<td colspan="2">41.79</td>
<td colspan="2">-125.58</td>
<td></td>
<td>7.0</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>April 23, 1992</td>
<td>04:50</td>
<td>Joshua Tree, CA</td>
<td colspan="2">33.87</td>
<td colspan="2">-116.55</td>
<td></td>
<td>6.2</td>
<td>M (Stein and Hanks, 1998)</td>
</tr>
<tr class="even">
<td>April 25, 1992 </td>
<td>18:06</td>
<td>Cape Mendocino, CA </td>
<td colspan="2">40.38</td>
<td colspan="2">-124.05</td>
<td></td>
<td>7.2</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>April 26, 1992 </td>
<td>07:41</td>
<td>Offshore, Cape Mendocino, CA </td>
<td colspan="2">40.55</td>
<td colspan="2">-124.29</td>
<td></td>
<td>6.5</td>
<td>M (Oppenheimer et al., 1993) </td>
</tr>
<tr class="even">
<td>April 26, 1992 </td>
<td>11:18</td>
<td>Offshore, Cape Mendocino, CA </td>
<td colspan="2">40.44</td>
<td colspan="2">-124.43</td>
<td></td>
<td>6.7</td>
<td>M (Oppenheimer et al., 1993) </td>
</tr>
<tr class="odd">
<td>June 28, 1992 </td>
<td>11:57</td>
<td>Landers, CA </td>
<td colspan="2">34.20</td>
<td colspan="2">-116.52</td>
<td>3</td>
<td>7.3</td>
<td>M (Sieh et al. 1993)</td>
</tr>
<tr class="even">
<td>June 29 1992 </td>
<td>10:14</td>
<td>Little Skull Mtn, NV </td>
<td colspan="2">36.77</td>
<td colspan="2">-116.32</td>
<td></td>
<td>5.7</td>
<td>M (Walter, 1993) </td>
</tr>
<tr class="odd">
<td>September 2, 1992 </td>
<td>00:16</td>
<td>Nicaragua</td>
<td colspan="2">11.77</td>
<td colspan="2">-87.35</td>
<td>116</td>
<td>7.6</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>September 29, 1993</td>
<td>22:25</td>
<td>Latur-Killari, India </td>
<td colspan="2">18.08</td>
<td colspan="2">76.52</td>
<td>9,748</td>
<td>6.2</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>January 17, 1994 </td>
<td>12:30</td>
<td>Northridge, CA </td>
<td colspan="2">34.18</td>
<td colspan="2">-118.56</td>
<td>60</td>
<td>6.7</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>June 9, 1994 </td>
<td>00:33</td>
<td>Bolivia</td>
<td colspan="2">-13.86</td>
<td colspan="2">-67.49</td>
<td>5</td>
<td>8.2</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>September 1, 1994 </td>
<td>15:15</td>
<td>Cape Mendocino, CA </td>
<td colspan="2">40.38</td>
<td colspan="2">-125.78</td>
<td></td>
<td>7.0</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>January 16, 1995 </td>
<td>20:46</td>
<td>Kobe, Japan </td>
<td colspan="2">34.57</td>
<td colspan="2">135.03</td>
<td>5,502</td>
<td>6.9</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>May 21, 1997 </td>
<td>22:51</td>
<td>Jabalpur, India </td>
<td colspan="2">23.07</td>
<td colspan="2">80.12</td>
<td>38</td>
<td>5.8</td>
<td>M (Singh et al., 1999) </td>
</tr>
<tr class="even">
<td>July 17, 1998 </td>
<td>08:49</td>
<td>New Guinea</td>
<td colspan="2">-2.94</td>
<td colspan="2">142.58</td>
<td>2,183</td>
<td>7.0</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>January 25, 1999</td>
<td>18:19</td>
<td>Colombia</td>
<td colspan="2">4.45</td>
<td colspan="2">-75.65</td>
<td>1,185</td>
<td>6.1</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>August 17, 1999 </td>
<td>00:01</td>
<td>Izmit, Turkey </td>
<td colspan="2">40.77</td>
<td colspan="2">30.00</td>
<td>17,118</td>
<td>7.6</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>September 20, 1999</td>
<td>17:47</td>
<td>Chi-Chi, Taiwan </td>
<td colspan="2">23.82</td>
<td colspan="2">120.86</td>
<td>2,400</td>
<td>7.6</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>October 16, 1999 </td>
<td>09:46</td>
<td>Hector Mine, CA </td>
<td colspan="2">34.56</td>
<td colspan="2">-116.44</td>
<td></td>
<td>7.1</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>November 12, 1999</td>
<td>16:57</td>
<td>Duzce, Turkey</td>
<td colspan="2">40.82</td>
<td colspan="2">31.23</td>
<td>894</td>
<td>7.2</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>September 3, 2000</td>
<td>08:36</td>
<td>Napa, CA</td>
<td colspan="2">38.38</td>
<td colspan="2">-122.41</td>
<td></td>
<td>5.0</td>
<td>M (BRK)</td>
</tr>
<tr class="odd">
<td>November 16, 2000</td>
<td>04:54</td>
<td>New Ireland, Papua New Guinea</td>
<td colspan="2">-4.00</td>
<td colspan="2">152.33</td>
<td></td>
<td>8.0</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>January 13, 2001</td>
<td>17:33</td>
<td>El Salvador</td>
<td colspan="2">13.04</td>
<td colspan="2">-88.66</td>
<td>844</td>
<td>7.7</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>January 26,2001</td>
<td>03:16</td>
<td>Gujarat, India</td>
<td colspan="2">23.39</td>
<td colspan="2">70.23</td>
<td>20,085</td>
<td>7.6</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>February 28, 2001</td>
<td>18:54</td>
<td>Olympia, WA</td>
<td colspan="2">47.11</td>
<td colspan="2">-122.60</td>
<td></td>
<td>6.8</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>June 23, 2001</td>
<td>20:33</td>
<td>Coastal Peru</td>
<td colspan="2">-16.30</td>
<td colspan="2">-73.55</td>
<td>75</td>
<td>8.4</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>March 25, 2002</td>
<td>14:56</td>
<td>Hindu Kush Region, Afghanistan</td>
<td colspan="2">36.06</td>
<td colspan="2">69.32</td>
<td>1,000</td>
<td>6.1</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>April 20, 2002</td>
<td>10:50</td>
<td>Au Sable Forks, NY</td>
<td colspan="2">44.51</td>
<td colspan="2">-73.70</td>
<td></td>
<td>5.1</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>November 3, 2002</td>
<td>22:12</td>
<td>Denali Park, AK</td>
<td colspan="2">63.52</td>
<td colspan="2">-147.44</td>
<td></td>
<td>7.9</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>May 21, 2003</td>
<td>18:44</td>
<td>Boumerdes, Algeria</td>
<td colspan="2">36.96</td>
<td colspan="2">3.63</td>
<td>2,266</td>
<td>6.8</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>September 25, 2003</td>
<td>19:50</td>
<td>Hokkaido, Japan</td>
<td colspan="2">41.82</td>
<td colspan="2">143.91</td>
<td></td>
<td>8.3</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>November 17, 2003</td>
<td>06:43</td>
<td>Rat Is., AK</td>
<td colspan="2">51.15</td>
<td colspan="2">178.65</td>
<td></td>
<td>7.8</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>December 22, 2003</td>
<td>19:15</td>
<td>San Simeon, CA</td>
<td colspan="2">35.71</td>
<td colspan="2">-121.10</td>
<td>2</td>
<td>6.6</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>December 26, 2003</td>
<td>01:56</td>
<td>Southeastern Iran</td>
<td colspan="2">28.99</td>
<td colspan="2">58.31</td>
<td>31,000</td>
<td>6.6</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>September 28, 2004</td>
<td>17:15</td>
<td>Parkfield, CA</td>
<td colspan="2">35.81</td>
<td colspan="2">-120.37</td>
<td></td>
<td>6.0</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>December 26, 2004</td>
<td>00:58</td>
<td>Off west coast northern Sumatra</td>
<td colspan="2">3.30</td>
<td colspan="2">95.87</td>
<td>227,898</td>
<td>9.1</td>
<td>M (Park et al., 2005)</td>
</tr>
<tr class="even">
<td>March 28, 2005</td>
<td>16:09</td>
<td>Northern Sumatra, Indonesia</td>
<td colspan="2">2.07</td>
<td colspan="2">97.01</td>
<td>1,313</td>
<td>8.6</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>June 15, 2005</td>
<td>02:50</td>
<td>Off coast of No. California</td>
<td colspan="2">41.29</td>
<td colspan="2">-125.95</td>
<td></td>
<td>7.2</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>October 8, 2005</td>
<td>03:50</td>
<td>Pakistan</td>
<td colspan="2">34.53</td>
<td colspan="2">73.58</td>
<td>86,000</td>
<td>7.6</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>May 26, 2006</td>
<td>22:53</td>
<td>Java, Indonesia</td>
<td colspan="2">-7.96</td>
<td colspan="2">110.45</td>
<td>5,749</td>
<td>6.3</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>October 15, 2006</td>
<td>17:07</td>
<td>Island of Hawaii, HI</td>
<td colspan="2">19.88</td>
<td colspan="2">-155.94</td>
<td></td>
<td>6.7</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>November 15, 2006</td>
<td>11:14</td>
<td>Kuril Islands</td>
<td colspan="2">46.59</td>
<td colspan="2">153.27</td>
<td></td>
<td>8.3</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>September 12, 2007</td>
<td>11:10</td>
<td>Southern Sumatra, Indonesia</td>
<td colspan="2">-4.44</td>
<td colspan="2">101.37</td>
<td>25</td>
<td>8.5</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>October 31, 2007</td>
<td>03:04</td>
<td>San Francisco Bay Area, CA</td>
<td colspan="2">37.43</td>
<td colspan="2">-121.77</td>
<td></td>
<td>5.6</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="even">
<td>December 19, 2007</td>
<td>09:30</td>
<td>Andreanof Islands, AK</td>
<td colspan="2">51.36</td>
<td colspan="2">-179.51</td>
<td></td>
<td>7.2</td>
<td>M (PDE Monthly Listing)</td>
</tr>
<tr class="odd">
<td>May 12, 2008</td>
<td>06:28</td>
<td>Eastern Sichuan, China</td>
<td colspan="2">30.99</td>
<td colspan="2">103.36</td>
<td>87,652</td>
<td>7.9</td>
<td>M (QED)</td>
</tr>
<tr class="even">
<td colspan="10"></td>
</tr>
<tr class="odd">
<td colspan="10">† GMT</td>
</tr>
<tr class="even">
<td colspan="10">‡ M<sub>G-R</sub> = Gutenberg and Richter's (1954)
magnitude, M<sub>S</sub> = 20-sec surface-wave magnitude, M = moment
magnitude (Hanks and Kanamori, 1979), and M<sub>I</sub> is an intensity
magnitude, M<sub>L</sub> is local magnitude (Richter, 1935)</td>
</tr>
<tr class="odd">
<td colspan="10">' Data are sparse and consensus is lacking on the true
magnitude</td>
</tr>
<tr class="even">
<td colspan="10">* Fatalities estimated as high as 655,000</td>
</tr>
</tbody>
</table>
+-----------------------------------------------------------------------+
| ### References |
+-----------------------------------------------------------------------+
| Abe, K., 1981, Magnitudes of large shallow earthquakes from |
| 1904-1980: Physics of Earth and Planetary Interiors, v. 27, p. 72-92. |
+-----------------------------------------------------------------------+
| Abe, K., 1988, Magnitudes and origin times from Milne seismograph |
| data: Earthquakes in China and California, 1898-1912 in Lee, W. H. K, |
| Meyers, H., and Shimizaki, K., eds., Historical seismograms and |
| earthquakes of the world: San Diego, Calif., Academic Press, p.37-50. |
+-----------------------------------------------------------------------+
| Abe, K. and H. Kanamori, 1980, Magnitudes of great shallow |
| earthquakes from 1953 to 1977, Tectonophysics, v. 62, p. 191--203. |
+-----------------------------------------------------------------------+
| Algermissen, S.T. and S. Harding, 1965, Preliminary Seismological |
| Report, in US Coast and Geodetic Survey, 1965, The Puget Sound, |
| Washington earthquake of April 29, 1965: US Coast and Geodetic |
| Survey, p 1-26. |
+-----------------------------------------------------------------------+
| Baker, G.E. and C.A. Langston, 1987,Source parameters of the 1949 |
| magnitude 7.1 south Puget Sound, Washington earthquake as determined |
| from long-period body waves and strong motions: Bull. Seism. Soc Am. |
| v. 77 no 5, p. 1530-1557. |
+-----------------------------------------------------------------------+
| Bakun, W.H., 1999, Seismic Activity of the San Francisco Bay region, |
| Bull. Seism. Soc Am., 89, 764-784. |
+-----------------------------------------------------------------------+
| Bakun, W.H., 2000, Seismicity of California\'s north coast, Bull. |
| Seism. Soc. Amer, in press. |
+-----------------------------------------------------------------------+
| Bakun, W.H., R.A. Haugerud, M.G. Hopper, and R.S. Ludwin, 2002, The |
| December 1872 Washington state earthquake, Bull. Seismol. Soc. Am., |
| 92, p. 3239-3258. |
+-----------------------------------------------------------------------+
| Bakun, W.H. and M.G. Hopper, 2004, Magnitudes and locations of the |
| 1811-1812 New Madrid, Missouri, and the 1886 Charleston, South |
| Carolina, earthquakes, Bull. Seismol. Soc. Am., 94, p. 64-75. |
+-----------------------------------------------------------------------+
| Bakun, W. H. and T. V. McEvilly, 1984, Recurrence models and |
| Parkfield, California, earthquakes, J. Geophys. Res., 89, p. |
| 3051-3058. |
+-----------------------------------------------------------------------+
| Bolt, B. A. and R. D. Miller, 1975, Catalog of Earthquakes in |
| Northern california and Adjoining Areas: 1 January 1910 - 31 December |
| 1972, Seismographic Stations, University of California, Berkeley, |
| 1-567. |
+-----------------------------------------------------------------------+
| Bolt, B. A., T. V. McEvilly, and R. A. Uhrhammer, 1981, The Livermore |
| Valley, California, sequence of January 1980, Bull. Seismol. Soc. |
| Am., 71, p. 451-463. |
+-----------------------------------------------------------------------+
| Beanland, S. and M. M. Clark, 1994, The Owens valley fault zone, |
| eastern California, and surface rupture associated with the 1872 |
| earthquake; U. S. Geol. Surv Bull. 1982, 29pp. |
+-----------------------------------------------------------------------+
| Bent, A.L., 1992, A re-examination of the 1925 Charlevoix, Quebec, |
| earthquake, Bull. Seism. Soc. Am., 82, 2097-2113. |
+-----------------------------------------------------------------------+
| Bent, A.L., 1994, The 1989 (Ms6.3) Ungava, Quebec, earthquake: a |
| complex intraplate event, Bull. Seism. Soc. Am., 84, 1075-1088. |
+-----------------------------------------------------------------------+
| Bent, A.L., 1995, A complex double-couple source mechanism for the |
| Ms7.2 1929 Grand Banks earthquake, Bull. Seism. Soc. Am., 85, |
| 1003-1020. |
+-----------------------------------------------------------------------+
| Bent, A.L., 1996, An improved source mechanism for the 1935 |
| Timiskaming, Quebec earthquake from regional waveforms, Pure Appl. |
| Geophys.. 146, 5-20. |
+-----------------------------------------------------------------------+
| Boatwright, J. and Choy, G.L., 1992, Acceleration source spectra |
| anticipated for large earthquakes in northeastern North America, |
| Bull. Seism. Soc. Am., 82, 660-682. |
+-----------------------------------------------------------------------+
| BRK, University of California Seismographic Stations, Berkeley |
+-----------------------------------------------------------------------+
| Choy, G.L. and Bowman, J.R., 1990, Rupture process of a multiple main |
| shock sequence: analysis of teleseismic, local and field observations |
| of the Tennant |
+-----------------------------------------------------------------------+
| Creek, Australia earthquakes of January 22, 1988, J. Geophys. Res., |
| 95, 6867-6882. |
+-----------------------------------------------------------------------+
| Cipar, J., 1979, Source processes of the Haicheng, China earthquake |
| from observations of P and S waves: Seismol. Soc. Am. Bull., v. 69, |
| p. 1903-1916. |
+-----------------------------------------------------------------------+
| Dosier D.I., 1985, Source parameters and faulting processes of the |
| 1959 Hebgen Lake, Montana, earthquake sequence, J. Geophys. Res. 90, |
| 4537-4555. |
+-----------------------------------------------------------------------+
| Dosier, D.I., 1989, Source parameters of Montana earthquakes |
| (1925-1964) and tectonic deformation in the northern intermountain |
| seismic belt, Bull. Seism. Soc. Am. 79, 31-50. |
+-----------------------------------------------------------------------+
| Ellsworth, W. L., 1990, Earthquake history, 1769-1989, chap. 6 of |
| Wallace, R. E., ed., The San Andreas fault system, California: U. S. |
| Geological Survey Professional Paper 1515, p.153-188. |
+-----------------------------------------------------------------------+
| Grant, L.B. and K.E. Sieh, 1993, Stratigraphic evidence for seven |
| meters of dextral slip on the San Andreas fault during the 1857 |
| earthquake in the Carrizo Plain, Bull. Seism. Soc. Am., 83, 619-635. |
+-----------------------------------------------------------------------+
| Gutenberg, B. and C.F. Richter, 1954, Seismicity of the earth and |
| associated phenomena; 2nd ed: Princeton Univ. Press, 310 pp. |
+-----------------------------------------------------------------------+
| Hanks, T. C., and H. Kanamori, 1979, A moment magnitude scale, J. |
| Geophys. Res., 84, 2348-2350. |
+-----------------------------------------------------------------------+
| Hanks, T.C., J. A. Hileman, and W. Thatcher, 1975, Seismic moments of |
| the larger earthquakes of the southern California region, Geol. Soc. |
| Am. Bull, 86, 1131-1139. |
+-----------------------------------------------------------------------+
| Hartzell, S. H., 1989, Comparison of waveform inversion results for |
| the rupure history of finite fault; application to the 1986 North |
| Palm Springs, California, earthquake, J. Geophys. Res. 94, |
| 7515-7534. |
+-----------------------------------------------------------------------+
| Hartzell, S. H., & Iida, M., 1990, Source complexity of the 1987 |
| Whittier Narrows, California, earthquake from the inversion of strong |
| motion records, J. Geophys. Res. 95, 12,475-12,485. |
+-----------------------------------------------------------------------+
| Hartzell, S. H. and T. H. Heaton, 1983, Inversion of strong ground |
| motion and teleseismic waveform data for the fault rupture history of |
| the 1979 Imperial Valley, California, earthquake, Bull. Seism. Soc. |
| Am., 73, 1553-1583. |
+-----------------------------------------------------------------------+
| Hauksson, E., & Gross, S., 1991, Source parameters of the 1933 Long |
| Beach earthquake, Bull. Seism. Soc. Am. 81, 81-98. |
+-----------------------------------------------------------------------+
| Hauksson, E., L. M. Jones, K. Hutton, and D. Eberhart-Phillips, 1993, |
| The 1992 Landers earthquake sequence: seismological observations, J. |
| Geophys. Res., 98, 19,835-19,858. |
+-----------------------------------------------------------------------+
| Heaton, T. H., 1982, The 1971 San Fernando earthquake: a double |
| event?, Bull. Seism. Soc. Am. 72, 2037-2062. |
+-----------------------------------------------------------------------+
| Hough, S.E., J.G. Armbruster, L. Seeber, and J.G. Hough, 2000, On the |
| Modified Mercalli intensities and magnitudes of the 1811-1812 New |
| Madrid earthquakes, J. Geophys. Res., 105, 23,839-23,864. |
+-----------------------------------------------------------------------+
| Johnson, J.M., Y. Tanioka, L.J. Ruff, K. Sataki, H. Kanamori, and |
| L.R. Sykes, 1994, The 1957 great Aleutian earthquake, Pure and Appl. |
| Geophys., 142, 3-28. |
+-----------------------------------------------------------------------+
| Johnston, A., 1996, Seismic moment assessment of earthquakes in |
| stable continental regions -- III. New Madrid 1811-1812, Charleston |
| 1886, and Lisbon 1755, Geophys. J. Int. 126, 314-344. |
+-----------------------------------------------------------------------+
| Kanamori, H., 1977, The energy release in great earthquakes, J. |
| Geophys. Res. 82, 2981-2987. |
+-----------------------------------------------------------------------+
| Klein, F.W. and T.L. Wright, 2000, Catalog of Hawaiian earthquakes, |
| 1823-1959, USGS Prof. Paper 1623. |
+-----------------------------------------------------------------------+
| Langston, C.A., 1976, A body wave inversion of the Koyna, India |
| earthquake of December 10, 1967 and some implications for body wave |
| focal mechanisms, J. Geophys. Res., 81, 2517-2529. |
+-----------------------------------------------------------------------+
| McCann, W., 1985, On the Earthquake Hazard of Puerto Rico and the |
| Virgin Islands, Bull. Seism. Soc. Am., 75, 251-262. |
+-----------------------------------------------------------------------+
| Oppenheimer, D. H., G.C. Beroza, G.A. Carver, L. Dengler, J. P. |
| Eaton, L. Gee, F.I. Gonzalez, A.S. Jayko, W.H. Li, M. Lisowski, M. |
| Magee, G. A. Marshall, M. Murray, R. McPherson, B. Romanowicz, K. |
| Satake, R.W. Simpson, P.G. Somerville, R.S. Stein, and D. Valentine, |
| 1993, The Cape Mendocino, California, earthquakes of April 1992, |
| subduction at the triple junction, Science, 261, 433-438. |
+-----------------------------------------------------------------------+
| Park, J., T.R. Song, J. Tromp, E. Okal, S. Stein, G. Roult, E. |
| Clevede, G. Laske, H. Kanamori, P. Davis, J. Berger, C. Braitenberg, |
| M. Van Camp, X. Lei, H. Sun, H. Xu, and S. Rosat, 2005, Earth\'s Free |
| Oscillations Excited by the 26 December 2004 Sumatra-Andaman |
| Earthquake, Science, 308, 1139-1144. |
+-----------------------------------------------------------------------+
| PDE (Preliminary Determination of Epicenters) Monthly Listing, U.S. |
| Geol. Surv., Golden, CO. |
+-----------------------------------------------------------------------+
| Qamar, A. and M.C. Stickney, 1983, Montana Earthquakes 1869-1979: |
| Historical Seismicity and Earthquake Hazard, Montana Bureau of Mines |
| and Geology, Memoir 51, 80 pp. |
+-----------------------------------------------------------------------+
| QED (Quick Epicenter Determinations), U.S. Geol. Surv., Golden, CO. |
+-----------------------------------------------------------------------+
| Richins, W.D., J.C. Pechman, R.B. Smith, C.J. Langer, S.K. Goter, |
| J.E. Zollweg, and J.J. King, 1987, The 1983 Borah Peak, Idaho |
| earthquake and its aftershocks: Bull. Seismol. Soc. Am. 77, 697-723. |
+-----------------------------------------------------------------------+
| Richter, C.F., 1935, An instrumental earthquake magnitude scale: |
| Bull. Seismol. Soc. Am. 25, 1-32 |
+-----------------------------------------------------------------------+
| Rogers, G.C., 1983, Seismotectonics of British Columbia: University |
| of British Columbia Doctor of Philosophy Thesis, 247 pp. |
+-----------------------------------------------------------------------+
| Satake, K., K. Shimazaki, Y. Tsuji, and K. Ueda, 1996, Time and size |
| of a giant earthquake in Cascadia inferred from Japanese tsunami |
| records of January 1700, Nature 379, 246-249. |
+-----------------------------------------------------------------------+
| Sieh, K.E., 1978, Slip along the San Andreas fault associated with |
| the great 1857 earthquake, Bull. Seism. Soc. Am. 68, 1421-1448. |
+-----------------------------------------------------------------------+
| Sieh, K., Jones, L. M., Hauksson, E., Hudnut, K., Eberhart-Phillips, |
| D., Heaton, T., Hough, S., Hutton, K., Kanamori, H., Lilje, A., |
| Lindvall, S., McGill, S. F., Mori, J., Rubin, C., Spotila, J., Stock, |
| J., Thio, H. K., Treiman, J., Wernicke, B., & Zachariasen, J.,1993, |
| Near-field Investigations of the Landers Earthquake Sequence, |
| April-July, 1992, Science 260, 171-175. |
+-----------------------------------------------------------------------+
| Singh, S.K., Ordaz, M., Dattatrayam, R.S., and Gupta, H.K., 1999, A |
| spectral analysis of the 21 May 1997, Jabalpur India, earthquake |
| (**M**=5.8) and estimation of ground motion from future earthquakes |
| in the Indian shield region, Bull. Seism. Soc. Am. 89, 1620-1630. |
+-----------------------------------------------------------------------+
| Stein, R.S. and T.C. Hanks, 1998, M≥6 earthquakes in southern |
| California during the twentieth century: no evidence for a seismicity |
| or moment deficit, Bull. Seismol. Soc. Am. Bull. 88, p. 635-652. |
+-----------------------------------------------------------------------+
| Stein, S., Sleep, N.H., Geller, R.J., Wang, S.-C., and Kroeger, G.C., |
| 1979, Earthquakes along the passive margin of eastern Canada, |
| Geophys. Res. Lett. 6, 537-540. |
+-----------------------------------------------------------------------+
| Stover, D.W., ed, 1987, United States earthquakes, 1983: US |
| Geological Survey Bulletin 1698, 196 pp. |
+-----------------------------------------------------------------------+
| Stover, C.W., and J.L. Coffman, 1993, Seismicity of the United |
| States, 1568-1989 (Revised), US Geol. Surv. Prof. Pap. 1527, 418pp. |
+-----------------------------------------------------------------------+
| Tanioka, Y., and T, Seno, 2001, Detailed analysis of tsunami |
| waveforms generated by the 1946 Aleutian tsunami earthquake, Natural |
| Hazards abd Earth System Science, 1, 171-175. |
+-----------------------------------------------------------------------+
| Tsai, Y.B., and K. Aki, 1969, Simultaneous determination of the |
| seismic moment and attenuation of seismic surface waves, Bull. Seism. |
| Soc Amer. 59, 275-287. |
+-----------------------------------------------------------------------+
| Tsai, Y.B., and K. Aki, 1970, Source mechanism of the Truckee, |
| California, earthquake of September 12, 1966, Bull. Seism. Soc Amer. |
| 60, 1199-1208. |
+-----------------------------------------------------------------------+
| Wald, D. J., 1992, Strong motion and broadband teleseismic analysis |
| of the 1991 Sierra Madre, California, earthquake, J. Geophys. Res., |
| 97, 11,033-11,046. |
+-----------------------------------------------------------------------+
| Wald, D. W., D. V. Helmberger and T. H. Heaton, 1991, Rupture model |
| of the 1989 Loma Prieta earthquake from the inversion of |
| strong-motion and broadband teleseismic data, Bull. Seism. Soc. Am. |
| 81, 1540-1572. |
+-----------------------------------------------------------------------+
| Walter, W.R., 1993, Source parameters of the June 29, 1992 Little |
| Skull Mountain earthquake from complete regional waveforms at a |
| single station, Geophys. Res. Lett. 20, 403-406. |
+-----------------------------------------------------------------------+
| Wetmiller, R.J., Horner, R.B., Hasegawa, H.S., North, R.G., |
| Lamontagne, M., Weichert, D.H., and Evans, S.G., 1988, An analysis of |
| the 1985 Nahanni earthquakes, Bull. Seism. Soc. Am. 78, 590-616. |
+-----------------------------------------------------------------------+
|
en
|
converted_docs
|
999917
|
Before the
**Federal Communications Commission**
**Washington, D.C. 20554**
+----------------------------------+----+------------------------------+
| In the Matter of | * | CG Docket No. 05-231 |
| | *) | |
| Closed Captioning of Video | ** | |
| Programming | | |
| | * | |
| Telecommunications for the Deaf, | *) | |
| Inc. | ** | |
| | | |
| Petition for Rulemaking | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
+----------------------------------+----+------------------------------+
**NOTICE OF PROPOSED RULEMAKING**
**Adopted: July 14, 2005 Released: July 21, 2005**
**Comment Date: (45 days after publication in the Federal Register)**
**Reply Comment Date: (60 days after publication in the Federal
Register)**
By the Commission: Chairman Martin; Commissioners Abernathy, Copps, and
Adelstein issuing
> separate statements.
**TABLE OF CONTENTS**
**[Paragraph Number]{.underline}**
I. INTRODUCTION 1
II\. BACKGROUND 4
> A. History of Closed Captioning 4
>
> B. Closed Captioning Orders 6
>
> C. TDI Petition 8
III\. Discussion 9
> A. General Considerations 9
>
> 1\. Non-technical Quality Standards for Closed Captioning 10
>
> 2\. Technical Quality Standards 17
>
> 3\. Monitoring of Captioning 21
>
> 4\. Complaint Procedures 26
>
> 5\. Accessibility of Contact Information 32
>
> 6\. Standardized Captioning Complaint Form 35
>
> 7\. Fines and Penalties for Failure to Caption 36
>
> 8\. Compliance Reports 40
>
> 9\. Use of Electronic Newsroom Technique 44
>
> 10\. Availability of Captioners 49
>
> 11\. Electronic Filing of Exemption Requests 52
>
> B. Other Issues Raised in the TDI Petition 54
>
> 1\. Pass Through of Original Captioning 55
>
> 2\. Reformatting of Closed Captions 56
>
> 3\. Benchmark Compliance Audits 57
IV\. CONCLUSION. 58
V. procedural matters 59
VI\. ordering clause......................................... 67
AppenDICES:
Appendix A -- TDI's Sample TV Captioning Complaint Form
Appendix B -- Initial Regulatory Flexibility Analysis
# INTRODUCTION
1. In this Notice of Proposed Rulemaking (NPRM), we grant a petition
for rulemaking and initiate a proceeding to examine the Commission's
closed captioning rules.[^1] Specifically, we seek comment on: 1)
the current status of the Commission's closed captioning rules in
ensuring that video programming is accessible to deaf and hard of
hearing Americans and whether any revisions should be made to
enhance the effectiveness of those rules; and 2) several compliance
and quality issues relating to closed captioning that were raised in
a Petition for Rulemaking filed by Telecommunications for the Deaf,
Inc. (TDI), the National Association of the Deaf, Self Help for Hard
of Hearing People, Inc., the Association for Late Deafened Adults,
and the Deaf and Hard of Hearing Consumer Advocacy Network.[^2]
2. In 1996, Congress added section 713 to the Communications Act of
1934, as amended, (the Act) to generally require that video
programming be closed captioned to ensure access to people with
hearing disabilities, and required the Commission to adopt rules and
implementation schedules for the closed captioning of video
programming.[^3] The Commission has noted that closed captioning can
be an important learning tool for both children with hearing
disabilities and children without hearing disabilities learning to
read, and for millions of persons learning English as a second
language in improving their reading comprehension and spelling
skills.[^4]
3. The Commission has now had more than seven years experience with the
closed captioning rules since they became effective on January
1, 1998. At the time the Commission adopted the closed captioning
rules, it indicated that it would review the rules after closed
captioning was implemented to determine whether its expectations
regarding closed captioning were being met.[^5] We initiate this
review as a follow-up to the Commission's prior assurances and in
response to the *TDI Petition*. We share a common goal with TDI in
ensuring that closed captioning works as Congress intended, and in
making sure the rules adopted in 1997 are consistent with Congress'
goal that "all Americans ultimately have access to video services
and programs, particularly as video programming becomes an
increasingly important part of the home, school, and
workplace.\"[^6] We also note that, effective January 1, 2006, all
non-exempt new English language programming must be captioned.[^7]
We believe this rulemaking provides an excellent opportunity to
ensure that video programming distributors are prepared to fulfill
this requirement.
# BACKGROUND
## History of Closed Captioning
4. Closed captioning of television programs began in the 1970's.[^8]
Closed captioning is hidden as encoded data transmitted within the
vertical blanking interval (VBI) of the television signal which,
"when decoded, provides a visual depiction of information
simultaneously being presented on the aural channel (captions)."[^9]
To implement the Television Decoder Circuitry Act of 1990
(TDCA),[^10] the Commission adopted rules that require all
television receivers with screen sizes 13 inches or larger to be
capable of receiving and displaying closed captions.[^11] Although
there was a significant increase in captioning following the
enactment of the TDCA, Congress remained concerned that as the
number of channels of video programming continues to increase and
the variety of programming offerings expands "video programming
through all delivery systems should be accessible."[^12]
5. Prior to 1996, closed captioning of video programming was provided
through the voluntary efforts of the video programming industry and
private entities.[^13] Section 305 of the 1996 Act added a new
Section 713, Video Programming Accessibility, to the Act.[^14]
Section 713 required the Commission to prescribe rules and
implementation schedules for captioning of video programming.[^15]
In enacting Section 713, Congress generally required that video
programming be closed captioned, regardless of distribution
technology,[^16] to ensure access to persons with hearing
disabilities. Section 713 is intended to further Congress' goal "to
ensure that all Americans ultimately have access to video services
and programs, particularly as video programming becomes an
increasingly important part of the home, school, and
workplace."[^17]
## Closed Captioning Orders
6. In accordance with Section 713, the Commission adopted rules in 1997
for closed captioning of video programming.[^18] These rules require
that all video programming distributors, including over-the-air
broadcast television services and all multichannel video programming
distributors ("MVPDs") (including cable television, direct-to-home
satellite services, wireless cable systems, satellite master antenna
television, and open video systems)[^19] increase gradually the
amount of captioned programming offered and, generally require that
100% of new programming be closed captioned as of January 1, 2006,
subject to certain exceptions.[^20] New programming is defined as
programs first published or exhibited on or after January 1,
1998.[^21] Additionally, these rules established a transition period
for captioning of pre-rule programming, and require that 75% of all
pre-rule nonexempt programming delivered to consumers during the
first quarter of 2008 and thereafter must be captioned.[^22]
Pre-rule programming is defined as programs first published or
exhibited before January 1, 1998.[^23] The rules also require that,
pursuant to an established phase-in schedule, as of January 1, 2010,
100% of non-exempt new Spanish language programming be closed
captioned,[^24] and, as of January 1, 2012, and thereafter, 75% of
non-exempt Spanish language pre-rule programming be closed
captioned.[^25]
7. In July 2000, the Commission amended the closed captioning rules to
require an increasing amount of digital programming to be captioned
in a format that can be recovered and displayed by decoders meeting
the EIA-708 standard.[^26] The *DTV Closed Captioning Order* adopted
the same benchmark transition period for new and pre-rule digital
programming as exists for analog programming. The *DTV Closed
Captioning Order* also established July 1, 2002, as the date for
determining whether digital programming is new programming or
pre-rule programming.[^27] The rules for digital captioning became
effective July 1, 2002.[^28] Therefore, as of January 1, 2006, 100%
of new nonexempt analog *and* digital English language video
programming must be captioned. In the *DTV Closed Captioning Order*,
the Commission observed that viewers will be able to watch digital
programming on existing analog displays using a DTV converter, and
alerted programming distributors that in order for them "to count
captioned digital television programming toward their closed
captioning requirements in 47 C.F.R. Section 79.1, they must also
transmit captions that can be decoded by the decoder in that analog
set."[^29]
## TDI Petition
8. On July 23, 2004, Telecommunications for the Deaf, Inc. filed a
Petition for Rulemaking, requesting that the Commission initiate a
rulemaking to "establish additional enforcement mechanisms to better
implement the captioning rules, and to establish captioning quality
standards to ensure high quality and reliable closed
captioning."[^30] The *TDI* *Petition* specifically requests that
the Commission: 1) create a Commission-maintained database with
updated contact information for video programming distributors and
providers and a captioning complaint form; 2) establish compliance
reporting requirements and undertake audits to ensure effective
implementation of the captioning requirements; 3) revise the
complaint rules to require responses to consumer complaints
regarding captioning quality issues within 30 days; 4) establish
fines or penalties for non-compliance with the captioning rules; 5)
require continuous monitoring of captioning by the video programming
distributor or provider to ensure that technical problems are
remedied promptly and efficiently; 6) require video programming
distributors to reformat edited or compressed captioning; 7) require
that for a program to be considered "captioned" under the existing
rules, it must meet minimum standards set by the Commision for
completeness, accuracy, readability, and synchronicity with the
audio portion of the program; and 8) adopt non-technical standards
to ensure that video programming is "fully accessible" to deaf and
hard of hearing individuals.[^31] More than 90 comments were filed
in response to the *TDI Petition*. The majority of these commenters
supported the *TDI Petition*.[^32] The National Cable &
Telecommunications Association (NCTA) opposed the *TDI Petition*,
stating that it provides no cause for revisiting the captioning
rules, and noting that the rules "established a careful balance of
interests which has resulted in an enormous increase in the amount
of captioned programming over the last several years."[^33]
# Discussion
## General Considerations
9. The main objective of this NPRM is to seek comment on whether our
closed captioning rules as currently constituted are the most
effective and efficient way of ensuring that television viewing is
available to the millions of deaf and hard of hearing Americans. We
also seek comment on rules that the Commission may adopt to enhance
the effectiveness of closed captioning.
10. ***Non-technical Quality Standards for Closed Captioning***.
Currently there are no standards for non-technical quality aspects
of closed captioning. The Commission has considered non-technical
aspects of captioning to include matters such as accuracy of
transcription, spelling, grammar, punctuation, placement,
identification of nonverbal sounds, pop-on or roll-up style,[^34]
verbatim or edited for reading speed, and type font.[^35] In the
*1997 Closed Captioning NPRM*, the Commission recognized "that
captions must provide information substantially equivalent to that
of the audio portion of a video program in order to be useful and
ensure accessibility to individuals with hearing disabilities," and
"that it is well within the Commission's discretion to consider
whether to adopt rules, standards, or guidelines that address these
matters."[^36]
11. In adopting the closed captioning rules, the Commission declined to
set standards, but instead encouraged video programming providers to
establish standards through their arrangements and contracts with
captioning companies.[^37] The Commission expected quality standards
to become more common in captioning contracts.[^38] In the *Closed
Captioning Report and Order*, the Commission rejected the idea that
program producers would not strive for high quality captioning via
their contracts simply because they are not the actual consumers of
the captions, stating that "consumers can demonstrate their
satisfaction or lack of satisfaction with what is shown through
their purchase of advertised products, subscriptions to programming
services, or contacts with the video programming providers or video
programmers."[^39] The Commission stated it would consider
revisiting this issue if it becomes apparent that the Commission's
assumptions regarding the marketplace incentives for quality
captioning were incorrect.[^40]
12. TDI contends that market incentives have been insufficient to
address non-technical quality issues, resulting in little
improvement in captioning quality over the past five years. TDI
asserts there are "widespread problems" with non-technical
captioning quality based upon complaints they have received, and
urges the Commission to seek comment on establishing such
standards.[^41] NCTA, however, states that a rule regulating caption
quality would be counterproductive and burdensome.[^42] NCTA states
that although the accuracy of captions can suffer, especially when
the captioning must be done quickly and at the last minute, every
effort is made to avoid these errors.[^43] Further, NCTA contends
that cable networks have "significant" competitive and branding
incentives to provide quality captions, that program networks often
include accuracy requirements in their contracts with captioning
agencies, and that cable networks monitor the quality of the
captions, either in-house or through their contracts.[^44] Based on
the record before us, we seek comment on certain aspects of
non-technical quality issues.[^45]
13. *Non-technical Quality Issues.* Should the Commission establish
standards for the non-technical quality of closed captioning? Are
there non-technical quality issues other than those generally
considered (accuracy of transcription, spelling, grammar,
punctuation, placement, identification of nonverbal sounds, pop-on
or roll-up style, verbatim or edited for reading speed, and type
font) that the Commission should consider? What would constitute an
"error"? Are there reasons not to set standards for non-technical
quality aspects of closed captioning?
14. *Costs.* What would the costs be to programmers and distributors of
mandating non-technical quality standards? Does the captioning pool
consist of an adequate number of competent captioners to meet a
non-technical quality standard mandate?
15. *Pre-produced Programs.* We also seek comment on whether any
non-technical quality standards should be different for pre-produced
programs versus live programming. For example, when this issue was
raised in 1997, one commenter proposed that the Commission set a
maximum error rate of no more than two tenths of a percent (0.2%) of
the words in a prerecorded show, and require that no more than 3% of
the words in a live show may be wrong, misspelled, or absent.[^46]
We seek comment on whether these error rates are appropriate and, if
not, what error rates would be appropriate.
16. *Responsibility.* The *TDI Petition* notes that many distributors
disclaim responsibility for the quality of captioning: "Even more
disturbing is a recent trend among providers to include a disclaimer
in its broadcast stating that the provider is not responsible for
the correctness of captions."[^47] Additionally, TDI asserts that
the programming distributors should be held ultimately responsible
for monitoring captioning.[^48] TDI argues that if the text is full
of errors, it should not be counted as captioned for purposes of
meeting the captioning requirements.[^49] We seek comment on these
assertions.
17. ***Technical Quality Standards***. In the *Closed Captioning Report
and Order,* the Commission adopted a "pass through" rule to ensure
that programming with closed captions is delivered in a complete
manner with the belief that the enforcement of this rule, the
captioning requirements, and Sections 15.119 and 73.682 would ensure
the technical quality of captioning.[^50] The Commission stated: "We
find it unacceptable that existing captions might fail to be
transmitted in a complete and intact manner to consumers. The
reported problems -- such as captions not being delivered intact,
captions not synchronized with the video portion of the program,
captions ending before the end of the programming, programming
without captions even though the program indicated captioning or
captions transmitted during one offering of the program but not
another -- deny accessibility to persons with hearing disabilities
even when captioning seems to be available."[^51] The "pass through"
rule requires video programming providers to "pass through any
captioning they receive that is included with the video programming
they distribute as long as the captions do not need to be
reformatted."[^52]
18. In the *TDI* *Petition*, TDI asserts that the "pass through"
requirement[^53], along with Sections 15.119 and 76.606, have not
been sufficient to prevent and remedy technical problems that result
in captions not being delivered intact, thus not providing "full
accessibility" to video programming as required by Section 713 of
the Act.[^54] TDI asks the Commission to adopt additional mechanisms
and procedures to prevent technical problems from occurring and to
expeditiously remedy any technical problems that do arise. TDI notes
that the following types of technical problems occur
frequently:[^55]
- Captions turn off ten minutes before the end of national network
programming.
- Captions disappear one hour into a two-hour movie.
- Captions are absent, although TV programming schedules label the
show as captioned.
- Captions are illegible, including white boxes and overtypes.
- Captions appear on a national program in one locality but not
another.
- Captions are missing from repeats of previously aired captioned
programming or are scrambled and unreadable.
19. The *NCTA Opposition* states that the *Petition* contains no
evidence that the "pass through" rule is being ignored or that the
technical quality issues mentioned relate at all to this rule.[^56]
Further, NCTA asserts that "so far as we are aware, the availability
of captions in any particular program from its creation to the
transmission to cable operators and other multi-channel distributors
is routinely checked, either through active monitoring or spot
checks."[^57] NCTA states that the "pass through" rule does not need
modification, and that technical quality standards should not be
imposed by the Commission.[^58]
20. The Commission seeks comment on the need for additional mechanisms
and procedures in addition to the "pass through" rule to prevent
technical problems from occurring and to expeditiously remedy any
technical problems that do arise. Are such mechanisms and procedures
warranted? If so, what form should they take? We seek comment on the
kinds of technical problems experienced by consumers as well as
distributors.
21. ***Monitoring of Captioning***. In the *Closed Captioning Report and
Order*, the Commission stated that video programming distributors
are responsible for monitoring and maintaining their equipment and
signal transmissions to ensure that the captioning that is included
with the programming actually reaches consumers.[^59] However, the
Commission did not establish specific rules or steps that video
programming distributors would be required to follow. The Commission
placed the responsibility on the programming distributors to take
any corrective measures necessary to ensure the delivery of captions
and to make sure that the equipment used is working properly. The
Commission also allowed distributors to rely on certifications from
video programming suppliers stating that the programming actually
contains captions.[^60]
22. In its 1996 Report to Congress on Video Programming Accessibility,
the Commission stated:
> Problems also occur because of inadvertent errors in the transmission
> of captions by the broadcaster, distributor, cable network, local
> station or cable system operator. In many cases, the captions have
> been stripped, moved to the wrong line of the VBI \[vertical blanking
> interval\] or flipped onto the wrong field of line 21 by maladjusted
> signal processing equipment. The critical technical steps of a quality
> captioning service are accurate encoding, transmission reception and
> decoding of the signal. To avoid such errors, it is important that the
> captioned signal be monitored as it is fed, monitored during the
> duplication process and checked to ensure that the equipment used is
> not inadvertently stripping the captions, moving them onto the wrong
> line or placing them in the wrong field.[^61]
23. TDI asserts that consumers continue to face many technical problems
that could be eliminated if "video programming distributors and
providers had mechanisms in place to monitor captioning and
routinely check their engineering equipment and procedures."[^62]
However, TDI states that based on feedback from their consumers,
many providers and distributors do not know that problems exist
until they receive a consumer complaint.[^63] TDI raises further
concern that without continuous monitoring and equipment
maintenance, many video programming distributors may be counting
certain programming as captioned when in fact the captions were not
delivered with the programming.[^64] TDI also raises the concern
that programming guides may list rebroadcast or time compressed
material as captioned even though no captions appear, compounding
this problem, an issue that was also raised by commenters in
response to the *2004 Video Programming NOI*.[^65] TDI asks the
Commission to not allow incomplete or garbled captioning caused by
technical problems to be counted toward compliance.[^66]
24. NCTA argues that it is unnecessary and impractical for the
Commission to require constant monitoring of equipment.[^67] NCTA
states that cable operators routinely monitor their equipment to
ensure high quality transmissions of each signal's video, audio, and
line 21 closed captioning material.[^68] NCTA also asserts that
program networks monitor their network transmission to ensure the
quality of each program's technical specifications, including video,
audio, and closed captions.[^69] NCTA states that the Commission\'s
rules strike a careful balance of interests to ensure that the
responsibility for captioning is not unduly burdensome, and that the
video programming distributor\'s responsibility is to ensure that
the equipment used to transmit 500 plus channels to viewers is
capable of passing the captioning through, along with the
programming, and is in proper working order.[^70]
25. We seek comment on video programming distributors' responsibility to
monitor and maintain their equipment and signal transmissions.
Should distributors have specific mechanisms in place for monitoring
and maintenance? If so, what should these mechanisms consist of?
What impact would such mechanisms have on distributors? We also seek
comment on alternate ways to ensure that captioning is delivered
intact to consumers. Lastly, we seek comment on whether distributors
are monitoring their programming and advertising materials to ensure
that a program advertised to be closed captioned is indeed closed
captioned.[^71]
26. ***Complaint Procedures***. In the *1997 Closed Captioning NPRM* ,
the Commission required that complaints regarding closed captioning
first be directed to video programming distributors because it
believed this approach would "lead to quicker action to resolve a
complaint than if the complaint were filed directly with the
Commission."[^72] Pursuant to these rules, complaints must be filed
with the video programming distributor prior to the end of the
calendar quarter following the calendar quarter in which the alleged
violation has occurred, and video program distributors must respond
to the complaint no later than 45 days after the end of the quarter
in which the violation is alleged to have occurred or 45 days after
receipt of the written complaint, whichever is later.[^73] If a
consumer mistakenly sends a complaint to the wrong distributor
(*e.g.*, to a cable company instead of the local TV station that the
cable company carries), or if the programming about which the
consumer complains is exempt from the closed captioning rules
pursuant to Section 79.1(e)(9), the distributor is required to
either forward the complaint to the programmer within seven days, or
return the complaint within seven days to the consumer and to
provide the name and address of the correct distributor to whom the
complaint should be sent.[^74] If a video programming distributor
fails to respond to a complaint or a dispute remains after the
initial attempt at resolution by the video programming distributor
and the complainant, the complaint may be filed with the Commission
within 30 days after the time allotted for the video programming
provider to respond.[^75] The rule specifies the information that
the complainant and the distributor must provide to each other and
to the Commission, and states that if the Commission determines that
a violation has occurred, appropriate penalties may be imposed.[^76]
In adopting these procedures, the Commission stated its belief that
these procedures would provide consumers with an effective and
easily accessible complaint resolution mechanism, while freeing the
programming industry of any unnecessary burdens.[^77]
27. On reconsideration, the Commission denied petitioners' attempts to
eliminate the requirement that consumers contact the provider first
as well as petitioners' request to decrease the time in which video
programming distributors must respond to complaints.[^78]
Petitioners had argued on reconsideration that at least complaints
alleging failure to pass through captioning should be handled on a
more expedited basis than the time frame adopted by the Commission
in the *Closed Captioning Report and Order*.[^79] The Commission
reasoned that the adopted process was appropriate for complaints
regarding the measurement of compliance with the required amounts of
captioning (*i.e.*, benchmarks) since they are calculated on a
quarterly basis.[^80] In order to avoid confusion, the Commission
determined that all complaints of whatever nature (including
complaints alleging failure to pass through) would be handled in the
same fashion.[^81]
28. *TDI's Petition* states that under the current rules, four months
could pass before a video programming provider is legally required
to respond to a complaint, and in the interim, the consumer may
suffer from lack of access to the television video programming.[^82]
TDI notes that this problem is compounded when the consumer is
paying the high costs of cable, satellite or other distribution
services, but is not receiving captioned programming, "so that in
effect they have no access to the services for which they are paying
premium prices."[^83] TDI suggests the Commission revise the
complaint process to establish two categories of complaints:
complaints regarding the number of hours captioned; and complaints
regarding other captioning issues not related to the number of hours
captioned (*e.g*., technical problems resulting in missing or
garbled captions).[^84] TDI also encourages the Commission to
develop and make available on its website a standard captioning
complaint form that may be used by consumers to file written
complaints with the relevant video programming
distributor/producer.[^85]
29. NCTA opposes any change to the closed captioning complaint process.
It states that *TDI's Petition* provides no evidence that adopting a
new rule is either a necessary or appropriate response.[^86] NCTA
states that, with respect to cable television, in the normal course,
captioning questions can be quickly resolved, but when necessary, it
may require time to determine why a particular show is not
captioned. NCTA questions whether cable operators or programmers
have waited until the end of the calendar quarter to respond to
complaints. Lastly, NCTA notes that cable customer service rules
contain aggressive guidelines for resolving service interruptions
and responding to consumer inquiries.[^87]
30. As the Commission noted in the *Reconsideration Order*, part of the
rationale for giving video programming distributors additional time
to respond to consumer complaints was that distributors might have
to seek additional information from various video programming
providers before responding to consumer complaints.[^88] Given that,
effective January 1, 2006, all nonexempt new programming must be
captioned, it may be inconsistent to allow video programming
distributors more than 45 days in which to contact a programmer to
determine whether a given program is exempt before responding to a
captioning complaint. In addition, it may be appropriate that a
consumer who is faced with a sudden loss of captioning should have a
quicker means of recourse than writing a complaint and waiting for a
response that could take two months or longer.
31. As such, we seek comment on whether the Commission should revise the
current rule to allow for shorter complaint and response times. We
seek comment on what those time frames should be. We also seek
comment on whether complainants should be permitted to complain
directly to the Commission without complaining to the video
programming distributor first. If we decide to retain the current
complaint process, should the filing and response deadlines be
revised, and if so, how?
32. ***Accessibility of Contact Information.*** We seek comment on
whether the rules should be amended to allow consumers to complain
about closed captioning directly and immediately to video
programming distributors either via email, phone or fax; and,
whether distributors should be required to provide the name or phone
numbers for customer services on their websites, and in bills and
telephone directories. We also seek comment on whether placement of
customer service information in telephone directories and on
websites may be appropriate in the case of broadcast services, since
these are not subscription services with corresponding bills.
33. The *TDI Petition* requests that the Commission require video
programming distributors to post complete contact information on
their websites, update this information on a routine basis, and
provide the information to the FCC for posting on its website. NCTA
argues, however, that the Commission should not adopt a rule
requiring that video programming distributors that send bills to
consumers be required to include in those bills specific contact
information for submitting captioning complaints. NCTA notes that
cable operators already have customer service representatives (CSRs)
that can assist customers in resolving complaints, making a separate
point of contact for captioning complaints unnecessary.[^89] We seek
comment on this issue.
34. Given that the method by which deaf and hard of hearing people
communicate by telephone with hearing people differs from the method
used when two hearing people communicate, we seek comment on the
experiences that deaf and hard of hearing people have had when
contacting video programming distributors to complain or ask
questions, and seek comment from distributors regarding their
experiences in this area.[^90]
35. ***Standardized Captioning Complaint Form***. The *TDI Petition*
asked the Commission to develop and make available on its website a
captioning form that consumers can opt to use when filing written
complaints with a video programming distributor/producer similar to
the Commission's Form 475 used for general telephone complaints and
Form 501 for slamming complaints.[^91] TDI stresses that this
complaint form should be optional so that the consumer has other
options when filing complaints and submitted a sample complaint form
as Exhibit A in their Petition.[^92] The Commission seeks comment on
whether such a captioning complaint form would be useful.
36. ***Fines and Penalties for Failure to Caption.*** Neither the
Commission's closed captioning rules nor the Commission's Guidelines
for Assessing Forfeitures set specific forfeiture amounts for
violations of the closed captioning rules.[^93] The *TDI Petition*
argues that as new, more technically-advanced methods of
transmitting programming, such as digital television, become more
prevalent, the marketplace has failed to ensure compliance with the
captioning requirements.[^94] The *TDI Petition* contains the
results of a recent nationwide sampling of locally broadcast digital
television programming, conducted by WGBH's National Center for
Accessible Media (NCAM), which showed that 35% of local digital
television stations [failed to provide any closed
captioning]{.underline} and only 20% provided captions in compliance
with the Commission's caption decoder rules (47 CFR § 15.122).[^95]
37. TDI proposes the establishment of punitive measures, such as
specific fines, for noncompliance with the Commission's captioning
rules.[^96] TDI states that "\[s\]uch a forfeiture would create a
financial incentive for video programming distributors or providers
to comply with the Commission's benchmarks," and proposes an \$8,000
per violation base forfeiture amount for violations of the
captioning benchmark requirements, with each hour of programming
below the applicable benchmark being counted as a separate
violation.[^97] TDI suggests that, in January 2006, when 100%
captioning is required for new non-exempt programming, the \$8,000
per violation fine should apply for every hour of new programming
that is not captioned.[^98] TDI believes that increased enforcement
measures are required to provide incentives for the regulated
industry to comply with the rules and to ensure captioning quality,
reliability, and availability.[^99]
38. NCTA argues that these suggested punitive measures are unwarranted,
and that the authority already exists for the Commission to impose
penalties for violations of the rules. NCTA argues that occasional
glitches provide no basis for assuming each program that fails to
provide the required captions merits a fine.[^100] NCTA states that
fines may be appropriate in the case of willful or repeated failure
to comply with the rules, but that inadvertent mistakes or
occasional technical problems provide no basis for assuming each
program that fails to provide required captions merits a fine.[^101]
39. Section 79.1(g)(8) states: "If the Commission finds that a violation
has occurred, penalties may be imposed, including a requirement that
the video programming distributor deliver video programming
containing closed captioning in an amount exceeding that specified
in paragraph (b) of this section in a future time period."[^102] The
Commission's *Forfeiture Guidelines* do not contain any specific
guidelines regarding forfeitures for violations of the closed
captioning rules. We seek comment on whether the Commission should
establish specific per violation forfeiture amounts for
non-compliance with the captioning rules, and if so, what those
amounts should be. We direct commenters to Section 1.80(b) of the
Commission's rules for guidance on existing forfeitures for
violations of other Commission rules.
40. ***Compliance Reports***. In the *Closed Captioning Report and
Order*, the Commission placed the responsibility for compliance with
the closed captioning requirements on video programming
distributors, both for efficient monitoring and enforcement of the
rules, as well as to allow for a convenient, single entity to
address complaints.[^103] The Commission did not adopt reporting
requirements for distributors or require the filing of periodic
reports showing compliance with the closed captioning rules, stating
that such requirements would be unduly burdensome and
administratively cumbersome.[^104] In order to address potential
complaints, the Commission stated that video programming
distributors are required to "maintain records sufficient to
demonstrate compliance."[^105] On reconsideration, the Commission
did not disturb its decision regarding compliance reporting.[^106]
41. TDI asserts that the lack of reporting requirements "has seriously
hampered the effectiveness of the captioning rules and the ability
of captioning consumers, their advocates, and the Commission itself
to monitor compliance with the captioning rules."[^107] TDI states
that with very few exceptions, "the Commission and captioning
consumers have no means of determining whether video programming
distributors have complied with the captioning benchmarks for each
channel, for each calendar quarter, since the rules went into
effect\[.\]"[^108] Further, TDI states that, "\[p\]etitioners fear
that the lack of a benchmark reporting requirement has created a
situation where many providers are unaware that they are out of
compliance with the benchmarks\[.\]"[^109] TDI asserts that even
after the January 1, 2006, deadline, "the creation of a benchmark
reporting requirement would assist in the determination of whether
providers are in compliance with the Commission's benchmarks for
pre-rule non-exempt programming and for Spanish-language
programming."[^110] TDI proposes that the Commission require MVPDs
and broadcasters to certify compliance with the captioning rules to
the Commission, on a quarterly basis, within 30 days following the
end of the previous quarter.[^111]
42. NCTA argues that the Commission should not impose burdensome
recordkeeping requirements and notes that the Commission previously
rejected a proposal to enforce its captioning rules through a
reporting obligation.[^112] NCTA also notes that the Commission
allows cable operators to rely on certifications of compliance from
various networks they carry, and that many cable operators request
these certifications in writing.[^113] NCTA states that, with
several hundred channels on a given cable system, this is the only
practical way for a cable operator to confirm it is in compliance
with the rules.[^114] NCTA argues that maintaining and posting
captioning reports on a quarterly basis would impose a significant
paperwork and recordkeeping burden on the part of cable
operators.[^115]
43. The Commission seeks comment on requiring video programming
distributors to file compliance reports as to the amount of closed
captioning they provide. Should the Commission require such reports
to be filed? If so, how often should they be filed? How should they
be filed? Should the reports include information relating to new
non-exempt programming or only information pertaining to pre-rule
non-exempt and Spanish-language programming? How would a reporting
requirement be implemented? In the event we were to impose a
reporting requirement for closed captioning, we seek comment on
whether distributors would be able to rely on certifications from
programmers that the programming contains closed captioning. Are
there alternative methods to verify compliance? If we do or do not
impose a reporting requirement, we seek comment on whether the
Commission's rules should be amended to place a greater burden on
video programming distributors to ensure that the programming they
carry is captioned, regardless of the assurances they receive from
programmers. We seek comment on any other issues regarding
compliance reporting requirements.
44. ***Use of Electronic Newsroom Technique***. In the *Closed
Captioning Report and Order*, the Commission declined to adopt any
limits on the methodology that can be used to create closed
captioning and permitted the use of electronic newsroom technique
(ENT), in which the captions come from the text in the station's
news script computers.[^116] Only text transmitted from the
scripting computers to the teleprompters is captioned.[^117]
Unscripted material, such as breaking news, live reports from the
field, and some weather and sports reports, that do not appear on
the teleprompter are not typically captioned by this method.[^118]
45. In the *Closed Captioning Report and Order*, the Commission allowed
the use of ENT so as not to place any limits on the methodology used
to create closed captioning and because of the record's conflicting
accounts as to the number of real-time captioners available for live
newscasts where ENT could be used as an alternative.[^119] At the
same time, the Commission raised concerns that since certain
portions of live newscasts remain uncaptioned when using ENT, this
method is not the "functional equivalent" of the audio portion of
the programming.[^120] On reconsideration, the Commission noted the
limitations of ENT, especially with regard to field reports and late
breaking weather and sports reports, and narrowed the circumstances
in which captions created with ENT could be counted toward the
closed captioning requirement.[^121] As a result of that decision,
as of January 1, 2000, most video programming providers in the
largest 25 television markets were no longer allowed to count ENT
captioning toward compliance with the Commission's closed captioning
requirements.[^122] On reconsideration, the Commission prohibited
the major national broadcast networks (*i.e.*, ABC, CBS, Fox and
NBC), affiliates of these networks in the top 25 television markets
as defined by Nielsen's Designated Market Areas (DMAs), and national
nonbroadcast networks serving at least 50% of all homes subscribing
to multi-channel video programming services from counting electronic
newsroom-captioned programming towards compliance with the closed
captioning rules.[^123] The Commission also stated that, whenever a
broadcast television station, a broadcast television network or a
nonbroadcast network satisfies one of these criteria, it becomes
subject to the limitations placed on the use of ENT for compliance
with the rules.[^124]
46. At the same time the Commission limited the circumstances in which
ENT captions could be used as a substitute for real time captioning,
the Commission suggested it would eventually phase out its
recognition of ENT captioning.[^125] The Commission noted that it
expected the ability to use ENT would "by far be the exception
rather than the general rule, and that only those entities that are
so small or who present unusual circumstances will be permitted to
continue to use EN\[T\] because live closed captioning would be an
economic burden."[^126]
47. The current rule provides that "\[l\]ive programming, or repeats of
programming originally transmitted live that are captioned using
\[\] 'electronic newsroom technique' will be considered captioned,
except that effective January 1, 2000, and thereafter, the major
national broadcast networks (i.e., ABC, CBS, Fox and NBC),
affiliates of these networks in the top 25 television markets as
defined by Nielsen's Designated Market Areas (DMAs) and national
nonbroadcast networks serving at least 50% of all homes subscribing
to multi-channel video programming services shall not count
electronic newsroom captioned programming towards compliance with
these rules."[^127]
48. TDI asks the Commission to extend the prohibition of counting ENT to
markets beyond the top 25 DMAs.[^128] TDI states that the use of ENT
should be disfavored because it "does not provide a quality
captioned end product to consumers."[^129] NCTA opposes TDI's
suggestion, noting that the costs of live captioning "still remain
significant, particularly for local cable news operations that often
operate 24 hours a day, and that between the high costs and the
significant shortage of captioners, additional live captioning
obligations should not be imposed at this time."[^130] NCTA notes
that, although ENT captioning can only provide captions for
pre-recorded material, it does allow many more live newscasts to be
captioned than might otherwise be affordable.[^131] We seek comment
on TDI's proposal regarding ENT. We also seek comment on whether the
rationale that led to the Commission permitting the use of ENT by
some distributors, due to ENT's lower cost, is still relevant.[^132]
It appears that the cost of captioning has decreased substantially
since the *1996 Report to Congress*.[^133] Have captioning costs
decreased such that little hardship would result if the Commission
were to further limit the circumstances under which captions created
using electronic newsroom technique would be allowed to count as
captioned programming?
49. ***Availability of Captioners.*** In arriving at the transition
schedule for implementing closed captioning, the Commission
acknowledged the limited number of available captioners and
captioning services in existence, as well as the anticipated
increase in demand for captioning services as a result of Section
713.[^134] In arriving at an eight-year phase in period for
captioning 100% of new programming, the Commission weighed the needs
of deaf and hard of hearing individuals with the ability of the
programming industry to meet the demand for increased
captioning.[^135]
50. In this NPRM, we seek comment on the supply of captioners available
for real-time and pre-recorded captioning. We also seek comment on
the number of companies providing closed captioning services. We
seek comment on the impact that imposing a quality standard, if
adopted, will have on the supply of captioners.
51. We note that legislation is pending before Congress that, if passed,
would authorize the Department of Commerce's National
Telecommunications and Information Administration (NTIA) to provide
competitive grants for training court reporters and closed
captioners.[^136] The proposed legislation states: "Over the past
decade, student enrollment in programs that train realtime writers
and closed captioners has decreased by 50 percent, even though job
placement upon graduation is 100 percent."[^137] We seek comment on
what other steps could be taken to encourage individuals to train
and become captioners.
52. ***Electronic Filing of Exemption Requests***. In the *Closed
Captioning Report and Order,* the Commission stated that entities
requesting an exemption based on an undue burden from the closed
captioning rules would be required to petition the Commission for
that exemption.[^138] The Commission recognized that the Internet
and e-mail provides persons with hearing disabilities increased
accessibility to Commission activities and noted that the possible
use of electronic filing was being explored in a separate
proceeding.[^139] This electronic filing proceeding did not
ultimately make a decision as to electronic filings for situations
beyond rulemaking-related proceedings, such as petitions.[^140] The
Commission encouraged parties filing petitions for exemptions under
the undue burden standard to include a disk containing an electronic
version of their filing so the petition could be posted on the
Commission's website, making it more accessible.[^141]
53. Currently, Section 79.1 of the Commission's rules requires that a
petition for a full or partial exemption from the closed captioning
requirements based on an undue burden must be filed with the
Commission in writing, placed on public notice, and permit
interested persons to file comments or oppositions to the
petition.[^142] Due to the nature of this process, the petition
itself is generally not available electronically, unless a disk
containing an electronic version of the petition is submitted.
Rather, interested parties must come to the Commission's Reference
Information Center or contact the Commission's copy contractor to
retrieve a hardcopy version of the petition, in order to file
comments or oppositions.[^143] In comments filed in the *11^th^
Annual Video Competition Report* proceeding, the National
Association for the Deaf (NAD) recommended that the Commission
reduce the administrative delay in processing petitions for
exemption.[^144] We seek comment on requiring electronic filing for
petitions for exemption from the Commission's closed captioning
rules under the undue burden standard of Section 79.1(f). What
impact would such a requirement have on entities filing such
petitions, as well as on parties, including consumers, wishing to
file comments or oppositions to the petition? We seek comment on
whether electronic filing should be mandated or merely allowed. We
seek comment on whether an electronic filing requirement would
reduce the perceived delay in processing such petitions, as noted by
NAD.
## Other Issues Raised in the TDI Petition
54. The *TDI Petition* seeks review of several other aspects of the
closed captioning rules. These remaining *issues* are already
addressed in the Commission's rules, and we take this opportunity to
remind video programming distributors and programmers of their
obligations.
55. ***Pass Through of Original Captioning.*** First, TDI notes the
failure of many distributors to pass through captioning that they
receive and to ensure that captioning is not garbled and is
complete, even during the transitions between programs and into/out
of commercials (which are not currently required to be
captioned).[^145] Section 79.1(c) requires distributors to deliver
all programming they receive that contains closed captioning to
consumers with the captions intact (*i.e*., pass through the
original captions). This requires distributors to ensure that their
equipment is working properly in order to meet this rule.[^146]
56. ***Reformatting of Closed Captions.*** TDI also notes that many
programs are not reformatted, and asks the Commission to require
distributors to reformat previously captioned programming that has
been edited or compressed in order for the distributors to have
proper procedures in place for reformatting in anticipation of the
January 1, 2006, 100% benchmark date. In order for distributors to
comply with the January 1, 2006, 100% benchmark, they will be
required to pass through any original captions intact, and
re-caption the programming, or reformat edited or compressed
programming that contains captioning.[^147]
57. ***Benchmark Compliance Audits.*** Lastly, TDI requests a rulemaking
to authorize the use of benchmark compliance audits. NCTA notes that
the Commission already stated that it would conduct random audits of
captioning similar to the audits used to monitor compliance with
other rules.[^148] Given that the Commission already has the
authority to conduct audits regarding video programming
distributors' compliance with the closed captioning rules, we do not
think it is necessary to seek comment on this issue.[^149]
# CONCLUSION
58. We initiate this proceeding to assess how the Commission's closed
captioning rules are succeeding in ensuring that video programming
is accessible to the millions of deaf and hard of hearing Americans
and whether any revisions should be made to enhance the
effectiveness of those rules. After review of the record we will
determine what rules or other next steps are appropriate. Finally,
we welcome comment on any other issues relevant to the topics
addressed in this NPRM.
# procedural matters
59. Pursuant to sections 1.415 and 1.419 of the Commission's rules, 47
CFR §§ 1.415, 1.419, interested parties may file comments and reply
comments on or before the dates indicated on the first page of this
document. Comments may be filed using: (1) the Commission's
Electronic Comment Filing System (ECFS), (2) the Federal
Government's eRulemaking Portal, or (3) by filing paper
copies.[^150] For additional information on this proceeding, please
contact Amelia Brown in the Consumer & Governmental Affairs Bureau,
Disability Rights Office at (202) 418-2799.
60. [Electronic Filers]{.underline}: Comments may be filed
electronically using the Internet by accessing the ECFS:
<http://www.fcc.gov/cgb/ecfs/> or the Federal eRulemaking Portal:
[http://www.regulations.gov](http://www.regulations.gov/). Filers
should follow the instructions provided on the website for
submitting comments.
■ [For ECFS Filers]{.underline}, if multiple docket or rulemaking
numbers appear in the caption of this poceeding, filers must
transmit one electronic copy of the comments for each docket or
rulemaking number referenced in the caption. In completing the
transmittal screen, filers should include their full name, U.S.
Postal Service mailing address, and the applicable docket or
rulemaking number. Parties may also submit an electronic comment by
Internet e-mail. To get filing instructions, filers should send an
e-mail to <[email protected]>, and include the following words in the
body of the message, "get form." A sample form and directions will
be sent in response.
61\. [Paper Filers]{.underline}: Parties who choose to file by paper
must file an original and four copies of each filing. If more than
one docket or rulemaking number appears in the caption of this
proceeding, filers must submit two additional copies for each
additional docket or rulemaking number. Filings can be sent by hand
or messenger delivery, by commercial overnight courier, or by
first-class or overnight U.S. Postal Service mail (although we
continue to experience delays in receiving U.S. Postal Service
mail). All filings must be addressed to the Commission's Secretary,
Office of the Secretary, Federal Communications Commission.
62\. The Commission's contractor will receive hand-delivered or
messenger-delivered paper filings for the Commission's Secretary at 236
Massachusetts Avenue, NE., Suite 110, Washington, DC 20002. The filing
hours at this location are 8:00 a.m. to 7:00 p.m. All hand deliveries
must be held together with rubber bands or fasteners. Any envelopes must
be disposed of *before* entering the building.
> ■ Commercial overnight mail (other than U.S. Postal Service Express
> Mail and Priority Mail) must be sent to 9300 East Hampton Drive,
> Capitol Heights, MD 20743.
■ U.S. Postal Service first-class, Express, and Priority mail should be
addressed to 445 12^th^ Street, SW, Washington DC 20554.
Comments and reply comments must include a short and concise summary of
the substantive discussion and questions raised in the NPRM. We further
direct all interested parties to include the name of the filing party
and the date of the filing on each page of their comments and reply
comments. We strongly encourage that parties track the organization set
forth in this NPRM in order to facilitate our internal review process.
Comments and reply comments must otherwise comply with section 1.48 and
all other applicable sections of the Commission's rules.[^151]
63\. [People with Disabilities]{.underline}: To request materials in
accessible formats for people with disabilities (braille, large print,
electronic files, audio format), send an e-mail to <[email protected]> or
call the Consumer & Governmental Affairs Bureau at 202-418-0530 (voice),
202-418-0432 (TTY).
64\. [Ex Parte Rules.]{.underline} These matters shall be treated as a
"permit-but-disclose" proceeding in accordance with the Commission's *ex
parte* rules.[^152] Persons making oral *ex parte* presentations are
reminded that memoranda summarizing the presentations must contain
summaries of the substance of the presentations and not merely a listing
of the subjects discussed. More than a one or two sentence description
of the views and arguments presented is generally required.[^153] Other
requirements pertaining to oral and written presentations are set forth
in section 1.1206(b) of the Commission's rules.
65\. [Initial Regulatory Flexibility Analysis.]{.underline} With respect
to this NPRM, an Initial Regulatory Flexibility Analysis (IRFA), *see
generally*, 5 U.S.C. § 603, is contained in Appendix B. Comments must be
identified as responses to the IRFA and must be filed by the deadlines
for comments on the NPRM specified *supra*. The Commission will send a
copy of the NPRM, including the IRFA, to the Chief Counsel for Advocacy
of the Small Business Administration.[^154]
66\. [Initial Paperwork Reduction Act of 1995 Analysis.]{.underline}
This document contains proposed or modified information collection
requirements. The Commission, as part of its continuing effort to reduce
paperwork burdens, invites the general public and the Office of
Management and Budget (OMB) to comment on the information collection
requirements contained in this document, as required by the Paperwork
Reduction Act of 1995, Public Law 104-13. Public and agency comments are
due 60 days after date of publication of this Notice in the Federal
Register. Comments should address: (a) whether the proposed collection
of information is necessary for the proper performance of the functions
of the Commission, including whether the information shall have
practical utility; (b) the accuracy of the Commission\'s burden
estimates; (c) ways to enhance the quality, utility, and clarity of the
information collected; and (d) ways to minimize the burden of the
collection of information on the respondents, including the use of
automated collection techniques or other forms of information
technology. In addition, pursuant to the Small Business Paperwork Relief
Act of 2002, Public Law 107-198, *see* 44 U.S.C. 3506(c)(4), we seek
specific comment on how we might "further reduce the information
collection burden for small business concerns with fewer than 25
employees."
# ordering clauseS
67\. IT IS ORDERED, that pursuant to sections 4(i), 303(r) and 713 of
the Communications Act of 1934, as amended, 47 U.S.C. §§ 154(i), 303(r)
and 713, this Notice of Proposed Rulemaking is hereby ADOPTED.
68\. IT IS FURTHER ORDERED that the Commission\'s Consumer &
Governmental Affairs Bureau, Reference Information Center, SHALL SEND a
copy of this Notice of Proposed Rulemaking, including the Initial
Regulatory Flexibility Analysis, to the Chief Counsel for Advocacy of
the Small Business Administration.
> FEDERAL COMMUNICATIONS COMMISSION
Marlene H. Dortch
Secretary
**APPENDIX A**
TV Captioning Complaint Form
(As submitted by TDI)
Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Mailing Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Email Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Phone Number:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ check
one -- ()TTY () Voice
Fax Number:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Preferred Method of Contact:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
When did you have this captioning problem? Month \_\_\_\_\_\_ Day
\_\_\_\_\_ Year \_\_\_\_\_
Which TV Program did you notice had the problem?
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Program was on: TV Station \_\_\_\_\_\_\_\_\_\_\_ Cable Company and
channel: \_\_\_\_\_\_\_
Satellite provider \_\_\_\_\_
Program lasted from \_\_\_\_p.m/a.m. to \_\_\_\_ p.m./a.m.
Captioning problem occurred around on \_\_\_\_\_ p.m./a.m. and ended
around on \_\_\_\_\_ p.m./a.m.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
What was the problem with captioning?
**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
Did you attempt to contact someone to discuss the problem? Yes\_\_\_
No\_\_\_\_
Were you successful? Yes \_\_\_\_ No \_\_\_\_
If No, why not?
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
If Yes, Date of Contact:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Person contacted:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Were you given a Reference Number or a Tracking Number? Yes \_\_\_\_ No
\_\_\_\_
Reference or Tracking Number (if applicable):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Name of TV Station/Cable Provider/Network:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
What was the response?
**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
Other comments (if needed)
**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
**APPENDIX B**
**INITIAL REGULATORY FLEXIBILITY ANALYSIS**
1\. As required by the Regulatory Flexibility Act of 1980, as
amended,[^155] the Commission has prepared this Initial Regulatory
Flexibility Analysis of the possible significant economic impact on a
substantial number of small entities by the policies and rules proposed
in the Notice of Proposed Rulemaking. Written public comments are
requested on this IRFA. Comments must be identified as responses to the
IRFA and must be filed by the deadlines for comments on the Notice of
Proposed Rulemaking provided in the item. The Commission will send a
copy of this entire Notice of Proposed Rulemaking (\"NPRM\"), including
this IRFA, to the Chief Counsel for Advocacy of the Small Business
Administration (\"SBA\").[^156] In addition, the Notice of Proposed
Rulemaking and the IRFA (or summaries thereof) will be published in the
Federal Register.[^157]
**A. Need For, and Objectives of, the Proposed Rules.**
2\. We initiate this review relating to closed captioning in response to
several compliance and quality issues raised in a Petition for
Rulemaking filed by Telecommunications for the Deaf, Inc., the National
Association of the Deaf, Self Help for Hard of Hearing People, Inc., the
Association for Late Deafened Adults, and the Deaf and Hard of Hearing
Consumer Advocacy Network. This rulemaking proceeding will examine the
current status of the Commission's closed captioning rules with the goal
of ensuring that video programming is accessible to deaf and hard of
hearing Americans. This Notice also serves as a follow-up to the
Commission's prior assurances at the time the closed captioning rules
were adopted that certain captioning provisions would be reviewed and
evaluated at a future date. As described more fully below, this Notice
seeks to determine whether any revisions should be made to enhance the
effectiveness of those rules. In addition, given that, effective January
1, 2006, all nonexempt new programming must be captioned, we believe
this is an excellent opportunity to renew the discussion related to
closed captioning and remind programmers and distributors of their
obligations in order to ensure that video programmers and distributors
are prepared to fulfill this requirement. In particular, the Notice
seeks comment on establishing standards for the non-technical quality of
closed captioning, the potential costs for programmers and distributors,
the availability of competent captioners to meet a non-technical quality
standard mandate, and establishing different non-technical quality
standards for pre-produced versus live programming. In addition, the
Notice seeks comment on whether additional mechanisms and procedures,
beyond those already in the Commission's rules, are necessary to prevent
technical problems from occurring and to expeditiously remedy any
technical problems that do arise. The Notice also seeks comment on video
programming distributors' responsibility to monitor and maintain their
equipment and signal transmissions, and whether specific mechanisms
should be established for monitoring and maintenance. Additionally, the
Notice seeks comment on whether to revise the current rule to allow for
shorter complaint and response times, what those time frames should be,
and whether complainants should be permitted to complain directly to the
Commission without complaining to the video programming distributor
first. Further, the Notice seeks comment on requiring video programming
distributors to file compliance reports as to the amount of closed
captioning they provide, and any alternative methods available to verify
compliance.
B. **Legal Basis.**
3\. The authority for this proposed rulemaking is contained in Sections
4(i), 303(r) and 713 of the Communications Act of 1934, as amended, 47
U.S.C. §§ 154(i), 303(r) and 713.
**C. Description and Estimate of the Number of Small Entities Impacted**
4\. The RFA directs agencies to provide a description of, and where
feasible, an estimate of the number of small entities that may be
affected by the proposed rules and policies, if adopted.[^158] The RFA
generally defines the term \"small entity\" as having the same meaning
as the terms \"small business,\" \"small organization,\" and \"small
governmental jurisdiction.\"[^159] In addition, the term \"small
business\" has the same meaning as the term \"small business concern\"
under the Small Business Act.[^160] A \"small business concern\" is one
which: (1) is independently owned and operated; (2) is not dominant in
its field of operation; and (3) satisfies any additional criteria
established by the SBA.[^161]
5\. Cable and Other Program Distribution. This category includes among
others, cable systems operators, closed circuit television services,
direct broadcast satellite services, home satellite dish services,
multipoint distribution systems, multichannel multipoint distribution
service, satellite master antenna television systems, and subscription
television services. The SBA has developed a small business size
standard for this census category, which includes all such companies
generating \$12.5 million or less in revenue annually.[^162] According
to Census Bureau data for 1997, there were a total of 1,311 firms in
this category, that had operated for the entire year.[^163] Of this
total, 1,180 firms had annual receipts of under \$10 million and an
additional 52 firms had receipts of \$10 million or more but less than
\$25 million. Consequently, the Commission estimates that the majority
of providers in this service category are small businesses that may be
affected by the rules and policies involved herein.
6\. Cable and Other Subscription Programming. Entities in this category
"primarily engag\[e\] in operating studios and facilities for the
broadcasting of programs on a subscription or fee basis. The broadcast
programming is typically narrowcast in nature (e.g., limited format,
such as news, sports, education, or youth-oriented). These
establishments produce programming in their own facilities or acquire
programming from external sources."[^164] The SBA has developed a small
business size standard for this category; that size standard is \$12.5
million or less in average annual receipts.[^165] According to Census
Bureau data for 1997, there were 234 firms in this category that
operated for the entire year.[^166] Of these, 188 had annual receipts of
under \$10 million, and an additional 16 firms had receipts of between
\$10 million and \$24,999,999. Consequently, we estimate that the
majority of these firms are small entities that may be affected by our
action. In addition, limited preliminary census data for 2002 indicate
that the total number of Cable and Other Subscription Programming
entities increased approximately 44.5 percent from 1997 to 2002.[^167]
7\. Cable System Operators (Rate Regulation Standard). The Commission
has developed its own small business size standard for cable system
operators, for purposes of rate regulation. Under the Commission\'s
rules, a \"small cable company\" is one serving fewer than 400,000
subscribers nationwide.[^168] The most recent estimates indicate that
there were 1,439 cable operators who qualified as small cable system
operators at the end of 1995.[^169] Since then, some of those companies
may have grown to serve over 400,000 subscribers, and others may have
been involved in transactions that caused them to be combined with other
cable operators. Consequently, the Commission estimates that there are
now fewer than 1,439 small entity cable system operators that may be
affected by the rules and policies involved herein.
8\. Cable System Operators (Telecom Act Standard). The Communications
Act of 1934, as amended, also contains a size standard for small cable
system operators, which is \"a cable operator that, directly or through
an affiliate, serves in the aggregate fewer than 1 percent of all
subscribers in the United States and is not affiliated with any entity
or entities whose gross annual revenues in the aggregate exceed
\$250,000,000.\" [^170] The Commission has determined that there are
67,700,000 subscribers in the United States.[^171] Therefore, an
operator serving fewer than 677,000 subscribers shall be deemed a small
operator, if its annual revenues, when combined with the total annual
revenues of all its affiliates, do not exceed \$250 million in the
aggregate.[^172] Based on available data, the Commission estimates that
the number of cable operators serving 677,000 subscribers or fewer,
totals 1,450.[^173] The Commission neither requests nor collects
information on whether cable system operators are affiliated with
entities whose gross annual revenues exceed \$250 million,[^174] and
therefore are unable, at this time, to estimate more accurately the
number of cable system operators that would qualify as small cable
operators under the size standard contained in the Communications Act of
1934.
9\. Cable Television Relay Service. This service includes transmitters
generally used to relay cable programming within cable television system
distribution systems. The SBA has defined a small business size standard
for Cable and other Program Distribution, consisting of all such
companies having annual receipts of no more than \$12.5 million.[^175]
According to Census Bureau data for 1997, there were 1,311 firms in the
industry category Cable and Other Program Distribution, total, that
operated for the entire year.[^176] Of this total, 1,180 firms had
annual receipts of \$10 million or less, and an additional 52 firms had
receipts of \$10 million or more but less than \$25 million.[^177] Thus,
under this standard, we estimate that the majority of providers in this
service category are small businesses that may be affected by the rules
and policies involved herein.
10\. Direct Broadcast Satellite (\"DBS\") Service. DBS service is a
nationally distributed subscription service that delivers video and
audio programming via satellite to a small parabolic \"dish\" antenna at
the subscriber\'s location. Because DBS provides subscription services,
DBS falls within the SBA-recognized definition of Cable and Other
Program Distribution.[^178] This definition provides that a small entity
is one with \$12.5 million or less in annual receipts.[^179] Currently,
only four operators hold licenses to provide DBS service, which requires
a great investment of capital for operation. All four currently offer
subscription services. Two of these four DBS operators, DirecTV[^180]
and EchoStar Communications Corporation (\"EchoStar\"),[^181] report
annual revenues that are in excess of the threshold for a small
business. A third operator, Rainbow DBS, is a subsidiary of
Cablevision\'s Rainbow Network, which also reports annual revenues in
excess of \$12.5 million, and thus does not qualify as a small
business.[^182] The fourth DBS operator, Dominion Video Satellite, Inc.
(\"Dominion\"), offers religious (Christian) programming and does not
report its annual receipts.[^183] The Commission does not know of any
source which provides this information and, thus, we have no way of
confirming whether Dominion qualifies as a small business. Because DBS
service requires significant capital, we believe it is unlikely that a
small entity as defined by the SBA would have the financial wherewithal
to become a DBS licensee. Nevertheless, given the absence of specific
data on this point, we acknowledge the possibility that there are
entrants in this field that may not yet have generated \$12.5 million in
annual receipts, and therefore may be categorized as a small business,
if independently owned and operated.
11\. Local Multipoint Distribution Service. Local Multipoint
Distribution Service (LMDS) is a fixed broadband point-to-multipoint
microwave service that provides for two-way video
telecommunications.[^184] The auction of the 986 Local Multipoint
Distribution Service (LMDS) licenses began on February 18, 1998 and
closed on March 25, 1998. The Commission established a small business
size standard for LMDS licenses as an entity that has average gross
revenues of less than \$40 million in the three previous calendar
years.[^185] An additional small business size standard for \"very small
business\" was added as an entity that, together with its affiliates,
has average gross revenues of not more than \$15 million for the
preceding three calendar years.[^186] The SBA has approved these small
business size standards in the context of LMDS auctions.[^187] There
were 93 winning bidders that qualified as small entities in the LMDS
auctions. A total of 93 small and very small business bidders won
approximately 277 A Block licenses and 387 B Block licenses. On March
27, 1999, the Commission re-auctioned 161 licenses; there were 32 small
and very small businesses winning that won 119 licenses.
12\. Multipoint Distribution Service, Multichannel Multipoint
Distribution Service, and Instructional Television Fixed Service.
Multichannel Multipoint Distribution Service (MMDS) systems, often
referred to as \"wireless cable,\" transmit video programming to
subscribers using the microwave frequencies of the Multipoint
Distribution Service (MDS) and Instructional Television Fixed Service
(ITFS).[^188] In connection with the 1996 MDS auction, the Commission
defined \"small business\" as an entity that, together with its
affiliates, has average gross annual revenues that are not more than
\$40 million for the preceding three calendar years.[^189] The SBA has
approved of this standard.[^190] The MDS auction resulted in 67
successful bidders obtaining licensing opportunities for 493 Basic
Trading Areas (BTAs).[^191] Of the 67 auction winners, 61 claimed status
as a small business. At this time, we estimate that of the 61 small
business MDS auction winners, 48 remain small business licensees. In
addition to the 48 small businesses that hold BTA authorizations, there
are approximately 392 incumbent MDS licensees that have gross revenues
that are not more than \$40 million and are thus considered small
entities.[^192]
Concerning ITFS, we note that educational institutions are included in
this analysis as small entities.[^193] There are currently 2,032 ITFS
licensees, and all but 100 of these licenses are held by educational
institutions. Thus, we tentatively conclude that at least 1,932 ITFS
licensees are small businesses.
13\. Open Video Services. Open Video Service (OVS) systems provide
subscription services.[^194] The SBA has created a small business size
standard for Cable and Other Program Distribution.[^195] This standard
provides that a small entity is one with \$12.5 million or less in
annual receipts. The Commission has certified approximately 100 OVS
operators to serve 75 areas, and some of these are currently providing
service.[^196] Affiliates of Residential Communications Network, Inc.
(RCN) received approval to operate OVS systems in New York City, Boston,
Washington, D.C., and other areas. RCN has sufficient revenues to assure
that they do not qualify as a small business entity. Little financial
information is available for the other entities that are authorized to
provide OVS and are not yet operational. Given that some entities
authorized to provide OVS service have not yet begun to generate
revenues, the Commission concludes that those OVS operators remaining
might qualify as small businesses that may be affected by the rules and
policies proposed herein.
14\. Television Broadcasting. The SBA defines a television broadcasting
station as a small business if such station has no more than \$12
million in annual receipts.[^197] Business concerns included in this
industry are those \"primarily engaged in broadcasting images together
with sound.\"[^198] According to Commission staff review of the BIA
Publications, Inc. Master Access Television Analyzer Database as of June
26, 2004, about 860 of the 1,270 commercial television stations in the
United States have revenues of \$12 million or less. We note, however,
that, in assessing whether a business concern qualifies as small under
the above definition, business (control) affiliations [^199] must be
included. Our estimate, therefore, likely overstates the number of small
entities that might be affected by our action, because the revenue
figure on which it is based does not include or aggregate revenues from
affiliated companies. There are also 2,127 low power television stations
(LPTV).[^200] Given the nature of this service, we will presume that all
LPTV licensees qualify as small entities under the SBA definition.
15\. In addition, an element of the definition of \"small business\" is
that the entity not be dominant in its field of operation. We are unable
at this time to define or quantify the criteria that would establish
whether a specific television station is dominant in its field of
operation. Accordingly, the estimate of small businesses to which rules
may apply do not exclude any television station from the definition of a
small business on this basis and are therefore over-inclusive to that
extent. Also as noted, an additional element of the definition of
\"small business\" is that the entity must be independently owned and
operated. We note that it is difficult at times to assess these criteria
in the context of media entities and our estimates of small businesses
to which they apply may be over-inclusive to this extent.
**D. Description of Projected Reporting, Recordkeeping and Other
Compliance Requirements.**
16\. The proposed rules may impose additional reporting or recordkeeping
requirements on a number of different entities. For example, the Notice
discusses whether video programming distributors should be required to
submit reports to the Commission certifying that they are complying with
monitoring and maintenance of equipment and signal transmissions. In
addition the NPRM asks whether video programming distributors should be
required to file compliance reports as to the amount of closed
captioning they provide. These proposals may impose additional reporting
or recordkeeping requirements on entities. We seek comment on the
possible burden these requirements would place on small entities. Also,
we seek comment on whether a special approach toward any possible
compliance burdens on small entities might be appropriate.
**E. Steps Taken to Minimize Significant Impact on Small Entities, and
Significant Alternatives Considered.**
17\. The RFA requires an agency to describe any significant alternatives
that it has considered in reaching its proposed approach, which may
include the following four alternatives (among others): (1) the
establishment of differing compliance or reporting requirements or
timetables that take into account the resources available to small
entities; (2) the clarification, consolidation, or simplification of
compliance or reporting requirements under the rule for small entities;
(3) the use of performance, rather than design, standards; and (4) an
exemption from coverage of the rule, or any part thereof, for small
entities.[^201] The Commission seeks comment on whether it should indeed
be the responsibility of the video programming distributor to monitor
and maintain equipment and signal transmissions and asks if specific
mechanisms should be in place and what would be the impact of such
mechanisms on distributors. The Notice notes that, alternatively, NCTA
points out that a distributor's responsibilities should not be unduly
burdensome and invites comment on this matter. The Notice also proposes
providing a standardized captioning complaint form for consumers, which
may be a useful tool to those filing complaints. In addition, the Notice
discusses allowing consumers to complain to video programming
distributors via e-mail, phone or fax, which is aimed at providing
easier options for consumers who have concerns regarding captioning
problems and seek more immediate redress. The NPRM also points out that
effective January 1, 2006, all nonexempt new programming must be
captioned. Video programming distributors and providers will have to
caption their programming. Generally, 100% compliance is required;
however, particular entities, and under certain circumstances small
entities, may be exempt from the captioning requirements if they qualify
for an exemption pursuant to Section 79.1(d) which provides for exempt
programs and providers meeting the particular qualifications cited in
the rule or/and if captioning presents an undue burden, pursuant to
Section 79.1(f) which allows parties to file a petition with the
Commission requesting an exemption from captioning upon a sufficient
showing that captioning would pose significant difficulty or expense.
**F. Federal Rules Which Duplicate, Overlap, or Conflict With, the**
**Commission\'s Proposals.**
> None.
**STATEMENT OF**
**CHAIRMAN KEVIN J. MARTIN**
Re: *Telecommunications Relay Services and Speech-to-Speech Services
for*
*Individuals with Hearing and Speech Disabilities*, Order (CC Docket No.
98-67,
CG Docket No. 03-123), FCC 05-141
*Telecommunications Relay Services and Speech-to-Speech Services for*
*Individuals with Hearing and Speech Disabilities*, Report and Order (CG
Docket
No. 03-123, CC Docket No. 98-67), FCC 05-140
*Telecommunications Relay Services and Speech-to-Speech Services for*
> *Individuals with Hearing and Speech Disabilities*, Order on
> Reconsideration (CC Docket No. 98-67, CG Docket No. 03-123), FCC
> 05-139
*Closed Captioning of Video Programming Telecommunications for the Deaf,
Inc.*
*Petition for Rulemaking*, Notice of Proposed Rulemaking (CG Docket No.
05-
231), FCC 05-142
The items that we adopt today should improve the quality of life for
individuals with hearing or speech disabilities. One of the critical
functions of the Commission is to ensure that these individuals have
access to communications technologies in the same manner as people
without hearing or speech disabilities. Those consumers that rely on
Telecommunications Relay Services and Closed Captioning Services must
not be left out of the telecommunications revolution. In each of the
orders adopted today, we take measures to fulfill our statutory goal of
ensuring that every person has equal access to this nation's
communications services.
The four items adopted today coincide with the upcoming 15^th^
anniversary of President George H. W. Bush's signing of the Americans
with Disabilities Act (ADA) on July 26^th^ and the recent 25^th^
anniversary of closed captioning which occurred last March. With the
passage of the ADA in 1990, the Commission was directed to ensure that
hearing or speech disabilities not pose an impediment to communication.
I take this charge very seriously. Accessing communication services is
vital to the ability of the individuals with disabilities to participate
fully in society. The ADA specifically requires the Commission to ensure
that Telecommunications Relay Services (TRS) "are available, to the
extent possible and in the most efficient manner, to hearing-impaired
and speech-impaired individuals in the United States." In honor of the
15^th^ anniversary of this very important statute, we adopt several
items that make TRS more accessible to this community.
During the past 15 years, we have seen the evolution of TRS. Traditional
TTY service over regular phone lines has evolved into IP Relay and Video
Relay Services (VRS) used over Internet connections. VRS permits users
to participate in near real-time conversations in the users' primary
language, American Sign Language (ASL). Because of these features, its
popularity in the deaf and hard of hearing community has soared. For
example, the minutes of use of VRS have increased ten-fold in the past
two years and are continuing to grow at a phenomenal rate.
With the steps we take today, we expand the reach of the TRS fund to
compensate VRS translations between spoken Spanish and ASL as well as
two-line captioned phone service. In addition, we take an important step
to achieving adequate service quality of VRS by, for the first time,
imposing speed of answer and hours of service requirements. Just as a
hearing person can pick up the phone and immediately place a call, a
person with a disability should be able to reach his or her VRS provider
to place a call without experiencing unreasonable delays. We also begin
a rulemaking on whether our closed captioning rules are achieving our
goal of making video programming accessible to the millions of deaf and
hard of hearing Americans, and we ask whether any revisions should be
made to make these rules more effective.
The Commission is more committed than ever to ensuring that the goals of
the ADA are achieved. The actions we take today join the many others
that the Commission has taken over the years to eradicate the barriers
that stand in the way of functional equivalency. Functional equivalency
means individuals with disabilities having access to the same services
as everyone else. This equal access is vital to accessing jobs,
education, public safety, and simple communications with family,
friends, and neighbors.
Although there is still more to do in order to achieve functional
equivalence, I am proud of the items adopted today. I want to assure
those of you with hearing or speech disabilities that we will not stop
actively working to fulfill your need for functional equivalence. We
could not have taken today's actions without your valuable input. We
thank you for your participation in our proceedings and look forward to
working with you and the service providers to come up with solutions to
the next set of challenges that we intend to tackle. It is by working
together that we can best ensure that the tremendous advances in
communications are enjoyed by *all* Americans.
**STATEMENT OF**
**COMMISSIONER KATHLEEN Q. ABERNATHY**
> *Re: Telecommunications Relay Services and Speech-to-Speech Services
> for Individuals with Hearing and Speech Disabilities (CC Docket No.
> 98-67 and CG Docket No. 03-123), FCC 05-141*
>
> *Re: Telecommunications Relay Services and Speech-to-Speech Services
> for Individuals with Hearing and Speech Disabilities (CG Docket No.
> 03-123 and CC Docket No. 98-67), FCC 05-140*
>
> *Re: Telecommunications Relay Services and Speech-to-Speech Services
> for Individuals with Hearing and Speech Disabilities (CC Docket No.
> 98-67 and CG Docket No. 03-123), FCC 05-139*
>
> *Re: Closed Captioning of Video Programming and Telecommunications for
> the Deaf, Inc. Petition for Rulemaking (CG Docket No. 05-231), FCC
> 05-142*
Lou Ann Walker, a noted advocate for the hearing-impaired, once said
that the inability to *hear* is a nuisance, but the inability to
*communicate* is a tragedy. These four items will allow consumers with
hearing or speech impediments to communicate better by enabling them to
receive improved service from their telephones and televisions.
Many of the decisions this Commission is called upon to make involve
arcane matters with sometimes ambiguous results. That is not the case
here. The issues in these items could not be clearer, and the effects of
our rulings could not be more concrete. Today's decisions promise to
have a profound and positive impact on the lives of millions of
Americans living with hearing and speech disabilities. In short, I am
hopeful that by expanding access to TRS and VRS offerings, and by
opening a new proceeding to consider our closed captioning rules for
video programming, we are helping to turn tragedies into nuisances.
Of course, whenever we enhance offerings such as TRS, VRS, and closed
captioning, we must bear in mind the costs imposed by those offerings,
which are borne by all consumers. I am pleased that the TRS and VRS
items will dramatically expand access to these services *without*
significantly increasing the costs involved. I am also satisfied that
the *Notice of Proposed Rulemaking* on closed captioning seeks comment
on issues relating to cost and practicality, and will produce a full
record on those matters for the Commission's consideration.
Finally, I am particularly pleased that we have been able to resolve the
cost-containment questions raised by compensating Spanish-language VRS
from the Interstate TRS Fund. The record shows that Spanish is, by far,
the most widely used non-English language spoken in the United States.
It also demonstrates that the costs of providing ASL-to-Spanish VRS
service are not significantly greater than the costs associated with
ASL-to-English VRS service, a factor that was not clearly evident from
the prior record. In my judgment these factors warranted reevaluation,
and ultimately reversal, of our earlier decision denying compensation
for such services.
One of our most important responsibilities is to make sure that there
are no telecom "have-nots," and that the wealth of services provided by
today's new technologies are available to *all* consumers. These four
items, taken together, help to do just that.
**STATEMENT OF**
**COMMISSIONER MICHAEL J. COPPS**
Re: *Telecommunications Relay Services and Speech-to-Speech Services
for*
*Individuals with Hearing and Speech Disabilities*, Order (CC Docket No.
98-67,
CG Docket No. 03-123), FCC 05-141
*Telecommunications Relay Services and Speech-to-Speech Services for*
*Individuals with Hearing and Speech Disabilities*, Report and Order (CG
Docket
No. 03-123, CC Docket No. 98-67), FCC 05-140
*Telecommunications Relay Services and Speech-to-Speech Services for*
*Individuals with Hearing and Speech Disabilities*, Order on
Reconsideration
(CC Docket No. 98-67, CG Docket No. 03-123), FCC 05-139
*Closed Captioning of Video Programming Telecommunications for the Deaf,
Inc.*
*Petition for Rulemaking*, Notice of Proposed Rulemaking (CG Docket No.
05-
231), FCC 05-142
We all join in celebrating the fifteenth anniversary of the Americans
with Disabilities Act. It's hard to believe it's already been fifteen
years since Congress directed the Commission to ensure that people with
disabilities have access to functionally equivalent communications
services. "Functional equivalency" may sound like Washington jargon, but
for 54 million Americans it translates into equal opportunity, equal
rights and fuller participation in society.
We have come a long way in these fifteen years. And I am pleased that
the Commission has been a part of some of that progress---expanding TRS,
bringing new services like IP relay and VRS into the TRS fold, ensuring
hearing aid compatibility with wireless phones. But this would be a
hollow celebration if we did not also use this anniversary as a time of
rededication, a time of commitment to new goals and new challenges.
Because while the old obstacles of access and education and outreach
have not been resolved completely, new challenges, born of technology
and economic change, rise up to confront us.
The Commission takes on some of these challenges today. By finding that
two-line captioned telephone service is eligible for support from the
TRS fund, we expand functional equivalency for millions of Americans who
are hard of hearing. By developing speed of answer requirements for VRS,
we recognize that the ability to make a telephone call without delay is
fundamental to our concept of a "rapid, efficient, Nation-wide"
communications system. To date, VRS customers have endured unacceptably
long waiting times---sometimes, I am told, up to 30 minutes---before
being able to place a call. This kind of delay undermines functional
equivalency. So I am pleased that today we introduce speed of answer
standards that will pare down waiting time, without sacrificing the
quality of the interpreting service.
We also reverse last year's misguided decision to exclude some forms of
non-shared language TRS from reimbursement. As I pointed out at the
time, Spanish speakers are the fastest growing minority group in the
deaf school age population in the United States. For this population to
communicate in a functionally equivalent manner with their
Spanish-speaking parents, American Sign Language-Spanish VRS should be
eligible for compensation from the TRS fund. I am pleased that we
finally reach this conclusion here.
In addition to these actions on the TRS front, the Commission initiates
a Notice of Proposed Rulemaking to update our closed captioning
policies. For individuals who are deaf and hard of hearing, closed
captions provide a critical link to news, entertainment and emergency
information. By granting the petition for rulemaking filed by
Telecommunications for the Deaf, the National Association of the Deaf,
Self Help for Hard of Hearing People, the Association for Late Deafened
Adults and the Deaf and Hard of Hearing Consumer Advocacy Network, we
make an effort to keep our rules current and ensure that video
programming is accessible to everyone.
Though we make progress today, there are many issues that still need our
attention. There are open questions about equipment interoperability and
certification for national VRS providers. There is the need always for
more outreach and education. And, on another front, the disability
community is justly concerned about fallout from the U.S. Supreme Court
decision in *Brand X.* They do not want to see semantic exercises in
classification and reclassification deny them the victories they have
already won and the opportunities that new technologies hold for the
future.
So we have our work cut out for us. Even as we celebrate this fifteenth
anniversary, there is still a long and winding road to travel---rules to
be adopted, jobs to be secured, people to be appreciated for their
talents and humanity, hearts and minds to be really won over. Our
actions today represent some good strides down that road. I am pleased
to support them in full.
Finally, a note of appreciation for the Consumer and Governmental
Affairs Bureau. The Disability Rights Office is not the largest office
in this agency. But millions of Americans with disabilities---and their
friends, and their families, and their co-workers---are better off
because of the work of this office. Their efforts keep us all better
connected. Thank you.
**STATEMENT OF**
**COMMISSIONER JONATHAN S. ADELSTEIN**
*Re: In the Matter of Closed Captioning of Video Programming,
Accessibility of Programming Providing Emergency Information,
Telecommunications for the Deaf, Inc., Petition for Rulemaking, CG
Docket No. 05-231, Notice of Proposed Rulemaking.*
In light of the fifteenth anniversary of the Americans with Disabilities
Act, now is the time to review whether our closed captioning rules have
been successful at achieving the important goal of increasing access to
high quality video programming for the hearing-impaired community. I
fully support this Notice to seek comment on the adequacy of our current
closed captioning rules and on how the rules can be made more effective
and efficient.
Both Congress and the Commission have recognized how important it is
that *all* people have access to video programming, which is
increasingly affecting how we operate in the home, at the office, and at
school. When closed captioning is inaccurate, unavailable, or
unintelligible, millions of hearing-impaired individuals are excluded
from the opportunity to participate in political and cultural
experiences that shape our identity as Americans. For example, when
closed-captioning errors prevented many hearing-impaired viewers from
casting their vote for Fox television's program, "American Idol," these
viewers were prevented from being a part of this cultural event.
Television is increasingly the medium relied upon as the primary source
of local and national news, and a healthy democracy demands a
well-informed citizenry to make reasoned decisions about where our
country is and should be headed. Closed-captioning errors, however,
leave millions of Americans without access to this vital information and
uninformed. The consequences are even greater when the closed captioning
is providing emergency information.
As we prepare to review the current closed captioning rules, we must
remain committed to ensuring that video programming is not only
accessible, but also high quality. I am therefore pleased that this
Notice of Proposed Rulemaking addresses the issues of both technical and
non-technical standards for closed captioning. I am also pleased that
this Notice seeks comment on how the Commission can best ensure
compliance. We provide nothing but empty promises if our rules overlook
the critical means for monitoring and enforcement.
The Commission has already taken the important step of mandating that
non-exempt new programming be captioned as of January 1, 2006. Today's
rulemaking takes another step forward toward ensuring that the
hearing-impaired community receives functionally equivalent video
programming services. I commend my colleagues for their dedication to
confronting these issues that are so important for the deaf and hard of
hearing community, and I would like to thank the Consumer & Governmental
Affairs Bureau for all their hard work on this matter.
[^1]: *See* 47 C.F.R. Part 79. Closed captioning is an assistive
technology designed to provide access to television for persons with
hearing disabilities. Closed captioning is similar to subtitles in
that it displays the audio portion of a television signal as printed
words on the television screen. To assist viewers with hearing
disabilities, captions may also identify speakers, sound effects,
music and laughter. Unlike subtitles, however, closed captioning is
hidden as encoded data transmitted within the television signal. For
a more complete description of closed captioning, *see
Implementation of Section 305 of the Telecommunications Act of 1996
-- Video Programming Accessibility,* MM Docket No. 95-176, Notice of
Proposed Rulemaking, 12 FCC Rcd 1044 (Jan. 17, 1997) (*1997 Closed
Captioning NPRM*).
[^2]: *See* Telecommunications for the Deaf Inc. *et al.* Petition for
Rulemaking, RM-11065 (July 23, 2004) (*TDI Petition*). The joint
petitioners are collectively referred to herein as TDI. The Petition
appeared on Public Notice on September 2, 2004. *See* Public Notice,
Report No. 2670, dated September 2, 2004. More than 90 comments were
filed in response to the *TDI Petition*, most of which support the
Petition. The National Cable & Telecommunications Association filed
an Opposition to the *TDI Petition* on October 4, 2004 (*NCTA
Opposition*).
[^3]: 47 U.S.C. § 613. Section 713, Video Programming Accessibility, was
added to the Act by Section 305 of the Telecommunications Act of
1996. Telecommunications Act of 1996, Pub. L. 104-104, 110 Stat. 56
(1996) (the 1996 Act).
[^4]: *See Closed Captioning and Video Description of Video Programming,
Implementation of Section 305 of the Telecommunications Act of
1996,* MM Docket No. 95-176, Report, 11 FCC Rcd 19214 at 19227,
para. 34 (July 29, 1996) (*1996 Closed Captioning Report to
Congress*). The Commission noted that "\[s\]tudies have demonstrated
that captioning can improve a student's reading comprehension and
spelling, augment vocabulary and word recognition and increase
overall motivation to read." *Id*.
[^5]: *See Closed Captioning and Video Description of Video Programming,
Implementation of Section 305 of the Telecommunications Act of 1996,
Video Programming Accessibility,* MM Docket No. 95-176, Report and
Order, 13 FCC Rcd 3272, 3387, paras. 254-257 (August 22, 1997)
(*Closed Captioning Report and Order)*.
[^6]: H.R. Report 104-458 104^th^ Cong., 2d Sess. at 183-84 (*Conference
Report*) (Aug. 22, 1996).
[^7]: 47 C.F.R. § 79.1(b)(1)(iv).
[^8]: *1997 Closed Captioning NPRM*, 12 FCC Rcd 1044 at 1050, para. 7.
[^9]: 47 C.F.R. § 73.682(a)(22). In 1976, the Commission adopted rules
which provide that line 21 of the VBI is to be primarily used for
the transmission of closed captioning. The Commission's rules
specify technical standards for the reception and display of such
captioning. *Id*.
[^10]: Pub. L. No. 101-431, 104 Stat. 960 (1990) (codified at 47 U.S.C.
§§ 303(u), 330(b)).
[^11]: *See Implementation of Television Decoder Circuitry Act*, GEN
Docket No. 91-1, Report and Order, 6 FCC Rcd 2419 (Apr. 15, 1991).
[^12]: H.R. Report 104-204, 104^th^ Cong., 1^st^ Sess. at 113-14 (1995).
[^13]: *See* *Closed Captioning Report and Order*, 13 FCC Rcd at 3276,
para. 7.
[^14]: 47 U.S.C. § 613.
[^15]: 47 U.S.C § 613(b)-(c).
[^16]: Video programming may be delivered to consumers through a variety
of technologies. These distribution technologies include broadcast
television, cable television, wireless cable, direct-to-home
satellite services, and local telephone exchange carrier video.
[^17]: H.R. Report 104-458, 104^th^ Cong., 2d Sess. at 183-84 (1996).
[^18]: *Closed Captioning and Video Description of Video Programming,
Implementation of Section 305 of the Telecommunications Act of 1996,
Video Programming Accessibility,* MM Docket No. 95-176, Order on
Reconsideration, 13 FCC Rcd 19973 (Oct. 2, 1998) (*Reconsideration
Order)*.
[^19]: "Video programming distributor" is defined in 47 C.F.R. §
79.1(a)(2) as any television broadcast station licensed by the
Commission and any multichannel video programming distributor as
defined in section 76.100 of this chapter, and any other distributor
of video programming for residential reception that delivers such
programming directly to the home and is subject to the jurisdiction
of the Commission.
[^20]: *See* 47 C.F.R. §§ 79.1(b)(1), (b)(3), (d), (e), (f); *see also
Closed Captioning Report and Order*, 13 FCC Rcd at 3292-3295, paras.
41-47; *Reconsideration Order*, 13 FCC Rcd at 19978-79, paras. 9-10.
[^21]: 47 C.F.R. § 79.1(a)(5).
[^22]: 47 C.F.R. § 79.1(b)(2); *Closed Captioning Report and Order*, 13
FCC Rcd at 3301-02, paras 61-63.
[^23]: 47 C.F.R. § 79.1(a)(6).
[^24]: 47 C.F.R. § 79.1(b)(3)(iv).
[^25]: 47 C.F.R. § 79.1(b)(4)(ii).
[^26]: *Closed Captioning Requirements for Digital Television
Receivers*, *Closed Captioning and Video Description of Video
Programming , Implementation of Section 305 of the
Telecommunications Act of 1996, Video Programming Accessibility*, ET
Docket No. 99-254, MM Docket No. 95-176, Report and Order, 15 FCC
Rcd. 16788 (July 31, 2000) (*DTV Closed Captioning Order*); 47
C.F.R. § 15.122(b) (incorporating by reference, EIA-708-B, "Digital
Television Closed Captioning," Electronics Industries Alliance (Dec.
1999) ("EIA-708-B")). *See* Summary of Requirements at 15 FCC Rcd at
16790-16791 (listing requirements of the decoder operation, covered
devices, and compliance dates); *see also* 47 C.F.R. § 79.1.
[^27]: *DTV Closed Captioning Order*, 15 FCC Rcd at 16790-91 (*See*
Summary of Requirements); *see also* 47 C.F.R. § 79.1(a)(6)(ii).
[^28]: *DTV Closed Captioning Order*, 15 FCC Rcd. at 16791, para. 5;
*see also* 47 C.F.R. § 79.1(a)(6)(ii).
[^29]: *DTV Closed Captioning Order*, 15 FCC Rcd. at 16809, para. 63.
[^30]: *TDI Petition* at i.
[^31]: *See generally* *TDI Petition*. In addition to *TDI's Petition*,
comments submitted in response to the *Annual Assessment of the
Status of Competition in the Market for the Delivery of Video
Programming,* MB Docket No. 04-227, Notice of Inquiry, 19 FCC Rcd
10909 (June 17, 2004) (*2004 Video Programming NOI)* regarding the
Commission's annual assessment of the status of competition in the
market for the delivery of video programming similarly reflect
consumers' continuing concerns with closed captioning. *See Annual
Assessment of the Status of Competition in the Market for the
Delivery of Video Programming,* MB Docket No. 04-227, 11^th^ Annual
Report, 20 FCC Rcd 2755, 2850-51, para. 177 (Feb. 4, 2005) (*11^th^
Annual Video Programming Report).*
[^32]: *See, e.g.,* Comments of Elizabeth Rocchino (Aug. 26, 2004);
Accessible Media Industry Coalition (Sept. 29, 2004); Larry
Goldberg, National Center for Accessible Media (Sept. 28, 2004);
Jerald Jordan (Sept. 27, 2004); Nancy Linke-Ellis (Sept. 23, 2004);
Liz Petersen (Sept. 27, 2004).
[^33]: *NCTA Opposition* at 1-2. No other Oppositions were filed.
[^34]: With "pop-on captions," a phrase or sentence appears on the
screen all at once -- not line by line -- stays there for a few
seconds and then disappears or is replaced by another full caption.
The captions are timed to synchronize with the program and placed on
the screen to help identify the speaker. Pop-on captions are used
for prerecorded captioning. **"**Roll-up captions" roll onto and off
the screen in a continuous motion. Usually two to three lines of
text appear at one time. As a new line comes along, it appears on
the bottom, pushing the other lines on the screen up. Roll-up
captions are used for all live captioning and can also be used for
prerecorded captioning. *See* National Captioning Institute webpage:
<http://www.ncicap.org/preview/capterms.asp>.
[^35]: *1997 Closed Captioning NPRM*, 12 FCC Rcd at 1090-1091, para.
111; *Closed Captioning Report and Order*, 13 FCC Rcd at 3370, para.
214.
[^36]: *1997 Closed Captioning NPRM*, 12 FCC Rcd at 1087, para.104, at
1090-1091, para. 111.
[^37]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3374, para.
222.
[^38]: *Id.* at 3374, para. 222, n.716.
[^39]: *Id.* at 3374, para. 223.
[^40]: *Id.* at 3374, para. 222.
[^41]: *TDI Petition* at 35 and 37.
[^42]: *NCTA Opposition* at 16.
[^43]: *Id.* at 15-16.
[^44]: *Id.* at 15.
[^45]: In response to the *2004 Video Programming NOI*, approximately
220 informal comments were filed by consumers. Quality issues were
among the topics discussed in these comments, including the accuracy
of captions, which commenters claim ranges from excellent to
undecipherable. *See 11^th^ Annual Video Programming Report*, 20 FCC
Rcd at 2850-51, para. 177.
[^46]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3373, para.
219 (referring to the Comments of VITAC).
[^47]: *TDI Petition* at 27.
[^48]: *Id.*
[^49]: *Id*.
[^50]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3368-3369,
para. 211; 47 C.F.R. § 79.1(c); 47 C.F.R. § 73.682 (TV transmission
standards). Section 15.119 sets forth the closed caption decoder
requirements for analog television receivers. 47 C.F.R. § 15.119.
Section 73.682 sets forth television transmission standards. 47
C.F.R. § 73.682.
[^51]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3368-3369,
para. 211*.*
[^52]: *Id.* at 3368-3369, para. 211*.*
[^53]: *See* 47 C.F.R. § 79.1(c).
[^54]: *TDI Petition* at 24-26. (47 C.F.R. § 76.606 is titled "Closed
captioning").
[^55]: *TDI Petition* at 26-27.
[^56]: *NCTA Opposition* at 9.
[^57]: *Id.* at 10.
[^58]: *Id.* at 9.
[^59]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3369, para.
212.
[^60]: *Id*.
[^61]: *1996 Closed Captioning Report to Congress*, 11 FCC Rcd at 19253,
para. 93.
[^62]: *TDI Petition* at 28.
[^63]: *Id.* at 28.
[^64]: *Id.* at 29.
[^65]: *TDI Petition* at 32; *11^th^ Annual Video Programming Report*,
20 FCC Rcd at 2850, para. 177, n.794.
[^66]: *TDI Petition* at 30.
[^67]: *NCTA Opposition* at 9-10.
[^68]: *Id.* at 9.
[^69]: *Id.* at 9-10.
[^70]: *Id.* at 10.
[^71]: *See Reconsideration Order*, 13 FCC Rcd at 20009, para. 83, in
which the Commission notes its expectation that "video programming
providers in conjunction with those publicizing programming and
publishing programming schedules will make every effort to correctly
label programming as to whether it is captioned."
[^72]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3381, para.
240. On reconsideration, the Commission rejected petitioners'
requests to allow complaints to be filed directly with the
Commission, as is the case with complaints alleging violations of
the childrens' television rules. *Reconsideration Order*, 13 FCC Rcd
at 20023-20025, paras. 114-116.
[^73]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3382, para.
243; *see also* 47 C.F.R. § 79.1(g)(3).
[^74]: 47 C.F.R. § 79.1(g)(1).
[^75]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3382-83,
para. 243; *see also* 47 C.F.R. § 79.1(g)(4).
[^76]: *Id.*
[^77]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3383, para.
244.
[^78]: *Reconsideration Order*, 13 FCC Rcd at 20025, para. 116.
[^79]: *Id.* at 20025, para. 115.
[^80]: *Id.* at 20025, para. 116.
[^81]: *Id.*
[^82]: *TDI Petition* at 21.
[^83]: *Id.*
[^84]: *Id.* at 22*.*
[^85]: *Id.* at 15-16. TDI notes that the complaint form may be
optional, and that consumers may use email or other means of
communication to provide the substance of the complaint. A copy of
the proposed complaint form included in the *TDI Petition* as
Exhibit A is attached hereto as Appendix A.
[^86]: *NCTA Opposition* at 7.
[^87]: *Id.,* n.17, citing 47 C.F.R. § 76.309.
[^88]: *Reconsideration Order,* 13 FCC Rcd at 20025, para. 116.
[^89]: *NCTA Opposition* at 3-4.
[^90]: On reconsideration, the Commission stated its expectation that
programming distributors would be responsive to consumers'
complaints and noted that, while all complaints must be filed in
writing, it is important that video programming distributors make
their organizations accessible to persons with hearing disabilities
seeking information about the entity's closed captioning or other
matters. *Reconsideration Order,* 13 FCC Rcd at 20025, para. 116 and
n.394.
[^91]: *TDI Petition* at 15-16.
[^92]: *TDI Petition* at Exhibit A, attached hereto as Appendix A.
[^93]: 47 C.F.R. § 1.80(b): Guidelines for Assessing Forfeitures
(*Forfeiture Guidelines).*
[^94]: *TDI Petition* at 23.
[^95]: *TDI Petition* at 23-24.
[^96]: *TDI Petition* at 22-23. TDI cites a 2002 action wherein the
Cable Services Bureau suggested it could impose increased captioning
requirements for failure to comply with the closed captioning rules.
*TDI Petition* at 23 n.37 citing *Comcast Order*, at 5 n.32 (47 CFR
§ 79.1(b)(8)).
[^97]: *TDI Petition* at 23. TDI notes that \$8,000 is akin to the
Commission's current forfeiture amount for violation of the
Commission's childrens' television programming requirements. *TDI
Petition* at 23 n.38.
[^98]: *TDI Petition* at 23.
[^99]: *TDI Petition* at 24.
[^100]: *NCTA Opposition* at 8.
[^101]: *NCTA Opposition* at 8.
[^102]: 47 C.F.R. § 79.1(g)(8).
[^103]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3286, para.
27.
[^104]: *Id.* at 3383, para. 244.
[^105]: *Id.*
[^106]: *Reconsideration Order,* 13 FCC Rcd at 20026-27, para. 118.
[^107]: *TDI Petition* at 16.
[^108]: *Id.* at 16-17.
[^109]: *Id.* at 18.
[^110]: *Id*.
[^111]: *Id.* at 19. TDI notes that when the Commission elected not to
adopt benchmark compliance reporting requirements, it stated that it
would conduct compliance audits, but TDI is unaware that any such
audits have been conducted. The lack of compliance audits, TDI
asserts, "seriously undermines enforcement of the captioning rules
and \[their\] effectiveness\[.\]" *TDI Petition* at 20.
[^112]: *NCTA Opposition* at 4-5.
[^113]: *Id.* In the *Closed Captioning Report and Order* the Commission
stated that distributors may rely on certifications from program
suppliers that the programming is either captioned or exempt from
the rules and will not be held responsible if the program supplier
submits false certifications. *Closed Captioning* *Report and
Order*, 13 FCC Rcd at 3286-3287, para. 28; 3369, para. 212; 3383,
para. 244. In addition, the Commission's rules allow distributors to
rely on the certifications of program providers that programming is
captioned; and limits a distributor's responsibility for captioning
in situations where a program source falsely certifies that
programming meets the Commission's captioning requirements if the
distributor is unaware that the certification is false. 47 C.F.R. §
79.1(g)(6).
[^114]: *NCTA Opposition* at 5-6.
[^115]: *Id.* at 6.
[^116]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3311, para.
84; *see also 1997 Closed Captioning NPRM*, 12 FCC Rcd at 1058,
para. 21.
[^117]: *1997 Closed Captioning NPRM*, 12 FCC Rcd at 1058, para. 21.
[^118]: *Id.*
[^119]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3311-12,
para. 84.
[^120]: *Id.* As noted by the Commission, "\[ENT\] can only be used to
convert the dialogue included on a teleprompter script into
captions. As many live newscasts use interviews, field reports and
late-breaking weather and sports that cannot be scripted or
presented in textual or graphical form, persons with hearing
disabilities do not have full access to this programming when
\[ENT\] is used." *Reconsideration Order*, 13 FCC Rcd at 19991,
para. 35.
[^121]: *Reconsideration Order*, 13 FCC Rcd at 19991, para. 35-36.
[^122]: *Id.* at 19992, para. 38. We note that Section 79.1(d)(3) does
not exempt from the closed captioning requirements programming other
than English or Spanish language if the scripted program can be
captioned using ENT. 47 C.F.R. § 79.1(d)(3).
[^123]: *Reconsideration Order*, 13 FCC Rcd at 19992, para. 38.
[^124]: *Id.*
[^125]: *Id.* at 19991, para. 36.
[^126]: *Id.* at 19993, para. 40.
[^127]: 47 C.F.R. § 79.1(d)(3).
[^128]: *TDI Petition* at 35.
[^129]: *TDI Petition* at 34-35.
[^130]: *NCTA Opposition* at 13-14.
[^131]: *Id.* at 13.
[^132]: *See Reconsideration Order*, 13 FCC Rcd at 19993, para. 39.
[^133]: In response to the *2004 Video Programming NOI*, Fox provided
information on captioning costs paid to the several vendors they use
for originally-produced broadcast and nonbroadcast programming, both
live and recorded. "Fox's regional sports networks spend between
\$105 and \$365 to caption a single hour of programming, with the
higher fee associated with live sports events. For its National
Geographic channel, Fox indicates that it typically costs \$165 to
caption an hour of original programming ...when it purchases
programming from a third party, the cost of captioning is included
in the overall costs of the programming." *11th Annual Video
Programming Report*, 20 FCC Rcd at 2852, para. 180.
[^134]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3292-93,
para. 41-42.
[^135]: *Id.* at 3292-94, paras. 41-44; *Reconsideration Order*, 13 FCC
Rcd at 19981, para. 15.
[^136]: Training for Realtime Writers Act of 2005, S. 268, 109^th^
Cong., 1^st^ Sess. (2005).
[^137]: *Id.* at § 2(7).
[^138]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3363-64,
para. 199.
[^139]: *Id.* at 3365, para. 203.
[^140]: *See generally, Electronic Filing of Documents in Rulemaking
Proceedings*, GC Docket No. 97-113, Notice of Proposed Rulemaking,
12 FCC Rcd 5150 (April 7, 1997) (*Electronic Filing NPRM*).
[^141]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3365, para.
203; at 3383-84 para. 245; *see also* *Electronic Filing NPRM*, 12
FCC Rcd 5150.
[^142]: 47 C.F.R. § 79.1(f).
[^143]: We note that these Petitions are occasionally placed on the DRO
website.
[^144]: National Association of the Deaf, Comments at 7, *11^th^ Annual
Video Programming Report*, 20 FCC Rcd at 2851-52, paras. 179-180.
[^145]: *TDI Petition* at 31-34.
[^146]: *Closed Captioning Report and Order*, 13 FCC Rcd at 3312, para.
85.
[^147]: Section 79.1(c) obligates all video programming distributors to
deliver "all programming received from the video programming owner
or other original source containing closed captioning to receiving
television households with the original closed captioning data
intact in a format that can be recovered and displayed by decoders
meeting the standards of part 15 of \[the Commission's rules\]
unless such programming is recaptioned or the captions are
reformatted by the programming distributor." 47 C.F.R. § 79.1(c).
However, on reconsideration, the Commission clarified that, "as the
benchmarks increase, distributors will have to reformat the captions
to comply with the rules." *Reconsideration Order*, 13 FCC Rcd at
20009, para. 82.
[^148]: *Reconsideration Order*, 13 FCC Rcd at 20026-27, para. 118.
[^149]: *Id.* Commission states its intention to conduct random audits
of captioning similar to the audits used to monitor compliance with
other Commission rules.
[^150]: *See Electronic Filing of Documents in Rulemaking Proceedings*,
63 FR 24121 (1998).
[^151]: *See* 47 C.F.R. § 1.48.
[^152]: 47 C.F.R. §§ 1.1200, *et seq*.
[^153]: *See* 47 C.F.R. § 1.1206(b)(2).
[^154]: *See* 5 U.S.C. § 603(a). In addition, the NPRM and IRFA (or
summaries thereof) will be published in the Federal Register.
[^155]: *See* 5 U.S.C. § 603. The RFA, see 5 U.S.C. §§601-612, has been
amended by the Small Business Regulatory Enforcement Fairness Act of
1996 (\"SBREFA\"), Pub. L. No. 104-121, Title II, 110 Stat. 857
(1996).
[^156]: *See* 5 U.S.C. § 603(a).
[^157]: *Id*.
[^158]: 5 U.S.C. § 603(b)(3).
[^159]: 5 U.S.C. § 601(6).
[^160]: 5 U.S.C. § 601(3) (incorporating by reference the definition of
\"small-business concern\" in the Small Business Act, 15 U.S.C. §
632). Pursuant to 5 U.S.C. § 601(3), the statutory definition of a
small business applies \"unless an agency, after consultation with
the Office of Advocacy of the Small Business Administration and
after opportunity for public comment, establishes one or more
definitions of such term which are appropriate to the activities of
the agency and publishes such definition(s) in the Federal
Register.\"
[^161]: 15 U.S.C. § 632.
[^162]: 13 C.F.R. § 121.201, NAICS code 513220 (changed to 517510 in
October 2002).
[^163]: U.S. Census Bureau, 1997 Economic Census, Subject Series:
Information, \"Establishment and Firm Size (Including Legal Form of
Organization),\" Table 4, NAICS code 513220 (issued October 2000).
[^164]: U.S. Census Bureau, "2002 NAICS Definitions: 515210 Cable and
Other Subscription Programming" (online, July 2005, at
[www.census.gov](http://www.census.gov/)).
[^165]: 13 C.F.R. § 121.201, NAICS code 515210 (changed from 513210 in
Oct. 2002).
[^166]: U.S. Census Bureau, 1997 Economic Census, Subject Series:
Information, \"Establishment and Firm Size (Including Legal Form of
Organization),\" Table 4, NAICS code 513210 (issued Oct. 2000).
[^167]: *See* U.S. Census Bureau, 2002 Economic Census, Industry Series:
"Information," Table 2, Comparative Statistics for the United States
(1997 NAICS Basis): 2002 and 1997, NAICS code 513210 (issued Dec.
2004). The preliminary data indicate that the total number of
"establishments" increased from 494 to 714. In this context, the
number of establishments is a less helpful indicator of small
business prevalence than is the number of "firms," because the
latter number takes into account the concept of common ownership or
control. The more helpful 2002 census data on firms, including
employment and receipts numbers, will be issued in late 2005.
[^168]: 47 C.F.R. § 76.901(e). The Commission developed this definition
based on its determination that a small cable system operator is one
with annual revenues of \$100 million or less. Implementation of
Sections of the 1992 Cable Act: Rate Regulation, Sixth Report and
Order and Eleventh Order on Reconsideration, 10 FCC Rcd 7393, 60 FR
10534 (February 27, 1995).
[^169]: Paul Kagan Associates, Inc., Cable TV Investor, February 29,
1996 (based on figures for December 30, 1995).
[^170]: 47 U.S.C. § 543(m)(2).
[^171]: *See* FCC Announces New Subscriber Count for the Definition of
Small Cable Operator, Public Notice, DA 01-158 (released January 24,
2001).
[^172]: 47 C.F.R. § 76.901(f).
[^173]: *See* FCC Announces New Subscriber Count for the Definition of
Small Cable Operator, Public Notice, DA 01-158 (released January 24,
2001).
[^174]: The Commission does receive such information on a case-by-case
basis if a cable operator appeals a local franchise authority\'s
finding that the operator does not qualify as a small cable operator
pursuant to Section 76.901(f) of the Commission\'s rules. *See* 47
C.F.R. 909(b).
[^175]: 13 C.F.R. § 121.201, NAICS code 517510.
[^176]: U.S. Census Bureau, 1997 Economic Census, Subject Series:
Information, \"Establishment and Firm Size (Including Legal Form of
Organization),\" Table 4 (issued October 2000).
[^177]: *Id*.
[^178]: [13 C.F.R. §
121.201](http://www.westlaw.com/Find/Default.wl?rs=dfa1.0&vr=2.0&DB=1000547&DocName=13CFRS121.201&FindType=L),
NAICS code 517510.
[^179]: *Id*.
[^180]: DirecTV is the largest DBS operator and the second largest MVPD,
serving an estimated 13.04 million subscribers nationwide; see
Annual Assessment of Status of Competition in the Market for the
Delivery of Video Programming, Eleventh Annual Report, FCC 05-13, ¶
55 (rel. Feb. 4, 2005)(\"2005 Cable Competition Report\").
[^181]: EchoStar, which provides service under the brand name Dish
Network, is the second largest DBS operator and the fourth largest
MVPD, serving an estimated 10.12 million subscribers nationwide.
*Id*.
[^182]: Rainbow DBS, which provides service under the brand name VOOM,
reported an estimated 25,000 subscribers. *Id*.
[^183]: Dominion, which provides service under the brand name Sky Angel,
does not publicly disclose its subscribership numbers on an
annualized basis. *Id*.
[^184]: *See* Rulemaking to Amend Parts 1, 2, 21, 25, of the
Commission\'s Rules to Redesignate the 27.5-29.5 GHz Frequency Band,
Reallocate the 29.5-30.5 Frequency Band, to Establish Rules and
Policies for Local Multipoint Distribution Service and for Fixed
Satellite Services, Second Report and Order, Order on
Reconsideration, and Fifth Notice of Proposed Rule Making, 12 FCC
Rcd 12545, 12689-90, ¶ 348 (1997).
[^185]: *Id*.
[^186]: *Id*.
[^187]: *See* Letter to Dan Phythyon, Chief, Wireless Telecommunications
Bureau, FCC, from Aida Alvarez, Administrator, SBA (Jan. 6, 1998).
[^188]: Amendment of Parts 21 and 74 of the Commission\'s Rules with
Regard to Filing Procedures in the Multipoint Distribution Service
and in the Instructional Television Fixed Service and Implementation
of Section 309(j) of the Communications Act - Competitive Bidding,
Report and Order, 10 FCC Rcd 9589, 9593 ¶ 7 (1995)(MDS Auction R&O).
[^189]: 47 C.F.R. § 21.961(b)(1).
[^190]: *See* Letter to Margaret Wiener, Chief, Auctions and Industry
Analysis Division, Wireless Telecommunications Bureau, FCC, from
Gary Jackson, Assistant Administrator for Size Standards, Small
Business Administration, dated March 20, 2003 (noting approval of
\$40 million size standard for MDS auction).
[^191]: Basic Trading Areas (BTAs) were designed by Rand McNally and are
the geographic areas by which MDS was auctioned and authorized. See
MDS Auction R&O, 10 FCC Rcd at 9608. ¶ 34.
[^192]: 47 U.S.C. § 309(j). Hundreds of stations were licensed to
incumbent MDS licensees prior to implementation of Section 309(j) of
the Communications Act of 1934, 47 U.S.C. § 309(j). For these
pre-auction licenses, the applicable standard is SBA\'s small
business size standard for \"other telecommunications\" (annual
receipts of \$12.5 million or less). See 13 C.F.R. § 121.201, NAICS
code 517910.
[^193]: The term \"small entity\" under SBREFA applies to small
organizations (nonprofits) and to small governmental jurisdictions
(cities, counties, towns, townships, villages, school districts, and
special districts with populations of less than 50,000). 5 U.S.C. §§
601(4)-(6). We do not collect annual revenue data on ITFS licensees.
[^194]: *See* 47 U.S.C. § 573.
[^195]: 13 C.F.R. § 121.201, NAICS code 513220 (changed to 517510 in
October 2002).
[^196]: *See* http://www.fcc.gov/csb/ovs/csovscer.html (current as of
June 2004).
[^197]: *See* 13 C.F.R. § 121.201, NAICS Code 515120 (adopted Oct.
2002).
[^198]: NAICS Code 515120. This category description continues, \"These
establishments operate television broadcasting studios and
facilities for the programming and transmission of programs to the
public. These establishments also produce or transmit visual
programming to affiliated broadcast television stations, which in
turn broadcast the programs to the public on a predetermined
schedule. Programming may originate in their own studios, from an
affiliated network, or from external sources.\" Separate census
categories pertain to businesses primarily engaged in producing
programming. *See* Motion Picture and Video Production, NAICS code
512110; Motion Picture and Video Distribution, NAICS Code 512120;
Teleproduction and Other Post-Production Services, NAICS Code
512191; and Other Motion Picture and Video Industries, NAICS Code
512199.
[^199]: \"\[Business concerns\] are affiliates of each other when one
concern controls or has the power to control the other or a third
party or parties controls or has to power to control both.\" 13
C.F.R. § 121.103(a)(1).
[^200]: FCC News Release, \"Broadcast Station Totals as of September 30,
2002.\"
[^201]: 5 U.S.C. § 603(b).
|
en
|
markdown
|
748944
|
# Presentation: 748944
## Lt Col Joanne Sechrest
Mgr, One-Stop Shop Services
DHS/IAIP, National Communications System
[email protected]
703.607.4960
http://www.ncs.gov
**Mgr, One-Stop Shop Services**
** ****DHS/IAIP, National Communications System**
**[email protected]**
**703.607.4960**
**http://www.ncs.gov**
**Government Emergency Telecommunications Service**
**(GETS)**
## Overview
Operational Concept
Criteria
Cost
Testing
How to Order
Contact Information
- Operational Concept
- Criteria
- Cost
- Testing
- How to Order
- Contact Information
**Outline**
**2**
## GETS: Network Congestion
*Congestion,**at *_*many*_* points, can block a call !*
**AT&T **
**MCI**
**SPRINT**
**Local Exchange**
**Networks**
**Government Emergency Telecommunications Service *****addresses ******wireline ******congestion***
**Local Exchange**
**Networks**
**3**
## GETS Overview
**GETS Overview**
**4**
## The GETS Calling Card
**GETS User**** **
** **
**GETS User**
** ****Organization**
**The GETS Calling Card**
**GETS priority is invoked**
**“****call-by-call”**
***Calling cards are in widespread use and easily understood by the NS/EP User, simplifying GETS usage***
***GETS is a "***_***ubiquitous***_***" service in the Public Switched Telephone Network...if you can get a DIAL TONE, you can make a GETS call***
**5**
## Why The Public Switched Network (PSN)?
**6**
- 95% of government telecommunications needs met by PSN
- > $300B Infrastructure; > 150M Access Lines; > 25K Switches
- GETS enhancements are deployed in the 3 major Interexchange Carriers and in the major Local Exchange Carriers across the US.
- GETS local enhancements are available from over 85% of the access lines connecting to the public switched network
- PSN Is _Ubiquitous, Robust, And Flexible_
## Operational Concept
**7**
## Plain Old Telephone Service (POTS) Routing
- AT
- IXC AT&T
- IXC MCI
- IXC Sprint
- IXC OTHER
**USER DIALS**
**1-703-818-4387**
- EO
- AT
**AIN**
- IXC AT&T
- IXC Sprint
- IXC OTHER
- End Office Sends Call to User’s *Presubscribed Carrier* Via Direct Route, If Available
- If Direct Path Blocked, EO Sends Call To Access Tandem
- “*All Circuits Are Busy, Please Hang-up And Call Later*”
- IXC MCI
**8**
## GETS Priority Features
**AT**
- IXC AT&T
- IXC MCI
- IXC Sprint
- IXC OTHER
**EO**
**AT**
- IXC AT&T
- IXC MCI
- IXC Sprint
- IXC OTHER
**EO**
***Interexchange Carriers***
**GETS Priority Features **
**and Enhanced Routing**
_***Plus!..GETS has***_
***Priority in the ***
*** ******signaling network***
***Exemption from ***
*** ******control restrictions***
**9**
## Power of GETS
- Utilizes robustness of the public switched network
- 6 Ways to get to long distance networks rather than 2
- Priority over public calls in signaling network
- Exemption from Network Management Controls
- Enhanced routing alternatives in public networks
- Queuing for available circuits during access and egress
- GETS power works for LOCAL and Long Distance
**10**
**When you have dial tone, GETS will typically get you through!**
## 9/11:
10,000 GETS calls attempted into/out of/within NYC and DC area with 95% completion rate
Used for calls between end offices when local trunks damaged but long distance trunks still operational
Nisqually Earthquake: GETS calls within area exempt from network management controls
Aug 03 NE Blackout: 1,231 GETS calls into/out of/within affected areas with 90% + success rate
**11**
- 9/11:
- 10,000 GETS calls attempted into/out of/within NYC and DC area with 95% completion rate
- Used for calls between end offices when local trunks damaged but long distance trunks still operational
- Nisqually Earthquake: GETS calls within area exempt from network management controls
- Aug 03 NE Blackout: 1,231 GETS calls into/out of/within affected areas with 90% + success rate
## Who is Eligible to use GETS?
- Organizations that support one or more of the following five National Security / Emergency Preparedness (NS/EP) mission areas, qualify for OMNCS sponsorship to become a GETS user:
***Non-Federal users require***
***NCS member sponsorship – typically done by the Office of Manager NCS***
**Who is Eligible to use GETS?**
- National Security Leadership
- National Security Posture and US Population Attack Warning
- Public Health, Safety, and Maintenance of Law and Order
- Public Welfare and Maintenance of National Economic Posture
- Disaster Recovery
**12**
## GETS Costs
- NCS pays for all Federal calls up to annual ceiling--departments billed for excess
- GETS calls generally cost 10 cents or less per minute
- Operator assisted and International higher
- NCS cannot pay for Non-Federal calls
- Non-Federal Organizations establish an “account” with DITCO at Scott AFB
- Not normally billed for calls to confirm receipt of individual GETS cards, familiarization and short duration test calls
- Reserve the right to bill for all calls, especially if there has been fraud, waste, or abuse using your GETS card(s)
**13**
## Familiarization and Testing
- Encourage GETS cards distribution
- Keep 10% in stockpile for unanticipated needs
- Encourage GETS card holders test their cards
- Incorporate GETS in exercise scenarios
- Use it from home, office, hotels, etc. and on cell networks and payphones – places you might be in an emergency
- Report problems to 1-800-818-GETS
- Utilize GETS 800/888 access numbers as fall back
**14**
## Toll-free Numbers
- Toll-free numbers CANNOT be used as destination numbers in GETS
- Toll-free number databases can fail during major emergencies
- Obtain regular telephone numbers for toll-free numbers before an emergency occurs
**15**
**800**
**866**
**877**
**888**
- GETS 800/888 Access numbers do not receive GETS priority treatment
- until** **the** **call reaches AT&T/MCI/Sprint
## How Do You Order GETS?
- Your organization Point of Contact (POC) applies for GETS for all users within your organization
- Easy on-line registration
- Upon approval, GETS cards and instructions mailed to POC within 3-5 days
- No established POC? or don’t know your POC – contact the NCS
**16**
## NCS Contact Information
_**TELEPHONE:**_
**Information/Sign-Up**
** ****1-866 NCS-CALL (627-2255) or 703 676-2255 (Option 1 for GETS)**
**Trouble Reporting (24x7) **
** ****1-800-818-GETS (4387) or 703 818-4387**
_**E-MAIL:**_
**[email protected]**
_**WEBSITE:**_
**http://gets.ncs.gov**
_**MAILING ADDRESS**_**:**
**OMNCS**
**P. O. Box 4502**
**Arlington, VA 22204-4502**
**17**
## Slide 18
|
en
|
converted_docs
|
905604
|
Alabama's Teacher
Equity Plan
a plan to ensure that poor and minority students are not taught at
higher rates than other students by inexperienced, unqualified and/or
out of field teachers
July 2006
{width="8.64861111111111in"
height="6.495138888888889in"}
**Alabama's Teacher Equity Plan**
[Background and Policy Support]{.underline}
Alabama's first serious look at the critical impact of teachers on
student achievement began in 1997 when the Task Force on Teaching and
Student Achievement was established. Comprised of a broad cross-section
of educators, business representatives, and public policy
representatives -- including education policy and program appointees in
the Governor's office, members of the State Board of Education, and
senior administrative staff in the Alabama Department of Education --
the Task Force convened for two years to study and make recommendations
about strategies to improve teaching and student achievement in Alabama.
Their findings and recommendations were published in 2000 in a 96-page
report entitled *Teaching and Learning: Meeting the Challenge of High
Standards*. (The report is available at:
<http://www.bestpracticescenter.org/pdfs/tal1-5p.pdf>.)
Alabama began focusing on the fact that *good teaching matters most*[^1]
and resolved to use teacher quality as a tool for school improvement.
The focus was succinctly noted:
> *If we are going to change our schools, we have to dig deeper. We have
> to get back to a fundamental truth about education: A well-prepared
> teacher is the critical ingredient in student learning. We must
> guarantee that every child in Alabama has a highly qualified teacher.
> No exceptions. No excuses.*[^2]
The *Teaching and Learning* report identified four critical components
that must work together to create and maintain sufficient numbers of
well-prepared, competent, and effective teachers and to raise student
academic achievement: (1) high teacher standards; (2) high quality
undergraduate and graduate teacher preparation programs with extensive
clinical experiences and strict accountability for results; (3)
sustained and sharply focused professional development which requires
teachers to reflect on their current teaching, refine what works, and
change what does not work; and (4) organization of schools so that
effective teaching is the top priority of every school.
The Task Force acknowledged that schools with a concentration of
high-poverty students and schools that are otherwise hard to staff are
more likely to have teachers that are less prepared and/or
inexperienced; thus, the urgency to ensure that each student has a
highly qualified, effective teacher.[^3]
Alabama had significant historical, legal, and practical barriers to
overcome in implementing the *No Child Left Behind Act of 2001* (NCLB).
However, the state's pre-NCLB resolve coupled with the high-stakes
federal legislation has enabled remarkable strides in teacher and
teaching quality in the state. The state has made significant progress
in the high quality professional development component, but less
progress toward ensuring an adequate supply of highly qualified,
experienced teachers and ensuring that sufficient numbers of such
teachers are employed by and continue teaching in the state's
high-poverty, high-minority schools and in schools identified for
improvement.
The A+ Education Foundation, a key player in developing and publishing
the *Teaching and Learning* report, has remained a tireless advocate of
highly qualified teachers for all students and has greatly influenced
local and state policymaking and funding to implement the critical
components of a comprehensive teacher development system. More recently,
Alabama's current governor has made teacher quality an urgent priority
in his administration. To ensure coherence of policy, resources, and
practice and to facilitate progression toward the desired goal, Governor
Bob Riley established the Governor's Commission on Teaching Quality. The
group commenced work on January 17, 2006, "to examine, recommend, and
work to implement laws, policies, and practices affecting teachers and
teaching effectiveness to ensure student success in Alabama's public
schools." (More and up-to-date information on the Governor's Commission
is available at <http://www.ti.state.al.us/>.) The Commission's goals
for Alabama, which encompass critical components identified by the 1997
Task Force are:
1. To improve the academic achievement of all students in the public
schools by aligning teacher practice and professional learning with
the *Alabama Quality Teaching Standards*.
2. To provide highly-effective teachers through aggressive recruitment
and experientially-based preparation.
3. To retain and reward high-quality teachers by creating professional
pathways with incentives for continuous professional learning and
career advancement along multiple routes.
The successful marriage of these goals to Alabama's existing academic
accountability system is key to having every student on grade level in
reading and mathematics by 2014.
Since enactment of NCLB in 2002, Alabama has made several policy changes
and additions that were needed to implement key strategies. Examples
include the following:
- June 2002 -- the State Board of Education adopted *Alabama
Professional Development Standards* which are based on the National
Staff Development Council standards.
- June 2003 -- the State Board of Education adopted the *Alabama Model
for Identifying Highly Qualified Teachers* which provides background
information, defines the term "highly qualified teacher" as it
applies to Alabama teachers, and describes teacher options for
meeting the NCLB requirement.
- June 2004 -- the State Board of Education adopted *Alabama Standards
for Effective Teacher Induction and Mentoring*.
- April 2005 -- the State Board of Education adopted Praxis II tests
as a pre-condition for initial teacher certification in Alabama.
(Alabama had been a "non-testing" state for many years prior to this
time.)
- July 2005 -- the State Board of Education adopted *Alabama Standards
for Instructional Leaders* and *Alabama Educator Code of Ethics*.
- February 2006 -- the State Board of Education adopted minimum cut
scores for Praxis II tests taken as a pre-condition for initial
teacher certification.
Currently, the Governor's Commission on Teaching Quality is organized
into five active task forces: (1) Standards, (2) Selection and
Preparation, (3) Certification, (4) Professional Development, and (5)
Working Conditions. It is anticipated that the Commission will continue
making recommendations to the State Board of Education for policy
actions needed to facilitate achievement of the it's goals. An
Implementation Committee was appointed by Governor Bob Riley in August
2005 to ensure timely and efficient implementation of the Governor's
Congress Recommendations.
**Identification of Where and to What Extent Inequities in Teacher
Assignment Exist**
[Alabama's Data and Reporting System]{.underline}
Evidence of probable success: The Alabama Department of Education is
keenly and painfully aware of the importance of high-quality data, an
efficient data collection system, and a functional reporting system.
Since 2002, Alabama has directed tremendous amounts of time, fiscal, and
human resources to build and enhance a data system that meets NCLB
expectations and requirements. In addition, the ADE recruited and
employed a chief information officer to direct data system development
and implementation. NCLB requires each state to collect data on the
qualifications and assignments of teachers at the LEA and school levels
and to publicly report specified data elements for the high-poverty
quartile of schools and the low-poverty quartile of schools, compared to
all schools. These data are reported in conjunction with the academic
accountability status of each LEA and school.
Prior to NCLB, Alabama implemented a state-mandated public reporting
system comprised of the following components: (1) Annual State Report
Card; (2) Annual LEA Report Cards; and, (3) Annual School Report Cards.
Since 2002, the state's annual reporting system has been expanded,
enhanced, and improved each year so that, effective with the 2005
reports, the system fully meets NCLB's annual public reporting
requirements and supports the State Board's *Educational Ruler*. (See
Page 2.)
Alabama's reporting system is an integral feature of the state
accountability system and provides numerous data elements of interest
and importance to educators, parents, and other stakeholders as well as
to local and state policymakers. Reports from the data system currently
are used to inform program and curriculum decisions related to student
achievement and, particularly, to inform budget decisions related to
school improvement, corrective actions, and/or restructuring due to
successive years of not making AYP. Modifications that are in-progress
for implementation during the 2006-2007 school year will utilize more
real-time data, based on individual student identifiers and refined
teacher certification/assignment alignment, to provide LEA- and
school-level progress update reports that can be used for periodic
(monthly) monitoring and making mid-course corrections within the school
year.
In-progress and future refinements to the state's data system are
critical to successful implementation of the State Plan for Highly
Qualified Teachers and, particularly, to successful implementation of
the Teacher Equity Plan. The state's progress to date for developing and
implementing NCLB-mandated data requirements and the state's commitment
of resources to data-driven decision making are evidences of successful
completion and implementation of data system-related strategies.
[Data System Strategies]{.underline}
1. Collect and report data on the distribution of core academic subject
teachers, including:
```{=html}
<!-- -->
```
a. the number and percentage of highly qualified teachers by LEA and
school, by grade level (elementary or middle/secondary) and by core
academic subject
b. the number and percentage of core academic subject classes taught by
highly qualified teachers by LEA and school, by grade level
(elementary or middle/secondary) and by core academic subject
c. the number and percentage of core academic subject classes taught by
inexperienced teachers by LEA and school, by grade level (elementary
or middle/secondary) and by core academic subject[^4]
> Alabama will cross-reference existing data sources to collect and
> report the number of inexperienced core academic subject teachers by
> LEA and school, by grade level and by core academic subject. The
> following process will be implemented:
1. Data from the 2006-2007 LEA Personnel Data Collection will be
analyzed in comparison to data collected in 2005-2006, 2004-2005,
and 2003-2004 to ascertain the number, employing LEA, and school and
teaching assignment of teachers who have taught a subject and/or
grade level for less than three (3) full academic years. The results
of this analysis will be stored in a database for further analysis.
2. Results from the previous analysis will be refined by
cross-verification with data stored in the ADE Teacher Certification
Management System to eliminate teachers who have out-of-state or
private school experience in the same subject and/or grade level.
3. A report of the number and percentage of inexperienced teachers by
LEA and school, by grade level, and by core academic subject will be
generated and posted on the ADE web site with other reports of
highly qualified teachers and equitable distribution of such
teachers.
4. Lists of teachers by school and teaching assignments will be
generated for each LEA and distributed to ADE staff who are
responsible for related technical assistance and monitoring
activities.
5. The report and working lists will be prepared and ready for use by
December 1, 2006, and will be updated annually in subsequent years.
```{=html}
<!-- -->
```
d. elements "a" and "b" and "c" for high-poverty schools, high-minority
schools, and schools not making AYP -- individually, compared high
to low, and in comparison to all schools
e. the number and percentage of highly qualified teachers who are
working under alternative certificates by LEA and school, by grade
level (elementary or middle/secondary) and by core academic subject
f. the number and percentage of core academic subject teachers who are
**[not]{.underline}** highly qualified by LEA and school, by grade
level (elementary or middle/secondary) and by core academic subject;
and indication of how many and which teachers are:
1. certified and highly qualified, but assigned to a subject and/or
grade not covered by highly qualified status
2. certified and assigned out-of-field
3. working under an alternative certificate, but not highly
qualified
4. working under an emergency certificate
5. not certified
6. certified in special education only and assigned to teach one or
more core academic subjects to students with disabilities
g. the number and percentage of core academic subject teachers that
participated in high-quality professional development during the
previous school year (Currently, this information is collected
manually and entered into an Excel spreadsheet by SDE staff.)
```{=html}
<!-- -->
```
2. Collect and report data on core academic subject teaching vacancies
that are difficult to fill with highly qualified teachers, by LEA,
school, and grade level.
3\. Implement a statewide teacher application system to connect highly
qualified teacher applicants with teaching vacancies in LEAs with
high-poverty schools, high-minority schools, and/or schools not making
AYP. Advocate for enhancements to increase the value of this mechanism
as a recruiting tool for LEAs with hard-to-staff schools. The teacher
application system will be operational on December 1, 2006.
4\. Implement a statewide system for collecting, retrieving, and
reporting data on teachers and instructional leaders who participate in
high-quality professional development. In an effort to better monitor
the professional development being offered, the state now requires
educators to register for their professional development online
utilizing STI-PD.
5\. Continue working with SREB to research teacher turnover and
shortages in Alabama; and, subsequently, use findings to inform task
forces of the Governor's Commission on Teaching Quality.
6\. Advocate for development of mechanisms to periodically collect and
report data that depict patterns of teacher retention, turnover, and
mobility by LEA and school and by grade level and core academic subject
7\. Advocate for expansion, refinement, and implementation of a system
of "identifiers" for individual teachers and core academic subjects to
replace the state's current Local Education Agency Personnel System
(LEAPS) report.
8\. Advocate for data collection and reporting enhancements to link
student achievement data with teacher qualifications.
[Findings]{.underline}
Current data indicate that Alabama is making progress toward having all
core academic subject teachers highly qualified and toward having such
teachers more equitably distributed across the state. The data also
establish the need for continued and more targeted state actions to
ensure equitable distribution of highly qualified teachers while
increasing the supply and availability of such teachers, particularly,
to hard to staff local education agencies (LEAs) and schools. Following
are key findings from the August 2006 data:
- At the end of the 2004-2005 school year, 85.0% of core academic
subject **elementary** teachers were highly qualified. As of August
2006, 93.7% of core academic subject elementary teachers are highly
qualified; an increase of 8.7%.
- During the past year, Alabama narrowed the gap from 10.1% to 3.7%
between core academic subject classes taught by highly qualified
teachers in high-poverty **elementary** schools (91.7%) and
corresponding low-poverty schools (95.4.1%).
- Among **elementary** schools, schools that are high-poverty,
high-minority[^5], [and]{.underline} identified for school
improvement are 5.1% more likely to have teachers who are not highly
qualified when compared to all elementary schools. Students who
attend a school that is high-poverty, high-minority,
[and]{.underline} identified for improvement are 6.8% more likely to
have teachers who are not highly qualified than their fellow
students in low-poverty, low-minority schools that are not
identified for improvement.
- At the end of the 2004-2005 school year, 77.9% of core academic
subject **middle/secondary** teachers were highly qualified. As of
August 2006, 82.7% of core academic subject middle/secondary
teachers are highly qualified; an increase of 4.8%.
- During the past year, Alabama narrowed the gap from 17.1% to 8.2%
between core academic subject classes taught by highly qualified
teachers in high-poverty **middle/secondary** schools (80.3%) and
corresponding low-poverty schools (88.5%).
- The more recent and more accurate data reflects that Alabama's
greatest inequity in distribution of highly qualified teachers is in
middle/secondary schools that have a combination of variables:
- Among middle/secondary schools, schools that are high-poverty,
high-minority, [and]{.underline} identified for school
improvement are 14.2% more likely to have teachers who are not
highly qualified when compared to all middle/secondary schools.
Students who attend a school that is high-minority
[and]{.underline} identified for improvement are 22% more likely
to have teachers who are not highly qualified than their fellow
students in low-poverty, low-minority schools that are not
identified for improvement.
- Schools that are high-minority are 5.5% more likely to have
teachers that are not highly qualified than schools that are
high-poverty. This appears to be an indication that schools and
LEAs have heeded the state's counsel to address the needs of
high-poverty schools.
- Schools that are identified for school improvement and
high-minority are 14.8% more likely to have teachers that are
not highly qualified than schools that are identified for school
improvement and high-poverty.
**See Attachments #1, #2, #3, and #4.**
**Goals and Strategies for Addressing Inequities in Teacher Assignment**
In keeping with Alabama's "good faith effort" to implement fully the
NCLB highly qualified teacher requirement, state staff are already
implementing the Teacher Equity Plan. While many actions described
herein are underway, it is anticipated that implementation of these
actions will extend beyond other components of the revised State Plan
for Highly Qualified Teachers which are scheduled for completion during
the 2006-2007 school year.
The ultimate purpose of Alabama's Teacher Equity Plan is to ensure that
all students in the state's public schools are taught by highly
qualified, experienced, and effective teachers toward the goal of having
all students on grade level in reading and mathematics by 2014. More
specifically, the plan is designed to target state and federal resources
to implement enhancement and/or corrective strategies to ensure that
students in high-poverty and/or high-minority schools and/or schools
that did not make adequate yearly progress (AYP) are taught by highly
qualified and effective teachers.
In support of the plan's overall and targeted outcomes, the Alabama
Department of Education will continue working with the Governor's
Commission on Teaching Quality, the Governor's Education Policy Office,
the Alabama State Board of Education, LEA and school administrators and
teachers, and other education advocacy groups to secure and implement
supporting laws, regulations, policies, and practices. Further, staff
from the Alabama Department of Education will monitor monthly the
distribution of teachers among Alabama's schools, grades, and subjects,
to ensure that poor and minority students are not taught by unqualified,
inexperienced[^6], and out-of-field teachers at higher rates than other
students.
This plan describes strategies for increasing and ensuring equitable
distribution of highly qualified teachers around four basic tasks:
implementing teacher standards that are linked to student academic
achievement; identifying potential candidates and preparing teachers for
today's classrooms, providing high-quality professional growth
opportunities, and retaining a sufficient supply of highly qualified and
effective teachers.
**1.0 [High Teacher Standards]{.underline}**
Evidence of probable success: Teacher effectiveness, or teacher impact,
has been a frequent education research topic for many years and the
basic finding is clear: students learn more from "good" teachers. Some
of the most frequently cited research findings are from the work of
William Sanders, formerly of the University of Tennessee at Knoxville,
and his colleagues who demonstrated the impact of good teachers
initially and over time in sequential years of student learning and
assessed achievement.[^7] Other researchers have attempted to identify
attributes and skills that are consistently ascribed to "good" teachers.
These efforts have yielded few definitive findings; however, high
teacher verbal skills[^8] and a deep knowledge of subject matter[^9] are
consistent attributes of effective teachers.
Alabama's Governor's Commission on Teaching Quality, and other earlier
education advocacy and study groups, have grappled with defining and
describing "good" teachers in relation to articulating high teacher
standards. The Commission recently approved a set of research- and
evidence-based standards that are linked to Alabama's student academic
achievement standards and has forwarded their draft document to the
State Board of Education for review and, hopefully, soon approval. This
document describes five proposed standards -- Content Knowledge,
Teaching and Learning, Literacy, Diversity, and Professionalism -- for
Alabama teachers and provides a rationale and key indicators for each.
(The proposed standards may be accessed at:
<http://www.ti.state.al.us/>.)
The broad-based composition of the Governor's Commission as the
originating source of the *Alabama Quality Teaching Standards*, and
establishment of standards in state-level policy through approval of the
Alabama State Board of Education will ensure the success of their use.
The teaching standards will serve as a foundation for forthcoming
recommendations for a statewide teacher mentoring program, multi-level
certification, differentiated compensation, professional development
accountability, and revision to teacher preparation programs.
[High Teacher Standards Strategies]{.underline}
1.1 Upon adoption by the State Board of Education, the *Alabama Quality
Teaching Standards* will be disseminated to all LEAs and institutions of
higher education that have teacher preparation programs. Special
emphasis will be placed on ensuring that preparation programs
aggressively integrate the standards into their programs.
1.2 The Office of Leadership Development, a component of ADE's Classroom
Improvement Section, will develop a professional development module that
explains and supports the new standards. The session will be presented
to LEAs through each of the state's eleven Regional Inservice Centers.
This activity will emphasize the research basis of the *Alabama Quality
Teaching Standards* and the improvements that can be expected as a
result of consistent and thorough implementation.
1.3 The Office of Leadership Development, in conjunction with other
components of the ADE, will ensure that future professional development
offerings support and reinforce the tenants of the *Alabama Quality
Teaching Standards.*
**2.0 Teacher Preparation and Certification**
Evidence of probable success: All teachers must be well-prepared to
ensure academic success of all students in Alabama's public schools. In
addition to having deep and broad knowledge of their subjects, teachers
must know how to teach their subjects. Standards-based,
well-articulated, and meticulously implemented teacher preparation
programs are essential to ensuring, for example, that the Algebra I
instruction in School A is equivalent to Algebra I instruction in School
B and all other schools in the state. We cannot rely solely on the
academic content standards in the state's courses of study to achieve
equivalent instruction across classes, schools, and school systems.
During the past 10-12 years, studies of education programs and practices
in Alabama have yielded information and findings consistent with
research across the country. In 1999, the Governor's Commission on
Instructional Improvement and Academic Excellence in Alabama's Public
Schools was created by legislative action. After 15 months of intensive
work, that commission concluded that Alabama's teacher preparation
programs needed to be revamped to better prepare teachers for today's
student achievement expectations, student diversity, and other classroom
challenges. In response to recommendations, the State Board of Education
now requires teacher preparation programs to document, by student scores
that meet or exceed the state-approved minimum scores on appropriate
Praxis II tests, that teacher candidates demonstrate knowledge of
subjects they will be certified to teach as a pre-condition for
certification. Also, teacher preparation programs are held accountable
for their graduates based on teachers' scores on the state's
Professional Education Personnel Evaluation (PEPE). The higher education
report card provides a separate [program grade]{.underline} based on the
PEPE score earned by each first year teacher, according to the following
scale: to earn a program grade of A, 95-100% of new teachers must earn
the benchmark PEPE score; for a grade of B, 90-94% of new teachers must
earn the benchmark score; C = 85-89%; D = 80-84%; and F = 0-79%. No
action is required of an institution that receives a program grade of A,
B, or C. The State Superintendent of Education will recommend that the
Alabama State Board of Education rescind approval of a program that
receives a grade of D for two consecutive years, a grade of F for two
consecutive years, or a combination of a D and an F for two consecutive
years.
The [institution's grade]{.underline} is computed by totaling the number
of points earned by the separate programs (A=4, B=3, C=2, D=1, F=0) and
dividing by the number of programs for which a grade was received. To
earn a composite grade of A, an institution must document that at least
95% of new teachers across all programs achieved the PEPE benchmark
score. To earn a composite grade of B, an institution must document that
90-94% of new teachers across all programs achieved the PEPE benchmark
score. To earn a composite grade of C, an institution must document that
85-89% of new teachers across all programs achieved the PEPE benchmark
score. To earn a composite grade of D, an institution must document that
80-84% of new teachers across all programs achieved the PEPE benchmark
score. If less than 80% of new teachers achieve the PEPE benchmark
score, the institution's grade is F. No action is required if an
institution's composite grade is A or B. If the institution receives a
grade of C, D, or F, the teacher education unit must develop and submit
an improvement plan to the State Superintendent and notify all
candidates admitted to the targeted program(s). The State Superintendent
will recommend that the Alabama State Board of Education rescind
approval of an institution's program if: (1) an institution receives a
grade of D for two consecutive years, a grade of F for two consecutive
years, or a combination of a grade of D and a grade of F for two
consecutive year, or (2) a unit grade of C, D, or F is not raised to at
least a B within two scholastic years after the unit's plan is
implemented.
Alabama has acknowledged the impact of instructional leaders on teacher
working conditions and, more specifically, the impact of effective
instructional leadership on reducing teacher turnover.[^10] Institutions
of higher education that have educator preparation programs are now
required to use the *Alabama Standards for Instructional Leaders* as a
basis for their programs of study. It is believed that effective
teachers are more likely to remain in a school with less desirable
working conditions if the school leaders are more effective. Further,
improving the effectiveness of school leaders will improve the working
environment for teachers and may have a stabilizing effect for teacher
retention in high-need schools.
In light of the critical role of teacher preparation programs, the
12-point vision of the sitting Governor's Commission on Teaching Quality
includes points specifically related to teacher preparation programs.
The Commission Task Force on Selection and Preparation is addressing
policy issues for revising teacher preparation program standards to
align with the proposed *Alabama Quality Teaching Standards* and to
develop a model of teacher education that is more clinical, i.e.,
designed to provide more opportunities for practical development and
alignment of academic theory and knowledge and teaching practice in
actual school settings.
[Teacher Preparation and Certification Strategies]{.underline}
1. Advocate for development and funding for a loan/scholarship program
for prospective core-academic subject teachers. (Early discussions
recommend that a candidate receive a pre-specified amount of support
for up to two years of full-time enrollment and the annual amount
would increase after completion of all requirements for admission to
a teacher education program. The loan pay-back amount would be
reduced incrementally each year, up to five years, if the teacher is
hired by and continues teaching in a high-poverty, high-minority,
and/or low-performing school.)
2. Actively promote and solicit participation in the Troops-to-Teachers
Program which provides financial assistance to any qualified Armed
Forces veteran who pursues certification through an alternative
route and agrees to teach three years in a high-poverty LEA.
Priority will be given to candidates who pursue certification in
hard-to-staff subjects.
3. Require and facilitate training to be conducted by the Federal
Student Loan Assistance Program Office for student financial aid
staff in specified institutions of higher education to increase
their knowledge, understanding, and ability to provide sound
guidance for potential teacher candidates.
4. Conduct a formal study of the effectiveness of existing partnerships
focused on teacher preparation for high-poverty, high-minority urban
areas currently implemented at the University of Alabama at
Birmingham. Explore means of replication, if it is determined that
this program increases the number of highly qualified new teachers
who are well-prepared to work in challenging environments.
5. Advocate for development and funding of a tiered certification
process with increasing salaries and responsibility and decreasing
professional oversight and support as a teacher progresses through
(currently conceptualized) certification phases of intern,
novice/resident, professional, master, and expert/instructional
specialist.
6. Revise existing certification renewal requirements to simplify the
process and facilitate re-entry into the workforce of highly
qualified teachers who have demonstrated core academic subject
teaching effectiveness.
7. Require, facilitate, monitor, and conduct action research on
implementation of *Alabama Standards for Instructional Leaders* in
education administrator preparation programs in Alabama institutions
of higher education.
8. Advocate for teacher preparation programs, including development of
a strong accountability component, to be clinically based so that
teachers have ample opportunities to build effective pedagogical
skills during the preparation process.
9. Advocate for accountability of teacher preparation programs in
linking education to their university arts and sciences counterparts
in meaningful ways based on the *Alabama Quality Teaching
Standards*.
**3.0 Induction, Professional Development, and Teacher Mentoring**
Evidence of probable success: To ensure academic success of all students
in Alabama's public schools, teachers must continue to grow
professionally through participation in activities that are integrally
related to their classroom needs and that are aligned with state
academic content and student achievement standards. Each of the in-state
studies of education referenced herein have recommended that the state
take measures to increase the availability of high-quality professional
development and to strengthen requirements for teacher participation in
such activities. Based on a recommendation in the 2001 *Report of the
Governor's Commission on Instructional Improvement and Academic
Excellence* and NCLB's requirements for professional development, the
State Board of Education adopted the *Alabama Professional Development
Standards* in June 2002. These standards are based on standards and
definitions embraced by the National Staff Development Council and are
supported by research- and evidence-based literature.
Following are three examples of major professional development
initiatives that are currently implemented in Alabama:
- **Alabama Reading Initiative** -- begun in the mid-1990's as a
home-grown State Department of Education effort to improve reading
achievement by improving teachers' ability to teach reading -- is
now a fully state-funded, nationally recognized professional
development initiative that has actualized its early vision of
improved reading achievement.
- **Alabama Mathematics, Science, and Technology Initiative** (AMSTI)
-- modeled after the state's reading initiative and piloted in 2002
in one of the state's eleven regional in-service regions, is
well-supported by the current Governor and received \$15 million in
the fiscal year 2006 state budget. Mathematics and science teachers
in seven of the 11 regional in-service regions have now received
training and continue to receive on-going support through AMSTI.
Evaluation results indicate that students in AMSTI schools
out-perform their non-AMSTI peers in the areas of mathematics,
science, and reading on statewide academic assessments. Plans are in
place to expand AMSTI until training and support sites are located
in all eleven in-service center regions and all students in the
state are served through the initiative.
- **Alabama Teacher Leader Network** -- developed to provide
opportunities for teachers, with guidance from their principals, to
build leadership responsibilities, therefore building capacity for
improving the quality of teaching in Alabama's schools. In 2004-2005
the Teacher Leader Network was piloted in 66 Alabama schools that
did not make adequate yearly progress (AYP) on the spring 2004
statewide assessments. The program is a three-year pilot with Year
One focusing on school improvement; Year Two focusing on action
research; and Year Three focusing on coaching and mentoring. Lessons
learned from the pilot will enable the TLN to be expanded to all
schools statewide during 2006-2007.
Similar emphasis has been placed on the importance of intensive,
high-quality teacher mentoring for teachers who are inexperienced, those
who are teaching based on emergency or alternative certificates, and
teachers in schools identified for academic improvement. Admittedly,
this is an area that needs considerable work in Alabama; however, some
progress has been made in recent years. As an outgrowth of a project
that was funded through a Teacher Quality Enhancement (Title II) grant,
the State Board of Education adopted *Alabama Standards for Effective
Teacher Induction and Mentoring* in June 2004. These standards are based
on the NCLB definition and criteria for high-quality teacher mentoring
and are supported by research- and evidenced-based literature. LEAs and
schools that use state or federal funds for teacher mentoring must use
these standards as a basis for their programs.
1. Assign Peer Mentors (through the State Support Team) to schools
identified for School Improvement/Corrective Action and beyond to
provide model lessons and subject-specific, job-embedded
professional development for non-highly qualified, inexperienced,
and otherwise ineffective teachers. (Other Alabama Department of
Education staff from the Federal Programs Section will broker and
monitor similar assistance to schools identified for improvement for
less than three years.)
2. Conduct a statewide study to ascertain critical needs for teaching
English language learners (ELLs). Based on findings, contract for
services to develop and implement a multi-year training and
mentoring program for core academic subject teachers so that their
teaching practice is culturally relevant and employs knowledge,
understandings, skills, and strategies needed to effectively teach
core academic subjects to ELLs.
3. Implement, as a temporary action, an on-line teacher mentoring
program facilitated by the State Support Team to augment the
immediate provision of teacher mentors and subject coaches in
schools where data identifies inequitable distribution of highly
qualified teachers.
4. Implement, through the State Support Team and under the direction of
the Accountability Roundtable, a system of teacher mentoring and
subject coaching, that is based on individual teacher needs and
assignments for teachers who are: inexperienced; assigned to teach
core academic subjects in schools identified for improvement; hired
through the Troops-to-Teachers program; hold alternative
certificates; and/or otherwise identified as ineffective or not
highly qualified.
5. Advocate for development and funding of a statewide, state-required
teacher induction and mentoring program.
6. Continue, on the current schedule, expansion and full implementation
of AMSTI and, through the authority of the Accountability
Roundtable, require LEAs to use school improvement funds to support
mandated participation of eligible teachers.
7. Continue statewide implementation of the Alabama Reading Initiative,
including training for new-hires and periodic recertification
training; and, through the authority of the Accountability
Roundtable, emphasize and require full participation and
implementation in middle/secondary schools not making AYP.
8. Target Teacher Leader Network expansion to high-poverty,
high-minority and/or schools identified for improvement.
9. Closely monitor development and implementation of state-required LEA
professional development plans to ensure alignment with teacher and
student needs reflected by highly qualified teacher and student
academic achievement data.
10. Advocate for policy authority to require prior approval of teacher
professional development and to require that such professional
development be aligned with the *Alabama Quality Teaching Standards*
and meet the definition and criteria of high-quality professional
development in accordance with the *Alabama Professional Development
Standards*.
**4.0 Recruitment and Retention of Teachers in High-Need Schools**
Evidence of probable success: Some LEAs and schools are experiencing
teacher shortages as a result of increased enrollment, teacher
retirements, difficult working conditions, and rural/remote locations.
Some schools are seeking highly qualified, experienced teachers to
address academic achievement problems. Since, highly qualified and
effective teachers are in high demand everywhere, attracting and
retaining them is of utmost importance. In addition to increasing the
supply and further developing teachers, state policy-makers are working
on mechanisms to ensure that highly qualified, effective teachers remain
in Alabama and that adequate numbers choose to work in the state's
hardest to staff schools. To attract and keep good teachers in
less-desirable settings, factors that are valued by such teachers --
e.g., instructional leadership, working conditions, and compensation --
have to be improved or accentuated.[^11]
Alabama has a salary matrix that establishes a minimum salary based on a
teacher's education level and the number of years teaching experience.
Since funds for teacher salaries are allocated through a state budget
appropriation based on the salary matrix, the Alabama Department of
Education has encouraged LEAs to use available federal funds to provide
financial incentives to attract and retain highly qualified teachers.
Acknowledging that this strategy alone is grossly insufficient, the
sitting task forces of the Governor's Commission on Teaching Quality are
developing recommendations that will address multiple paths and
differentiated compensation based on varying responsibilities in the
teaching profession. It is anticipated that one recommendation or set of
recommendations will relate to a state-required, state-funded teacher
induction program that will be tied to tiered certification. Related
research shows consistently that high-quality induction and early
mentoring significantly increases the retention rate of teachers[^12]
and is cost-effective.
In the absence of a hoped-for state-funded induction system, the Alabama
Department of Education is strongly encouraging LEAs and schools to use
available state and federal funds to implement teacher induction
programs that are based on the state-adopted standards and the model
developed and piloted through the state's Title II-funded Teacher
Quality Enhancement grant.
1. Assist LEA staff in developing community partnerships that will
provide community-based incentives to highly qualified core-academic
subject teachers who agree to work in hard-to-staff schools and live
in the schools' communities.
2. Develop training modules and conduct training for local board of
education members, LEA and designated school staff, and staff from
selected state educational organizations on developing and
implementing effective policies, procedures, and practices for
recruiting, hiring, and retaining highly qualified teachers;
particularly in LEAs that are identified as having hard-to-staff
schools.
3. Advocate for the annual salary supplement for teachers who are
certified through the National Board for Professional Teaching
Standards be contingent upon agreement to teach for a specified
number of years in a low-performing or otherwise hard-to-staff
school or subject.
4. Conduct annual "refresher" training to reduce rater "drift" for
school administrators who are teacher evaluators. Require such
training for evaluators identified for re-training by the
Accountability Round Table, State Support Team.
5. Secure assistance from the Federal Student Loan Assistance Program
Office to develop and conduct a campaign to publicize and provide
current, detailed information about federal student loan assistance
programs to LEAs; particularly, to those with communities that have
hard-to-staff schools.
6. Advocate for development and funding for a teacher financial
incentive program to provide an end-of-year bonus to each highly
qualified, experienced core academic subject teacher who agrees to
teach in a high-poverty, high-minority, and/or low-performing
school. (Early discussions recommend that the bonus be tied to AYP
so that the bonus amount increases annually, up to a pre-specified
maximum amount, for each consecutive year of employment in the same
school that continues to make AYP.)
7. Collaborate with area education foundations and state agencies to
develop a campaign for working with local chambers of commerce,
county commissions, city councils, and other local stakeholders to
develop community-based incentives to attract and retain highly
qualified teachers. LEAs with significant teacher turnover that
results in relatively high numbers of inexperienced and otherwise
not highly qualified teachers will be the target audience for this
activity.
8. Advocate for modifications to retirement benefits restrictions to
facilitate re-entry of highly qualified, effective retired teachers
into the workforce to be hired in specified hard-to-staff schools.
9. Continue development and advocate for expansion funds for ACCESS
Distance Learning in Alabama. (ACCESS distance learning provides
high school students in Alabama public schools access to advanced
diploma courses, additional electives, and advanced placement
courses in schools that currently cannot provide these opportunities
due to lack of highly qualified and experienced teachers. ACCESS
teachers must be both highly qualified and experienced in teaching
their assigned on-line subjects/courses.)
**Monitoring to Ensure Progress Toward Equitable Distribution of
Highly Qualified Teachers**
Using the state's data system, Alabama will track teacher
qualifications, teacher assignments, student population demographics,
and academic accountability over time at the state level and at the LEA
and school levels. These data will be reported publicly through annual
report cards and will be used to ascertain the degree and effectiveness
of implementation of (1) the State Plan for Highly Qualified Teachers,
including the Teacher Equity Plan, and (2) LEA Plans for Highly
Qualified Teachers. Data will also be used to identify the need for
making mid-course corrections and to support the development of
additional policies to address stubborn or residual inequities in the
distribution of highly qualified, inexperienced, and out-of-field
teachers.
Following are monitoring strategies that will be employed during the
2006-2007 school year and beyond to ensure that state actions described
in Alabama's State Plan for Highly Qualified Teachers (Revised-July
2006) (and modified in September and November 2006) are effectively
implemented. These same strategies will be used by Alabama Department of
Education staff to monitor implementation of LEA Plans for Highly
Qualified Teachers and, more specifically, to examine the issue of
equitable teacher assignment when monitoring LEAs through the
Comprehensive State Monitoring reviews. Particular attention will be
given to LEAs that data indicate need corrective actions to remedy
inequitable distribution of highly qualified and experienced teachers
and, more specifically, the LEAs in that group that are high-poverty,
high-minority, and/or identified for school improvement.
1. Information Systems Services staff will generate and disseminate to
designated Department of Education staff monthly reports of teacher
qualifications and assignments -- by LEA, schools within the LEA,
grade range, and core academic subject.
2. The Teacher Education and Certification Director will disseminate
monthly reports, with administrative annotations of comparisons to
the previous month's report, to designated Department administrators
and to field staff. Summaries will highlight assignments of
non-highly qualified teachers, including those who are: assigned
out-of-field, working under emergency or alternative certificates,
and/or [inexperienced]{.underline}.
3. Field staff will use progress report summaries during monthly
on-site technical assistance and monitoring work sessions with LEA
staff to review progress toward implementation of LEA Plans for
Highly Qualified Teachers. Field-based staff will address,
specifically, assignments of [inexperienced]{.underline} and
otherwise non-highly qualified teachers to ensure that progress is
being made toward achieving highly qualified staff and that
high-quality teacher mentoring and/or subject-specific coaching is
being provided in each case.
4. Field-based staff will submit formal monitoring updates to a team of
Department of Education staff biannually. The ADE team will review
monitoring reports, discuss challenges and solutions, and re-direct
resources to accomplish desired goals.
5. Cases on non-compliance that are not remedied immediately by the LEA
through established technical assistance, monitoring follow-up, and
(when needed) additional state support, will be forwarded to the
Deputy State Superintendent of Education-Professional Services
Division for administrative action.
In addition to the strategies described above, the Alabama Department of
Education will continue use of the state, LEA, and school report card
system to monitor and publicly report progress of LEAs toward reaching
and maintaining the goal of having all core academic subject teachers
highly qualified. It is believed that actions and strategies planned by
the Governor's Commission on Teaching Quality and described in this plan
will increase the number of highly qualified teachers and will target
access to those teachers to LEAs with hard-to-staff schools. The
Governor's Commission on Quality Teaching commenced work on January 17,
2006, and is expected to fully implement its recommendations over a
period of five years.
[^1]: *What Matters Most: Teaching for America's Future*, National
Commission on Teaching and America's Future, 1996
[^2]: *Teaching and Learning: Meeting the Challenge of High Standards --
A Report to the People of Alabama.* Montgomery, AL: A+ Education
Foundation. 1999, p. 3
[^3]: R. Ingersoll, cited in National Commission on Teaching and
America's Future*, No Dream Denied: A Pledge to America's Children*
(Washington, DC: NCTAF, 2003), pp. 27, 37.
[^4]: An "inexperienced" teacher is one who has taught a subject and/or
grade level for which he/she is properly certified for less than
three (3) full academic years.
[^5]: "High-minority" is the top quartile of schools when all schools in
the state are ranked from the highest to lowest percentage of
students identified by the state's demographic identifiers as
"minority." "Low-poverty" is the bottom quartile of schools from
that ranking method.
[^6]: For the purpose of identifying teachers as "inexperienced" and
are, thereby, the target audience for induction and/or teaching
mentoring, an "inexperienced" teacher is one who as taught for less
than three (3) full academic years.
[^7]: Sanders, W. L. & Rivers, J. C. (1998). Cumulative and residual
effects of teachers on future student academic achievement. In
Education Trust, *Thinking K-16: Good teaching matters: How well
qualified teachers can close the gap*.
[^8]: Ehrenberg. R. G. & Brewer, D. J. (1995). Did teachers' verbal
ability and race matter in the 1960s? Coleman revisited. *Economics
of Education Review, 14* (1), 1-21.
[^9]: Goldhaber, D. D. & Brewer, D. J. (1999). Teacher licensing and
student achievement. In M. Kanstoroom and C. Finn (Eds.), *Better
teachers, better schools*, (pp.215.238). Washington, DC: Thomas B.
Fordham Foundation.
[^10]: Ingersoll, R. (2001, January*). Teacher turnover, teacher
shortages, and the organization of schools*. Seattle: University of
Washington, Center for the Study of Teaching and Policy.
[^11]: Kirby, S., Naftel, S., & Berends, M. (1999). *Staffing at-risk
school districts in Texas: Problems and prospects*, pp. 57-58. Santa
Monica, CA: Rand.
[^12]: Smith, T., & Ingersoll, R. (2004). "What are the effects of
induction and mentoring on beginning teacher turnover?" *American
Educational Research Journal, 41*(2).
|
en
|
all-txt-docs
|
217859
|
SITE_ID,EPA_FACIL_ID,SITE_NAME,COUNTY,STATE,SITE_ALIAS_NAME,ALIAS_ID,ALIAS_ADDRESS,ALIAS_CITY,ALIAS_ZIP
0406924,NCSFN0406924,"V.C. CHEMICAL-WADESBORO",ANSON,NC,"VC CHEMICAL-WADESBORO",101,"STANBACK FERRY ROAD",WADESBORO,28170
0404280,NCD981475932,"FCX, INC. (WASHINGTON PLANT)",BEAUFORT,NC,"F C X (WASHINGTON PLANT)",101,"NC",BEAUFORT,
0404280,NCD981475932,"FCX, INC. (WASHINGTON PLANT)",BEAUFORT,NC,"F C X, INC (WASHINGTON PLANT)",201,"",NC,
0404280,NCD981475932,"FCX, INC. (WASHINGTON PLANT)",BEAUFORT,NC,"FCX, INC. (WASHINGTON PLANT)",202,"GRIMES RD",WASHINGTON,27889
0402763,NCD045922986,"FLANDERS FILTERS INC",BEAUFORT,NC,"FLANDERS FILTERS INC",101,"NC",BEAUFORT,
0405289,NCD003196847,"NATIONAL SPINNING CO",BEAUFORT,NC,"NATIONAL SPINNING CO",101,"NC",BEAUFORT,
0402628,NCD003184710,"CAROLINA CREOSOTING CORP",BRUNSWICK,NC,"CAROLINA CREOSOTING CORP",101,"NC",BRUNSWICK,
0402792,NCD051827905,"ESTECH GENL CHEMS CORP",BRUNSWICK,NC,"ESTECH GENL CHEMS CORP",101,"NC",NEW HANOVER,
0402792,NCD051827905,"ESTECH GENL CHEMS CORP",BRUNSWICK,NC,"SWIFT AGRI CHEM CORP",201,"NC",NEW HANOVER,
0403028,NCD980557805,"KERR-MCGEE CHEM CORP",BRUNSWICK,NC,"KERR-MCGEE CHEM CORP",101,"NC",BRUNSWICK,
0403028,NCD980557805,"KERR-MCGEE CHEM CORP",BRUNSWICK,NC,"KERR-MCGEE",201,"NC",BRUNSWICK,
0403122,NCD981023260,"POTTER'S SEPTIC TANK SERVICE PITS",BRUNSWICK,NC,"POTTER'S SEPTIC TANK SVS PITS",101,"NC",BRUNSWICK,
0403122,NCD981023260,"POTTER'S SEPTIC TANK SERVICE PITS",BRUNSWICK,NC,"POTTERS PIT",201,"NC",BRUNSWICK,
0403122,NCD981023260,"POTTER'S SEPTIC TANK SERVICE PITS",BRUNSWICK,NC,"POTTERS SEPTIC TANK",301,"NC",BRUNSWICK,
0403122,NCD981023260,"POTTER'S SEPTIC TANK SERVICE PITS",BRUNSWICK,NC,"POTTERS SEPTIC TANK",401,"NC",BRUNSWICK,
0403122,NCD981023260,"POTTER'S SEPTIC TANK SERVICE PITS",BRUNSWICK,NC,"POTTER'S SEPTIC TANK SERVICE PITS",402,"OFF 74-76",SANDY CREEK,27541
0403122,NCD981023260,"POTTER'S SEPTIC TANK SERVICE PITS",BRUNSWICK,NC,"POTTER'S SEPTIC TANK SERVICE PITS",403,"OFF 74-76 NEAR SANDY CREEK & NORTHWEST",MACO,28451
0405579,NC0210020541,"US DOD MILITARY OCEAN TER./SUNNY POINT",BRUNSWICK,NC,"SUNNY POINT MILITARY OCEAN TERMINAL",4270166,"ATTN: MTE SU-FE",SOUTHPORT,37388
0402586,NCD001704980,"WILMINGTON BRANCH",BRUNSWICK,NC,"WILMINGTON BRANCH",101,"NC",BRUNSWICK,
0406895,NCD044447589,"BLUE RIDGE PLATING COMPANY",BUNCOMBE,NC,"BLUE RIDGE PLATING COMPANY",101,"171 GLENN BRIDGE ROAD",ARDEN,28704
0402957,NCD095459392,"CHEMTRONICS, INC.",BUNCOMBE,NC,"CHEMTRONICS INC",101,"NC",BUNCOMBE,
0402957,NCD095459392,"CHEMTRONICS, INC.",BUNCOMBE,NC,"AMCEL PROPULSION INC.(NCD980557995)",201,"NC",BUNCOMBE,
0402957,NCD095459392,"CHEMTRONICS, INC.",BUNCOMBE,NC,"AMCEL PROPULSION INC",301,"NC",BUNCOMBE,
0402957,NCD095459392,"CHEMTRONICS, INC.",BUNCOMBE,NC,"CHEMTRONICS, INC",302,"OLD BEE TREE RD",SWANNANOA,28778
0402957,NCD095459392,"CHEMTRONICS, INC.",BUNCOMBE,NC,"CHEMTRONICS, INC.",303,"OLD BEE TREE RD",SWANNANOA,28778
0405443,NCD062548995,"QUORUM KNITTING",BUNCOMBE,NC,"QUORUM KNITTING",101,"NC",BUNCOMBE,
0402833,NCD062552153,"SAYLES-BILTMORE BLEACHERIES",BUNCOMBE,NC,"SAYLES-BILTMORE BLEACHERIES",101,"NC",BUNCOMBE,
0402753,NCD044440303,"BYPASS 601 GROUND WATER CONTAMINATION",CABARRUS,NC,"BYPASS 601 GROUNDWATER CONTAMINATION",101,"NC",CABARRUS,
0402753,NCD044440303,"BYPASS 601 GROUND WATER CONTAMINATION",CABARRUS,NC,"MARTIN'S SCRAP RECYCLING INC",201,"NC",CABARRUS,
0402753,NCD044440303,"BYPASS 601 GROUND WATER CONTAMINATION",CABARRUS,NC,"BYPASS 601 GROUND WATER CONTAMINATION",202,"440 HWY 29 NORTH",CONCORD,28025
0402688,NCD003448610,"GALVAN INDUSTRIES INC",CABARRUS,NC,"GALVAN INDUSTRIES INC",101,"NC",CABARRUS,
0402932,NCD086871282,"CALDWELL SYSTEMS INC",CALDWELL,NC,"CALDWELL SYSTEMS INC",101,"NC",CALDWELL,
0402932,NCD086871282,"CALDWELL SYSTEMS INC",CALDWELL,NC,"CALDWELL COUNTY LANDFILL",201,"",NC,
0402932,NCD086871282,"CALDWELL SYSTEMS INC",CALDWELL,NC,"HAAS, TRUITT PROPERTY (FORMER)",301,"",NC,
0403183,NC5210022906,"USA RESERVE XVIII AIRBORNE CORPS",CARTERET,NC,"USA RESERVE XVIII AIRBORNE CORPS",101,"NC",CARTERET,
0403183,NC5210022906,"USA RESERVE XVIII AIRBORNE CORPS",CARTERET,NC,"MOREHEAD CITY ARMY RESERVE CENTER",4270084,"405 FISHER ST",MOREHEAD CITY,36115-2601
0402802,NCD053488557,"SOUTHERN WOOD PIEDMONT CO",CHATHAM,NC,"SOUTHERN WOOD PIEDMONT CO",101,"NC",CHATHAM,
0402687,NCD003446721,"CELANESE CORP. (SHELBY FIBER OPERATIONS)",CLEVELAND,NC,"CELANESE CORP SHELBY FIBER OPERATIONS",101,"NC",CLEVELAND,
0402687,NCD003446721,"CELANESE CORP. (SHELBY FIBER OPERATIONS)",CLEVELAND,NC,"FIBER INDUSTRIES INC",201,"NC",CLEVELAND,
0402687,NCD003446721,"CELANESE CORP. (SHELBY FIBER OPERATIONS)",CLEVELAND,NC,"CELANESE CORP. (SHELBY FIBER OPERATIONS)",202,"HWY 198",SHELBY,28150
0402705,NCD024459471,"GUYTON BATTERY SERVICE",COLUMBUS,NC,"GUYTON BATTERY SERVICE",101,"NC",COLUMBUS,
0403159,NCD991278631,"HOLTRA CHEM/HONEYWELL INC.",COLUMBUS,NC,"LCP CHEMS-NC INC",101,"NC",COLUMBUS,
0403159,NCD991278631,"HOLTRA CHEM/HONEYWELL INC.",COLUMBUS,NC,"LCP CHEMS/ACME PLT",201,"NC",COLUMBUS,
0403159,NCD991278631,"HOLTRA CHEM/HONEYWELL INC.",COLUMBUS,NC,"LCP CHEMS-NC INC",202,"IND DR",RIEGELWOOD,28456
0406962,NCSFN0406962,"VINEGAR HILL LEAD SITE",COLUMBUS,NC,"WILLIAM STORE SITE",101,"701 N & MINOS MEARS",TABOR CITY,,28463
0402720,NCD024766719,"WRIGHT CHEMICAL CORP",COLUMBUS,NC,"WRIGHT CHEMICAL CORP",101,"NC",COLUMBUS,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMC AIR STATION CHERRY POINT",101,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMCAS/MAG 14 SUPPLY",201,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"US MARINE CORPS/EOD RANGE",301,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMC/TRNG AREA 4",401,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMC/DEF PROP DSPL OFC",501,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMCAS/OLD SAN LDFL",601,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMC/DEF PROP DSPL OFC",701,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMCAS/IND SLUDGE PIT",801,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMCAS/INCIN",901,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMCAS/FACILS MANITENANCE COMPOUND",1001,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMCAS/CRASH CREW TRNING BERMS/RUNWAY 28",1101,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMC/DEF PROP DSPL OFC",1201,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"USMCAS/GREASE PIT",1301,"NC",CRAVEN,
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"CHERRY POINT MARINE CORPS AIR STATION",1302,"NC HWY 101",CHERRY POINT,28533
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"CHERRY POINT MARINE CORPS AIR STATION",1303,"ROOSEVELT BLVD. AND SLOCUM RD.",HAVELOCK,28533
0403174,NC1170027261,"CHERRY POINT MARINE CORPS AIR STATION",CRAVEN,NC,"MARINE CORPS AIR STATION CHERRY POINT",4270076,"US HWY 101 & US HWY 70",CHERRY POINT,38113
0402649,NCD003201837,"ENCEE CHEMICAL SALES INC",CRAVEN,NC,"ENCEE CHEMICAL SALES INC",101,"NC",CRAVEN,
0405543,NCD980802839,"USMC SLOCUM CRK MARINE CORPS AIR STA",CRAVEN,NC,"USMC SLOCUM CRK MARINE CORPS AIR STA",101,"NC",CRAVEN,
0402634,NCD003188828,"CAPE FEAR WOOD PRESERVING",CUMBERLAND,NC,"CAPE FEAR WOOD PRESERVING",101,"NC",CUMBERLAND,
0402634,NCD003188828,"CAPE FEAR WOOD PRESERVING",CUMBERLAND,NC,"CAPE FEAR WOOD PRESERVING",102,"REILLY RD",FAYETTEVILLE,28303
0402635,NCD003188844,"CAROLINA TRANSFORMER CO.",CUMBERLAND,NC,"CAROLINA TRANSFORMER",101,"NC",CUMBERLAND,
0402635,NCD003188844,"CAROLINA TRANSFORMER CO.",CUMBERLAND,NC,"CAROLINA TRANSFORMER CO",102,"HWY 301 N EASTERN BLVD",FAYETTEVILLE,28301
0402635,NCD003188844,"CAROLINA TRANSFORMER CO.",CUMBERLAND,NC,"CAROLINA TRANSFORMER CO.",103,"HWY 301 N EASTERN BLVD",FAYETTEVILLE,28301
0407456,NCD986178226,"TEXFI BLENDS INC.",CUMBERLAND,NC,"TEXFI BLENDS INC.",101,"",,
0407456,NCD986178226,"TEXFI BLENDS INC.",CUMBERLAND,NC,"TEXFI BLENDS",102,"601 HOFFER DRIVE",FAYETTEVILLE,28301
0405135,NC1690308233,"CAPE HATTERAS NATIONAL SEASHORE",DARE,NC,"NPS-CAPE HATTERAS NATIONAL SEASHORE",4270162,"DARE COUNTY",RODANTHE,32055
0402542,NCD000648402,"BATTERY TECH (DURACELL-LEXINGTON)",DAVIDSON,NC,"BATTERY TECH (DURACELL LEXINGTON)",101,"NC",DAVIDSON,
0402542,NCD000648402,"BATTERY TECH (DURACELL-LEXINGTON)",DAVIDSON,NC,"FARMERS MUTUAL EXCHANGE",201,"NC",DAVIDSON,
0403008,NCD980557581,"LEXINGTON MUNI LDFL",DAVIDSON,NC,"LEXINGTON MUNI LDFL",101,"NC",DAVIDSON,
0406956,NCSFN0406956,"BALL ROAD TRAILER",DURHAM,NC,"DURHAM ABANDONED DRUMS SITE",101,"7208 BALL ROAD",BAHAMA,275039438
0405234,NCD037160116,"SCM-GLIDDEN METAL FINISHERS",DURHAM,NC,"SCM-GLIDDEN METAL FINISHERS",101,"NC",DURHAM,
0405582,NC6680090002,"US EPA TECH CTR",DURHAM,NC,"TECHNOLOGY CENTER",4270169,"HWY 54 & ALEXANDER DRIVE",RESEARCH TRIANGLE PARK,35160
0403196,NC8210021624,"USA RESERVE XVIII AIRBORNE CORPS",EDGECOMBE,NC,"USA RESERVE XVIII AIRBORNE CORPS",101,"NC",EDGE,
0403196,NC8210021624,"USA RESERVE XVIII AIRBORNE CORPS",EDGECOMBE,NC,"ROCKY MOUNT ARMY RESERVE CENTER",4270095,"804 FAIRVIEW RD",ROCKY MOUNT,37319
0402549,NCD000770487,"JOHNSON CONTROLS GLOBE BATTERY DIV",FORSYTH,NC,"JOHNSON CONTROLS GLOBE BATTERY DIV",101,"NC",FORSYTH,
0402755,NCD044444735,"CROMPTON & KNOWLES CORP",GASTON,NC,"CROMPTON & KNOWLES CORP",101,"NC",GASTON,
0405489,NCD986175644,"DAVIS PARK ROAD TCE",GASTON,NC,"DAVIS PARK ROAD TCE SITE",101,"",,
0405489,NCD986175644,"DAVIS PARK ROAD TCE",GASTON,NC,"DAVIS PARK ROAD TCE",102,"2307 DAVIS PARK ROAD",GASTONIA,28052
0403079,NCD980729602,"JADCO-HUGHES FACILITY",GASTON,NC,"JADCO-HUGHES",101,"NC",GASTON,
0403079,NCD980729602,"JADCO-HUGHES FACILITY",GASTON,NC,"JADCO",201,"NC",GASTON,
0403079,NCD980729602,"JADCO-HUGHES FACILITY",GASTON,NC,"JADCO-HUGHES FACILITY",202,"NC HWY 2035",BELMONT,28012
0406610,NCD986223170,"MCBESS INDUSTRIES",GASTON,NC,"MCBESS IND HIGH SHOALS DIVISION",101,"",NC,
0405619,NCD986187128,"NORTH BELMONT PCE",GASTON,NC,"NORTH BELMONT PCE SITE",4270029,"",,
0405619,NCD986187128,"NORTH BELMONT PCE",GASTON,NC,"NORTH BELMONT PCE",4270030,"WOODLAWN ROAD AT CHURCH STREET",NORTH BELMONT,28012
0405619,NCD986187128,"NORTH BELMONT PCE",GASTON,NC,"NORTH BELMONT PCE",4270031,"WOODLAWN AVENUE",NORTH BELMONT,28012
0404841,NC0980557979,"USFS NANTAHALA NATIONAL FOREST",GRAHAM,NC,"USDA-FS GRAHAM COUNTY LANDFILL",101,"ATOHAH ROAD",GRAHAM,28771
0404841,NC0980557979,"USFS NANTAHALA NATIONAL FOREST",GRAHAM,NC,"USDA-FS GRAHAM COUNTY LANDFILL",102,"",NC,
0404841,NC0980557979,"USFS NANTAHALA NATIONAL FOREST",GRAHAM,NC,"SWAIN COUNTY LANDFILL",201,"ON BUCKNER'S RANCH",BRYSON CITY,28713
0404841,NC0980557979,"USFS NANTAHALA NATIONAL FOREST",GRAHAM,NC,"SWAIN COUNTY LANDFILL",202,"",NC,
0404841,NC0980557979,"USFS NANTAHALA NATIONAL FOREST",GRAHAM,NC,"NANTAHALA NF: GRAHAM COUNTY LANDFILL",4270160,"NORTH OF SNOWBIRD MOUNTAIN",ROBBINSVILLE,39309-5003
0404327,NCD122263825,"JFD ELECTRONICS/CHANNEL MASTER",GRANVILLE,NC,"JFD ELECTRONICS/CHANNEL MASTER",101,"NC",GRANVILLE,
0404327,NCD122263825,"JFD ELECTRONICS/CHANNEL MASTER",GRANVILLE,NC,"JFD ELECTRONICS/CHANNEL MASTER",102,"INDUSTRY DRIVE",OXFORD,27565
0403075,NCD980729412,"CAROLINA TANK CLEANING CO",GUILFORD,NC,"CAROLINA TANK CLEANING CO",101,"NC",GUILFORD,
0403006,NCD980557565,"HIGH POINT CITY LANDFILL",GUILFORD,NC,"HIGH POINT CITY LANDFILL",101,"NC",GUILFORD,
0403006,NCD980557565,"HIGH POINT CITY LANDFILL",GUILFORD,NC,"HIGH POINT/CITY OFF",201,"",NC,
0402961,NCD096165121,"TEXACO INC",GUILFORD,NC,"TEXACO INC",101,"NC",GUILFORD,
0403125,NCD981027915,"J STREET SITE",HARNETT,NC,"J STREET SITE",101,"NC",HARNETT,
0406989,NCSFN0406989,"BARBER ORCHARD",HAYWOOD,NC,"BARBER ORCHARD",101,"U.S. HIGHWAY 23/74",WAYNESVILLE,28786
0406989,NCSFN0406989,"BARBER ORCHARD",HAYWOOD,NC,"BARBER ORCHARD",102,"",,
0403124,NCD981026479,"BENFIELD INDUSTRIES, INC.",HAYWOOD,NC,"BENFIELD INDUSTRIES, INC",101,"NC",HAYWOOD,
0403124,NCD981026479,"BENFIELD INDUSTRIES, INC.",HAYWOOD,NC,"BENFIELD INDUSTRIES, INC",102,"RICHLAND ST.",HAZELWOOD,28738
0403124,NCD981026479,"BENFIELD INDUSTRIES, INC.",HAYWOOD,NC,"BENFIELD INDUSTRIES, INC.",103,"RICHLAND ST.",HAZELWOOD,28738
0402893,NCD079044426,"GENERAL ELECTRIC CO/SHEPHERD FARM",HENDERSON,NC,"GENL ELEC CO LSD",101,"NC",HENDERSON,
0402893,NCD079044426,"GENERAL ELECTRIC CO/SHEPHERD FARM",HENDERSON,NC,"GE/DRY/PND",201,"NC",HENDERSON,
0402893,NCD079044426,"GENERAL ELECTRIC CO/SHEPHERD FARM",HENDERSON,NC,"G E WASTE PROC WATER POND",301,"NC",HENDERSON,
0402893,NCD079044426,"GENERAL ELECTRIC CO/SHEPHERD FARM",HENDERSON,NC,"GENERAL ELECTRIC CO./SHEPHERD FARM",302,"SPARTANBURG HWY",EAST FLAT ROCK,28726
0402893,NCD079044426,"GENERAL ELECTRIC CO/SHEPHERD FARM",HENDERSON,NC,"GENERAL ELECTRIC CO/SHEPHERD FARM",303,"SPARTANBURG HWY",EAST FLAT ROCK,28726
0402844,NCD065288847,"CF INDS INC",HERTFORD,NC,"CF INDS INC",101,"NC",HERTFORD,
0402844,NCD065288847,"CF INDS INC",HERTFORD,NC,"NC NITROGEN COMPLEX",201,"NC",HERTFORD,
0403190,NC6570027460,"USAF DARE COUNTY RANGE SEYMOUR JOHNSON",HYDE,NC,"USAF DARE COUNTY RANGE SEYMOUR JOHNSON",101,"NC",HYDE,
0404225,NCD095458527,"FCX, INC. (STATESVILLE PLANT)",IREDELL,NC,"F C X., INC (STATESVILLE PLANT)",101,"NC",IREDELL,
0404225,NCD095458527,"FCX, INC. (STATESVILLE PLANT)",IREDELL,NC,"FCX, INC. (STATESVILLE PLANT)",102,"1620 W. FRONT ST.",STATESVILLE,28677
0406611,NCD062555792,"SIGMON'S SEPTIC TANK SERVICE",IREDELL,NC,"AAA ENTERPRISES",101,"EUFOLA ROAD OFF BUFFALO SHOALS",STATESVILLE,28677
0406611,NCD062555792,"SIGMON'S SEPTIC TANK SERVICE",IREDELL,NC,"AAA ENTERPRISES",102,"",NC,
0406611,NCD062555792,"SIGMON'S SEPTIC TANK SERVICE",IREDELL,NC,"SIGMON'S SEPTIC TANK SERVICE",103,"1268 EUFOLA ROAD",STATESVILLE,28677
0405199,NCD981744618,"UNITED ORGANICS",MARTIN,NC,"UNITED ORGANICS",101,"NC",MARTIN,
0403156,NCD991278540,"WEYERHAEUSER CO PLYMOUTH WOOD TRTNG PT",MARTIN,NC,"WEYERHAUSER CO WOOD TREATING PLT",0,"",,
0403156,NCD991278540,"WEYERHAEUSER CO PLYMOUTH WOOD TRTNG PT",MARTIN,NC,"WEYERHAEUSER CO PLYMOUTH WOOD TRTNG PT",101,"NC",MARTIN,
0403156,NCD991278540,"WEYERHAEUSER CO PLYMOUTH WOOD TRTNG PT",MARTIN,NC,"WEYERHAEUSER CO PLYMOUTH WOOD TRTNG PT",201,"NC",MARTIN,
0406402,NCD024740433,"E. C. MANUFACTURING",MECKLENBURG,NC,"EVERLOCK CHARLOTTE DIVISION",101,"",NC,
0402591,NCD002462414,"JONES CHEMICALS INC OF NORTH CAROLINA",MECKLENBURG,NC,"JONES CHEMICALS INC OF NORTH CAROLINA",101,"NC",MECKLENBURG,
0407421,NCD097361018,"KIN PROPERTIES ABANDONED DRUMS",MECKLENBURG,NC,"EASTERN ELECTRIC APPARATUS REPAIR CO.",101,"920 EASTWAY DRIVE",CHARLOTTE,28218
0402588,NCD001810365,"MARTIN-MARIETTA, SODYECO, INC.",MECKLENBURG,NC,"MARTIN MARIETTA-SODYECO DIVISION",101,"NC",MECKLENBURG,
0402588,NCD001810365,"MARTIN-MARIETTA, SODYECO, INC.",MECKLENBURG,NC,"MARTIN MARIETTA-SODYECO DIVISION",201,"NC",MECKLENBURG,
0402588,NCD001810365,"MARTIN-MARIETTA, SODYECO, INC.",MECKLENBURG,NC,"MARTIN-MARIETTA, SODYECO, INC",202,"HWY 27 W",CHARLOTTE,28210
0402588,NCD001810365,"MARTIN-MARIETTA, SODYECO, INC.",MECKLENBURG,NC,"MARTIN-MARIETTA, SODYECO, INC.",203,"HWY 27 W",CHARLOTTE,28210
0402588,NCD001810365,"MARTIN-MARIETTA, SODYECO, INC.",MECKLENBURG,NC,"MARTIN-MARIETTA, SODYECO, INC.",204,"HWY 27 W",CHARLOTTE,28214
0406303,NCD982096653,"RAM LEATHER CARE SITE",MECKLENBURG,NC,"RAM LEATHER CARE",101,"15100 ALBEMARLE RD.",CHARLOTTE,28227
0405508,NCD986176030,"RHODERIA DRIVE WELLS",MECKLENBURG,NC,"RHODERA DRIVE WELLS",101,"2126 RHODERA DRIVE",MATTHEWS,28106
0406112,NCD986232213,"SUMMIT RESOURCE MANAGEMENT",MECKLENBURG,NC,"SUMMIT RESOURCE MANGEMENT",101,"3481 GRIBBLE ROAD",MATTHEWS,28105
0406103,NCD986231967,"TOM SADLER ROAD WELLS",MECKLENBURG,NC,"TOM SANDLER ROAD WELLS",101,"2128 TOM SADLER ROAD",CHARLOTTE,28214
0406103,NCD986231967,"TOM SADLER ROAD WELLS",MECKLENBURG,NC,"TOM SADLER ROAD WELLS",102,"2128 TOM SADLER ROAD",CHARLOTTE,28214
0403099,NCD980843346,"ABERDEEN PESTICIDE DUMPS",MOORE,NC,"ABERDEEN PESTICIDE DUMPS",101,"NC",MOORE,
0403099,NCD980843346,"ABERDEEN PESTICIDE DUMPS",MOORE,NC,"FARM CHEMICAL",201,"NC",MOORE,
0403099,NCD980843346,"ABERDEEN PESTICIDE DUMPS",MOORE,NC,"ROUTE 211",301,"NC",MOORE,
0403099,NCD980843346,"ABERDEEN PESTICIDE DUMPS",MOORE,NC,"FAIRWAY SIX",401,"NC",MOORE,
0403099,NCD980843346,"ABERDEEN PESTICIDE DUMPS",MOORE,NC,"ABERDEEN PESTICIDES TWIN SITES",501,"NC",MOORE,
0403099,NCD980843346,"ABERDEEN PESTICIDE DUMPS",MOORE,NC,"MCIVER PESTICIDE SITE",601,"NC",MOORE,
0403099,NCD980843346,"ABERDEEN PESTICIDE DUMPS",MOORE,NC,"RT.211-ABERDEEN PESTICIDES",901,"NC",MOORE,
0403099,NCD980843346,"ABERDEEN PESTICIDE DUMPS",MOORE,NC,"ABERDEEN PESTICIDE DUMPS",902,"OFF HWY 5 W",ABERDEEN,28315
0402775,NCD048181218,"CAROLINA GALVANIZING CORP",MOORE,NC,"CAROLINA GALVANIZING CORP",101,"NC",MOORE,
0404170,NCD981927502,"GEIGY CHEMICAL CORP. (ABERDEEN PLANT)",MOORE,NC,"GEIGY CHEMICAL CORP.",101,"NC",MOORE,
0404170,NCD981927502,"GEIGY CHEMICAL CORP. (ABERDEEN PLANT)",MOORE,NC,"GEIGY CHEMICAL CORP. (ABERDEEN PLANT)",201,"",NC,
0404170,NCD981927502,"GEIGY CHEMICAL CORP. (ABERDEEN PLANT)",MOORE,NC,"GEIGY CHEMICAL CORP. (ABERDEEN PLANT)",202,"RT.211,.4MI WEST OF SR 2063",ABERDEEN,28315
0402681,NCD003234549,"SCM PROCTOR SILEX",MOORE,NC,"SCM PROCTOR SILEX",101,"NC",MOORE,
0402813,NCD055359079,"MASONITE CORP FIBERBOARD DIV",NASH,NC,"MASONITE CORP FIBERBOARD DIV",101,"NC",NASH,
0402580,NCD000830646,"CAROLINA P&L CO SUTTON STEAM ELEC PLT",NEW HANOVER,NC,"CAROLINA P&L CO SUTTON STEAM ELEC PLT",101,"NC",NEW HANOVER,
0403030,NCD980557821,"DOW CHEM PLT CAPE FEAR",NEW HANOVER,NC,"DOW CHEM PLT CAPE FEAR",101,"NC",NEW HANOVER,
0403139,NCD990734055,"HERCOFINA",NEW HANOVER,NC,"HERCOFINA",101,"NC",NEW HANOVER,
0403139,NCD990734055,"HERCOFINA",NEW HANOVER,NC,"HERCOFINA/HANOVER PLT",201,"NC",NEW HANOVER,
0403139,NCD990734055,"HERCOFINA",NEW HANOVER,NC,"HANOVER PLT INJ WELL (HERCOFINA)",301,"NC",NEW HANOVER,
0403139,NCD990734055,"HERCOFINA",NEW HANOVER,NC,"HERCOFINA/HANOVER PLT",401,"NC",NEW HANOVER,
0403139,NCD990734055,"HERCOFINA",NEW HANOVER,NC,"HANOVER PLT WST ACT SLUDGE LA (HERCOFINA",501,"NC",NEW HANOVER,
0403139,NCD990734055,"HERCOFINA",NEW HANOVER,NC,"HANOVER PLT PROC WST LA (HERCOFINA)",601,"NC",NEW HANOVER,
0403139,NCD990734055,"HERCOFINA",NEW HANOVER,NC,"NEW HANOVER CO LDFL",701,"NC",NEW HANOVER,
0403120,NCD981021157,"NEW HANOVER CNTY AIRPORT BURN PIT",NEW HANOVER,NC,"NEW HANOVER COUNTY AIRPORT BURN PIT",101,"NC",NEW HANOVER,
0403120,NCD981021157,"NEW HANOVER CNTY AIRPORT BURN PIT",NEW HANOVER,NC,"NEW HANOVER CNTY AIRPORT BURN PIT",102,"GARDNER DRIVE",WILMINGTON,28401
0406973,NCSFN0406973,"NORTHEAST CHEMICAL COMPANY SITE",NEW HANOVER,NC,"FLOWERS PROPERTY SITE",101,"U.S. HIGHWAY 421 NORTH",WILMINGTON,28401
0405590,NCD986187094,"REASOR CHEMICAL COMPANY",NEW HANOVER,NC,"REASOR CHEMICAL COMPANY",101,"5100 NORTH COLLEGE ROAD",CASTLE HAYNE,28429
0402821,NCD058517467,"SOUTHERN WOOD PIEDMONT CO#",NEW HANOVER,NC,"SOUTHERN WOOD PIEDMONT CO#",101,"NC",NEW HANOVER,
0402821,NCD058517467,"SOUTHERN WOOD PIEDMONT CO#",NEW HANOVER,NC,"SOUTHERN WOOD PIEDMONT CO#",201,"NC",NEW HANOVER,
0406754,NC0002178580,"V.C. CHEMICAL-ALMONT WORKS",NEW HANOVER,NC,"V.C. CHEMICAL - ALMONT WORKS",101,"2400 U.S. HIGHWAY 421 NORTH",WILMINGTON,28401
0406754,NC0002178580,"V.C. CHEMICAL-ALMONT WORKS",NEW HANOVER,NC,"V.C. CHEMICAL- ALMONT WORKS",102,"2400 U.S. HIGHWAY 421 NORTH",WILMINGTON,28401
0402718,NCD024644494,"ABC ONE HOUR CLEANERS",ONSLOW,NC,"ABC ONE HOUR CLEANERS",101,"NC",ONSLOW,
0402718,NCD024644494,"ABC ONE HOUR CLEANERS",ONSLOW,NC,"ABC ONE HOUR CLEANERS",102,"2127 LE JEUNE BLVD.",JACKSONVILLE,28540
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC CAMP LEJEUNE MILITARY RESERVATION",101,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/LOT 140, HADNOT POINT ARE (SITE 7)",201,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/BLDGS TP452 & TP451 (SITE 10)",301,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/HADNOT POINT BURN DUMP (SITE 3)",401,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/FIRE FIGHTING TRAINING PIT (SITE 11",501,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/STORAGE LOTS 201 & 203 (SITE 12)",601,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/CAMP GEIGER DUMP (SITE 4)",701,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/BASE SAN LDFL ( SITE 5 )",801,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/CHEM LDFL ( SITE 1 )",901,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/BLDG PT 37 ( SITE 6 )",1001,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/K-326 RANGE (SITE 8)",1101,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC/G4A RANGE (SITE 9)",1201,"NC",ONSLOW,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC CAMP LEJEUNE",1616,"",,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"USMC CAMP LEJEUNE",1617,"",,
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"CAMP LEJEUNE MILITARY RES. (USNAVY)",1618,"NC HWY 24 & US HWY 16",CAMP LEJEUNE,28542
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"CAMP LEJEUNE MILITARY RES. (USNAVY)",1619,"NC HWY 24 & US HWY 16",ONSLOW COUNTY,28542
0403185,NC6170022580,"CAMP LEJEUNE MILITARY RES. (USNAVY)",ONSLOW,NC,"CAMP LEJEUNE MILITARY RESERVATION",4270086,"NC HWY 24 & US HWY 16",CAMP LEJEUNE,33131
0402650,NCD980515308,"UNIVERSITY OF NORTH CAROLINA CHAPEL HILL",ORANGE,NC,"UNIVERSITY OF NORTH CAROLINA CHAPEL HILL",101,"NC",ORANGE,
0404918,NCD986166163,"JENNINGS (DON) PROPERTY",PASQUOTANK,NC,"JENNINGS (DON) PROPERTY",101,"NC",PASQUOTANK,
0402933,NCD087336335,"TRIANGLE PACIFIC CORP IXL DIVISION",PASQUOTANK,NC,"TRIANGLE PACIFIC CORP IXL DIVISION",101,"NC",PASQUOTANK,
0404948,NCD981864614,"ULAH BATTERY LEAD RECLAIMING",RANDOLPH,NC,"ULAH BATTERY LEAD RECLAIMING",101,"KY",RANDOLPH,
0403095,NCD980840409,"CHARLES MACON LAGOON AND DRUM STORAGE",RICHMOND,NC,"CHARLES MACON LAGOON & DRUM STORAGE",101,"NC",RICHMOND,
0403095,NCD980840409,"CHARLES MACON LAGOON AND DRUM STORAGE",RICHMOND,NC,"MACON SITE 1 MI S OF CORDOVA",201,"NC",RICHMOND,
0403095,NCD980840409,"CHARLES MACON LAGOON AND DRUM STORAGE",RICHMOND,NC,"MACON MACHINE CO",301,"NC",RICHMOND,
0403095,NCD980840409,"CHARLES MACON LAGOON AND DRUM STORAGE",RICHMOND,NC,"CHARLES MACON LAGOON & DRUM STORAGE",302,"COUNTY RD 1103",CORDOVA,28330
0403095,NCD980840409,"CHARLES MACON LAGOON AND DRUM STORAGE",RICHMOND,NC,"CHARLES MACON LAGOON AND DRUM STORAGE",303,"COUNTY RD 1103",CORDOVA,28330
0403094,NCD980840342,"DOCKERY PROPERTY",RICHMOND,NC,"DOCKERY PROPERTY",101,"NC",RICHMOND,
0403094,NCD980840342,"DOCKERY PROPERTY",RICHMOND,NC,"CHARLES MACON LAGOON & DRUM",201,"",NC,
0403168,NCD991278953,"NATIONAL STARCH & CHEMICAL CORP.",ROWAN,NC,"NATIONAL STARCH & CHEM CORP",101,"NC",ROWAN,
0403168,NCD991278953,"NATIONAL STARCH & CHEMICAL CORP.",ROWAN,NC,"PROCTOR CHEMICAL CO. INC(NCD000623116)",201,"NC",ROWAN,
0403168,NCD991278953,"NATIONAL STARCH & CHEMICAL CORP.",ROWAN,NC,"NATIONAL STARCH & CHEM CORP",301,"NC",ROWAN,
0403168,NCD991278953,"NATIONAL STARCH & CHEMICAL CORP.",ROWAN,NC,"NATIONAL STARCH & CHEMICAL CORP",302,"CEDAR SPRINGS RD",SALISBURY,28144
0403168,NCD991278953,"NATIONAL STARCH & CHEMICAL CORP.",ROWAN,NC,"NATIONAL STARCH & CHEMICAL CORP.",303,"CEDAR SPRINGS RD",SALISBURY,28144
0403077,NCD980729537,"CAMP STRAUSS",TRANSYLVANIA,NC,"CAMP STRAUSS",101,"NC",TRANSYLVANIA,
0402618,NCD003166675,"ECUSTA MILL",TRANSYLVANIA,NC,"OLIN CORP ECUSTA PAPER & FILM GROUP",101,"NC",TRANSYLVANIA,
0402618,NCD003166675,"ECUSTA MILL",TRANSYLVANIA,NC,"SLUDGE DSPL AREA",201,"NC",TRANSYLVANIA,
0402618,NCD003166675,"ECUSTA MILL",TRANSYLVANIA,NC,"ISLAND INCIN",301,"NC",TRANSYLVANIA,
0402618,NCD003166675,"ECUSTA MILL",TRANSYLVANIA,NC,"FILM INCIN.",401,"NC",TRANSYLVANIA,
0402618,NCD003166675,"ECUSTA MILL",TRANSYLVANIA,NC,"ISLAND LDFL",501,"NC",TRANSYLVANIA,
0402618,NCD003166675,"ECUSTA MILL",TRANSYLVANIA,NC,"ORIG LDFL",601,"NC",TRANSYLVANIA,
0402618,NCD003166675,"ECUSTA MILL",TRANSYLVANIA,NC,"OLIN CORP ECUSTA PAPER & FILM GROUP",602,"VANDERBILT RD",PISGAH FOREST,28768
0402647,NCD003200383,"KOPPERS CO., INC. (MORRISVILLE PLANT)",WAKE,NC,"KOPPERS CO INC (MORRISVILLE PLT)",101,"NC",WAKE,
0402647,NCD003200383,"KOPPERS CO., INC. (MORRISVILLE PLANT)",WAKE,NC,"KOPPERS CO. INC. (MORRISVILLE PLANT)",102,"HWY 54 W",MORRISVILLE,27560
0402647,NCD003200383,"KOPPERS CO., INC. (MORRISVILLE PLANT)",WAKE,NC,"KOPPERS CO., INC. (MORRISVILLE PLANT)",103,"HWY 54 W",MORRISVILLE,27560
0403015,NCD980557656,"NORTH CAROLINA STATE UNIVERSITY (LOT 86, FARM UNIT #1)",WAKE,NC,"NC STATE U (LOT 86 FARM UNIT #1)",101,"NC",WAKE,
0403015,NCD980557656,"NORTH CAROLINA STATE UNIVERSITY (LOT 86, FARM UNIT #1)",WAKE,NC,"NC STATE UNIVERSITY(LOT 86,FARM UNIT #1)",1623,"",,
0403015,NCD980557656,"NORTH CAROLINA STATE UNIVERSITY (LOT 86, FARM UNIT #1)",WAKE,NC,"NC STATE UNIVERSITY(LOT 86,FARM UNIT #1)",1624,"CARTER-FINLEY STADIUM",RALEIGH,27607
0403015,NCD980557656,"NORTH CAROLINA STATE UNIVERSITY (LOT 86, FARM UNIT #1)",WAKE,NC,"NORTH CAROLINA STATE UNIVERSITY (LOT 86, FARM UNIT #1)",1625,"CARTER-FINLEY STADIUM",RALEIGH,27607
0406082,NCD003202603,"WARD TRANSFORMER",WAKE,NC,"WARD TRANSFORMER",101,"MT. HERMAN ROAD",RALEIGH,27560
0403068,NCD980602163,"ROADSIDE PCB SPILL",WARREN,NC,"PCB SPILLS",101,"NC",HALIFAX,
0403068,NCD980602163,"ROADSIDE PCB SPILL",WARREN,NC,"PCB SPILLS",102,"210 MILES OF NC HWY",ROANOKE RAPIDS,27870
0403068,NCD980602163,"ROADSIDE PCB SPILL",WARREN,NC,"PCB SPILLS",103,"210 MILES OF NC HWY",210 MILES OF ROADS,27589
0403068,NCD980602163,"ROADSIDE PCB SPILL",WARREN,NC,"PCB SPILLS",104,"210 MILES OF NC HWY",210 MILES OF ROADS,27589
0402563,NCD000813592,"GEORGIA-PACIFIC CORPORATION HARDWOOD SAWMILL",WASHINGTON,NC,"GA-PACIFIC CORP HDWD SAW",101,"NC",WASHINGTON,
0402563,NCD000813592,"GEORGIA-PACIFIC CORPORATION HARDWOOD SAWMILL",WASHINGTON,NC,"GA-PACIFIC CORP HDWD SAW",102,"",,
0402563,NCD000813592,"GEORGIA-PACIFIC CORPORATION HARDWOOD SAWMILL",WASHINGTON,NC,"GEORGIA-PACIFIC CORP. HARDWOOD SAWMILL",103,"PLYWOOD DR",PLYMOUTH,27962
0402563,NCD000813592,"GEORGIA-PACIFIC CORPORATION HARDWOOD SAWMILL",WASHINGTON,NC,"GEORGIA-PACIFIC CORPORATION HARDWOOD SAWMILL",104,"PLYWOOD DRIVE",PLYMOUTH DRIVE,27962
0402728,NCD039102959,"HEVI-DUTY ELECTRIC CO.",WAYNE,NC,"HEVI DUTY ELECTRIC/GENERAL SIGNAL",101,"NC",WAYNE,
0402728,NCD039102959,"HEVI-DUTY ELECTRIC CO.",WAYNE,NC,"HEAVY DUTY ELECTRIC CO",201,"NC",WAYNE,
0402728,NCD039102959,"HEVI-DUTY ELECTRIC CO.",WAYNE,NC,"HEVI-DUTY ELECTRIC CO.",301,"",NC,
0402728,NCD039102959,"HEVI-DUTY ELECTRIC CO.",WAYNE,NC,"HEVI-DUTY ELECTRIC CO.",302,"HWY 117 SOUTH",GOLDSBORO,27530
|
en
|
all-txt-docs
|
107664
|
#{ Title #}
User manual to getpar
#{ Authors #}
Leonid Petrov
#{ Date #}
2002.03.06
#{ Abstract #}
This document is a user manual for program getpar.
#{ Contact #}
Questions and comments about this guide should be sent to:
Leonid Petrov ( [email protected] )
#/ Overview #\
Program getpar parses a spool file of the listing of Solve solution,
extracts information from there, formats it and writes down in the
set of output files.
#/ Usage #\
Usage: getpar <spool_file> <prefix>
where
spool_file is the name of Solve spool file of global solution in
either complete or back mode;
prefix is the main portion of the output filenames including path.
The actual names of the output files are results of concatenation
of prefix with extension.
#/ Formats description #\
Each output file has first two lines comments. The comment lines contains
character # as the first character in the line. The first comment line,
adn therefore the first line of the file always holds the name of the format,
its version and date of format revision:
# GETPAR_XXX format version 1.0 of 2001.05.25
where XXX is (in catpital letter) extension of the file, for example,
# GETPAR_STA format version 1.0 of 2001.05.25
The second line, so-called header comment, contains the full path name of
the spool file. Since the format of getpar output files is the subject
of changes it is a good practice to check the format version each time when you
parse getpar output files.
##/ .sta -file ##\
.sta file contains estimates of positions of global stations and the formal
uncertainties of these estimates. The list of station positions is sorted in
alphabetic order of station names. Stations before and after episodic motions
are treated as different stations. Correlations between station positions and
velocities are also written.
File contains lines of four types:
1) Comment. The first character is #. Header comment contain the full name of
the spool file.
2) Cartesian components of the vector of station position. The first
8 characters of this line are STA_GCX:
Field Format Units Meaning
1-8 A8 -- record type identifier: STA_GCX:
11-25 A15 -- station name. Station name consist of 8-letters station
acronym and 6-letter epoch in format yymmdd. Epoch
is attached to the name only if the station had episodic
motion. Fields between the last letter of the station
name and the first letter of epoch are filled by _.
If the station didn't have episodic name then the space
after the last letter of the station name is left blank.
28-29 A2 -- component identifier. One of "X:", "Y:" or "Z:"
31-45 F15.2 mm value of X-component of station position.
50-59 F10.3 mm formal uncertainty of X-component of station position.
65-79 F15.2 mm value of Y-component of station position.
84-93 F10.3 mm formal uncertainty of Y-component of station position.
99-113 F15.2 mm value of Z-component of station position.
118-127 F10.3 mm formal uncertainty of Z-component of station position.
139-145 I7 -- the number of observations of this station used in
solution.
156-162 I7 -- total number of observations of this station.
174-178 I5 -- the number of sessions with this station used in
solution.
189-193 I5 -- total number of sessions of this station.
205-214 A10 -- the date of the first session with this station used
in solution. format: yyyy.mm.dd (as integer numbers)
226-235 A10 -- the date of the last session with this station used
in solution. format: yyyy.mm.dd (as integer numbers)
3) Local topocentric components of the vector of station position: Up, East,
North. The first 8 characters of this line are STA_GCU:
Field Format Units Meaning
1-8 A8 -- record type identifier: STA_GCU:
11-25 A15 -- station name. Station name consist of 8-letters station
acronym and 6-letter epoch in format yymmdd. Epoch
is attached to the name only if the station had episodic
motion. Fields between the last letter of the station
name and the first letter of epoch are filled by _.
If the station didn't have episodic name then the space
after the last letter of the station name is left blank.
28-29 A2 -- component identifier. One of "U:", "E:" or "N:"
31-45 F15.2 mm value of U-component of station position.
50-59 F10.3 mm formal uncertainty of U-component of station position.
65-79 F15.2 mm value of E-component of station position.
84-93 F10.3 mm formal uncertainty of E-component of station position.
99-113 F15.2 mm value of N-component of station position.
118-127 F10.3 mm formal uncertainty of N-component of station position.
4) Correlations between station positions and velocities. Correlation matrix
is defined as the matrix of 6x6 in the upper triangle representation without
the main diagonal which. Elements in the columns or rows of the matrix are
in the order: X-position, Y-position, Z-position, X-velocity, Y-velocity,
Z-velocity.
1-8 A8 -- record type identifier: STA_CRL:
11-25 A15 -- station name. Station name consist of 8-letters station
acronym and 6-letter epoch in format yymmdd. Epoch
is attached to the name only if the station had episodic
motion. Fields between the last letter of the station
name and the first letter of epoch are filled by _.
If the station didn't have episodic name then the space
after the last letter of the station name is left blank.
36-43 F6.3 d/l Correlation between X-position and Y-position
38-43 F6.3 d/l Correlation between X-position and Z-position
45-50 F6.3 d/l Correlation between Y-position and Z-position
52-57 F6.3 d/l Correlation between X-position and X-velocity
59-64 F6.3 d/l Correlation between Y-position and X-velocity
66-71 F6.3 d/l Correlation between Z-position and X-velocity
73-78 F6.3 d/l Correlation between X-position and Y-velocity
80-85 F6.3 d/l Correlation between Y-position and Y-velocity
87-92 F6.3 d/l Correlation between Z-position and Y-velocity
94-99 F6.3 d/l Correlation between X-velocity and Y-velocity
101-106 F6.3 d/l Correlation between X-position and Z-velocity
108-113 F6.3 d/l Correlation between Y-position and Z-velocity
115-120 F6.3 d/l Correlation between Z-position and Z-velocity
122-127 F6.3 d/l Correlation between X-velocity and Z-velocity
129-134 F6.3 d/l Correlation between Y-velocity and Z-velocity
##/ .vel -file ##\
.vel file contains values estimates of velocities of global stations and the
formal uncertainties of these estimates. The list of the estimates is sorted in
alphabetic order of station names. Stations before and after episodic motions
are treated as different stations. Correlations between station positions and
velocities are also written.
File contains lines of three types:
1) Comment. The first character is #. Header comment contain the full name of
the spool file.
2) Cartesian components of the vector of station velocity. The first
8 characters of this line are VEL_GCX:
Field Format Units Meaning
1-8 A8 -- record type identifier: VEL_GCX:
11-18 A8 -- station name.
24-32 F9.2 mm/yr value of X-component of station velocity.
37-44 F8.3 mm/yr formal uncertainty of X-component of station velocity.
50-58 F9.2 mm/yr value of Y-component of station velocity.
63-70 F8.3 mm/yr formal uncertainty of Y-component of station velocity.
76-84 F9.2 mm/yr value of Z-component of station velocity.
89-96 F8.3 mm/yr formal uncertainty of Z-component of station velocity.
3) Local topocentric components of the vector of station velocity: Up, East,
North. The first 8 characters of this line are VEL_GCU:
Field Format Units Meaning
1-8 A8 -- record type identifier: VEL_GCU:
11-18 A8 -- station name.
24-32 F9.2 mm/yr value of U-component of station velocity.
37-44 F8.3 mm/yr formal uncertainty of U-component of station velocity.
50-58 F9.2 mm/yr value of E-component of station velocity.
63-70 F8.3 mm/yr formal uncertainty of E-component of station velocity.
76-84 F9.2 mm/yr value of N-component of station velocity.
89-96 F8.3 mm/yr formal uncertainty of N-component of station velocity.
##/ .sou -file ##\
.sou file contains estimates of right ascension and declination of
global sources, as well as formal their uncertainties and correlations between
right ascension and declination of the same source.
File contains lines of two types:
1) Comment. The first character is #. Header comment contain the full name of
the spool file.
2) Estimates.
Field Format Units Meaning
1-8 A8 -- record type identifier: SOU_GCO:
11-18 A8 -- IVS source name.
25-26 I2 hours right ascension. hours part
27-27 A1 -- separator "_"
28-29 I2 min. right ascension. minutes part
30-30 A1 -- separator "_"
31-41 F11.8 sec. right ascension. seconds part
46-55 F10.4 mas formal error of right ascension
62-64 I3 deg. declination. degrees part.
65-65 A1 -- separator "_"
66-67 I2 arcmin declination. arcminutes part.
68-68 A1 -- separator "_"
69-78 F10.7 arcsec declination. arcseconds part.
83-92 F10.4 mas formal uncertainty of declination
99-104 F6.4 d/l correlation between the estimates of right ascension
and declination.
116-122 I7 -- the number of observations of this source used in
solution.
133-139 I7 -- total number of observations of this source.
151-155 I5 -- the number of sessions of this source used in
solution.
166-170 I5 -- total number of sessions with this source.
182-191 A10 -- the date of the first session with this source used
in solution. format: yyyy.mm.dd (as integer numbers)
203-212 A10 -- the date of the last session with this source used
in solution. format: yyyy.mm.dd (as integer numbers)
##/ .eop -file ##\
.eop file contains estimates of X pole coordinate, Y pole coordinate, UT1-TAI
angle, UT1 rate and UT1 acceleration as well as their formal uncertainties.
Estimates are obtained using all observations of the specific session.
.eop file contains also database names and time-tags.
File contains lines of two types:
1) Comment. The first character is #. Header comment contain the full name of
the spool file.
2) Estimates.
Field Format Units Meaning
1-8 A8 -- record type identifier: EOP_LOC:
11-20 A10 -- database name with leading dollar sign
23-25 I3 -- database version number
34-49 A16 calend EOP time tag in Solve format: YYYY.MM.DD-hh:mm
Time scale is not defined. Adjustments are at TDB
time scale, a priori EOP are at unknown time scale.
58-63 I6 -- number of observation used for getting these EOP
estimates.
69-79 F11.4 mas estimate of X-pole coordinate
84-93 F10.2 muas formal uncertainty of X-pole coordinate
99-109 F11.4 mas estimate of Y-pole coordinate
114-123 F10.2 muas formal uncertainty of Y-pole coordinate
129-139 F11.4 msec estimates of UT1-TAI
144-153 F10.2 musec formal uncertainty of UT1-TAI
159-169 F11.4 mas/day estimates of X pole rate
174-183 F10.2 muas/day formal uncertainties of X pole rate
189-199 F11.4 msec/day estimates of Y pole rate
204-213 F10.2 msec/day formal uncertainties of Y pole rate
219-229 F11.4 msec/day estimates of UT1-TAI rate
234-243 F10.2 musec/day formal uncertainties of UT1-TAI rate
249-259 F11.4 ms/day**2 estimates of UT1-TAI acceleration
264-273 F10.2 ms/day**2 formal uncertainties of UT1-TAI acceleration
If the specific parameter was not estimated in this experiment, the field
for its value and formal uncertainty is replaced by filler: $$$$$$. The filler
takes entire field.
##/ .nut -file ##\
.nut file contains estimates of daily offset of nutation in longitude and
nutation in obliquity as well as their formal uncertainties. .nut file contains
also database names and time-tags.
File contains lines of two types:
1) Comment. The first character is #. Header comment contain the full name of
the spool file.
2) Estimates.
Field Format Units Meaning
1-8 A8 -- record type identifier: NUT_LOC:
11-20 A10 -- database name with leading dollar sign
23-25 I3 -- database version number
37-46 F10.5 years time tag
53-59 I6 -- the number of used observations
64-74 F11.3 mas estimate of nutation in longitude
79-88 F10.1 muas formal uncertainty of nutation in longitude
94-104 F11.3 mas estimate of nutation in obliquity
109-118 F10.1 muas formal uncertainty of nutation in obliquity
##/ .crl -file ##\
.crl file contains off-diagonal coefficients of correlations between
the estimates of EOP at the same experiment. Correlations are ordered in
according the order of elements of a symmetric matrix in low-triangular
representation without the main diagonal. Order of rows/columns: X_pole,
X_pole rate, Y_pole, Y_pole rate, UT1, UT1 rate, Nutation in longitude,
Nutation in obliquity
File contains lines of two types:
1) Comment. The first character is #. Header comment contain the full name of
the spool file.
2) Correlations.
Field Format Units Meaning
1-8 A8 -- record type identifier: CRL_LOC:
11-20 A10 -- database name with leading dollar sign
23-25 I3 -- database version number
29-34 F6.4 d/l correlation between X_pole rate and X_pole
36-41 F6.4 d/l correlation between Y_pole and X_pole
43-48 F6.4 d/l correlation between Y_pole and X_pole rate
50-55 F6.4 d/l correlation between Y_pole rate and X_pole
57-62 F6.4 d/l correlation between Y_pole rate and X_pole rate
64-69 F6.4 d/l correlation between Y_pole rate and Y_pole
71-76 F6.4 d/l correlation between UT1 and X_pole
78-83 F6.4 d/l correlation between UT1 and X_pole rate
85-90 F6.4 d/l correlation between UT1 and Y_pole
92-97 F6.4 d/l correlation between UT1 and Y_pole rate
99-104 F6.4 d/l correlation between UT1 rate and X-pole
106-111 F6.4 d/l correlation between UT1 rate and X-pole rate
113-118 F6.4 d/l correlation between UT1 rate and Y-pole
120-125 F6.4 d/l correlation between UT1 rate and Y-pole rate
127-132 F6.4 d/l correlation between UT1 rate and UT1
134-139 F6.4 d/l correlation between Nutation Psi and X_pole
141-146 F6.4 d/l correlation between Nutation Psi and X_pole rate
148-153 F6.4 d/l correlation between Nutation Psi and Y_pole
155-160 F6.4 d/l correlation between Nutation Psi and Y_pole rate
162-167 F6.4 d/l correlation between Nutation Psi and UT1
169-174 F6.4 d/l correlation between Nutation Psi and UT1 rate
176-181 F6.4 d/l correlation between Nutation Eps and X_pole
183-188 F6.4 d/l correlation between Nutation Eps and X_pole rate
190-195 F6.4 d/l correlation between Nutation Eps and Y_pole
197-202 F6.4 d/l correlation between Nutation Eps and Y_pole rate
204-209 F6.4 d/l correlation between Nutation Eps and UT1
211-216 F6.4 d/l correlation between Nutation Eps and UT1 rate
218-223 F6.4 d/l correlation between Nutation Eps and Nutation Psi
##/ .lso -file ##\
.lso file file contains estimates of right ascension and declination of
local sources, as well as formal their uncertainties and correlations between
right ascension and declination of the same source. It contains also the time
tag of the estimates of right ascension and declination. File is sorted in
order of sessions and in order of appearance of local sources in the session.
File contains lines of two types:
1) Comment. The first character is #. Header comment contain the full name of
the spool file.
2) Estimates.
Field Format Units Meaning
1-8 A8 -- record type identifier: SOU_LSO:
11-18 A8 -- IVS source name.
21-30 A10 -- database name with leading dollar sign
33-35 I3 -- database version number
47-56 F10.5 years time tag
63-64 I2 hours right ascension. hours part
65-65 A1 -- separator "_"
66-67 I2 min. right ascension. minutes part
68-68 A1 -- separator "_"
69-79 F11.8 sec. right ascension. seconds part
84-93 F10.4 mas formal error of right ascension
100-102 I3 deg. declination. degrees part.
103-103 A1 -- separator "_"
104-105 I2 arcmin declination. arcminutes part.
106-106 A1 -- separator "_"
107-116 F10.7 arcsec declination. arcseconds part.
121-130 F10.4 mas formal uncertainty of declination
137-140 I4 -- Number of used observations of this source
144-147 I4 -- Total number of observations of this source
##/ .lst -file ##\
.lst file contains estimates of positions of local stations and the formal
uncertainties of these estimates. The list of station positions is sorted in
the order of sessions and then in the alphabetic order of station names.
Total estimates of station positions in crust-fixed XYZ coordinates system and
adjustments to the apriori positions in topocentric system are presented.
File contains lines of three types:
1) Comment. The first character is #. Header comment contain the full name of
the spool file.
2) Cartesian components of the vector of station position. The first
8 characters of this line are STA_LCX:
Field Format Units Meaning
1-8 A8 -- record type identifier: STA_LCX:
21-30 A10 -- database name with leading dollar sign
33-35 I3 -- database version number
47-56 F10.5 years time tag
59-60 A2 -- component identifier: X:
62-76 F15.2 mm value of X-component of station position.
81-90 F10.3 mm formal uncertainty of X-component of station position.
93-94 A2 -- component identifier: X:
96-110 F15.2 mm value of Y-component of station position.
115-124 F10.3 mm formal uncertainty of Y-component of station position.
127-128 A2 -- component identifier: Z:
130-144 F15.2 mm value of Z-component of station position.
149-158 F10.3 mm formal uncertainty of Z-component of station position.
3) Topocentric components of the vector of adjustments to the apriori station
position. The first 8 characters of this line are STA_LCU:
Field Format Units Meaning
1-8 A8 -- record type identifier: STA_LCU:
21-30 A10 -- database name with leading dollar sign
33-35 I3 -- database version number
47-56 F10.5 years time tag
59-60 A2 -- component identifier: U:
62-76 F15.2 mm value of U-component of station position.
81-90 F10.3 mm formal uncertainty of U-component of station position.
93-94 A2 -- component identifier: E:
96-110 F15.2 mm value of E-component of station position.
115-124 F10.3 mm formal uncertainty of E-component of station position.
127-128 A2 -- component identifier: N:
130-144 F15.2 mm value of N-component of station position.
149-158 F10.3 mm formal uncertainty of N-component of station position.
##/ .bas -file ##\
.bas file contains series of the estimates of the components of baseline
vectors of the stations whose positions were estimated as local parameters
as well as formal uncertainties of these these estimates. The list of the
estimates of baseline vectors is sorted in the order of sessions and then in
the alphabetic order of station names forming a baseline. All three component:
baseline length, transversal and and normal components are computed.
File contains lines of two types:
1) Comment. The first character is #. Header comment contain the full name of
the spool file.
2) Cartesian components of the vector of station position. The first
8 characters of this line are BAS_LCL:
Field Format Units Meaning
1-8 A8 -- record type identifier: BAS_LCL:
11-20 A10 -- database name with leading dollar sign
23-25 I3 -- database version number
35-44 F10.5 years time tag
46-53 A8 -- the name of the first station of the baseline
54-54 A1 -- delimiter: "/"
55-62 A8 -- the name of the second station of the baseline
64-77 F14.2 mm baseline length
78-83 F6.2 mm formal uncertainty of baseline length determination
85-94 F10.2 mm transversal (horizontal) component of baseline vector
96-102 F7.2 mm formal uncertainty of transversal comp. of baseline
104-114 F11.2 mm normal (vertical) component of baseline vector
116-122 F7.2 mm formal uncertainty of normal comp. of baseline vector
##/ .eob -file ##\
.eob file contains series of the estimates of X pole coordinate,
Y pole coordinate, UT1-TAI angle, UT1 rate, daily offsets of nutation angles
as well as their formal uncertainties and correlations. Time tag and database
name is attached to each line. .EOP format is an extension of the IERS EOP
format.
File contains lines of three types:
1) Comment. The first character is #. Header comments contain some information
about solution.
2) Header. The first two symbols are blank. Header lines contain titles of the
columns
3) Estimates.
1 1-1 A1 --- Usage flag
2 3-14 F12.6 days Modified Julian date of the TDT time tag
3 16-25 A10 --- Database name
4 27-32 A6 --- IVS session code (if available)
2 16-25 F8.6 arcsec The estimate of X pole coordinate
3 25-32 F8.6 arcsec The estimate of Y pole coordinate
4 34-43 F10.7 sec The UT1-UTC function
5 45-52 F8.3 mas Adjustment of the nutation in longitude angle with
respect to IAU 1980 nutation expansion
6 54-61 F8.3 mas Adjustment of the nutation in obliquity angle with
respect to IAU 1980 theory
7 63-70 F8.6 arcsec Formal uncertainty of X pole coordinate
8 72-79 F8.6 arcsec Formal uncertainty of Y pole coordinate
9 81-89 F9.7 sec Formal uncertainty of UT1-UTC function
10 91-97 F7.3 mas Formal uncertainty of nutation in longitude angle
11 99-105 F7.3 mas Formal uncertainty of nutation in obliquity angle
12 107-113 F7.2 psec Weighted root mean square of postfit residual of
the solution
13 115-120 F6.4 -- Correlation between the estimates of X-pole
positions and Y-pole position
14 122-127 F6.4 -- Correlation between the estimates of X-pole
positions and UT1-TAI angle
15 129-134 F6.4 -- Correlation between the estimates of Y-pole
positions and UT1-TAI angle
16 136-141 F6.4 -- Correlation between the estimates of nutation in
longitude and nutation in obliquity
17 143-148 I6 -- Number of used observations in the session
18 150-155 A6 -- IVS session code
19 157-161 F5.2 hours Session duration
20 163-171 F9.6 asc/day Estimate of rate change of X pole coordinate
21 173-181 F9.6 asc/day Estimate of rate change of Y pole coordinate
22 183-192 F10.7 sec Length of day
23 194-195 A2 Filler: -0 does not have any meaning
24 197-198 A2 Filler: -0 does not have any meaning
25 200-208 F9.6 asc/day Formal unceratinty of x pole coordinate rate
26 210-218 F9.6 asc/day Formal unceratinty of y pole coordinate rate
27 220-229 F10.7 sec Formal uncertainty of length of day
28 231-232 A2 Filler: -0 does not have any meaning
29 234-235 A2 Filler: -0 does not have any meaning
If the specific parameter was not estimated in this experiment, the field
for its value and formal uncertainty is replaced by filler: $$$$$$. The filler
takes entire field.
Field Format Units Meaning
2-10 F9.3 days modified Julian date of the time tag
##/ .trp -file ##\
.trp file contains apriori zenith path delay, adjustments of zenith
path delay, totals (apriori+adjustments) and formal uncertainties of
adjustments for each session, each station. In the case if zenith apriori path
delays were not written into the spool file, then apriori zenith path delays
are reported as zeroes.
Field Format Units Meaning
1-8 A8 -- record type identifier: TRP_SEG:
11-20 A10 -- database name with leading dollar sign
23-25 I3 -- database version number
32-50 A19 -- time tag of the extimates of troposphere path delay
in Solve format
32-35 I4 -- year number
37-38 I2 -- month number
40-41 I2 -- day number
43-44 I2 hours hour
46-47 I2 min minutes
49-50 I2 sec seconds
56-63 A8 --- IVS station name
69-82 F14.3 psec apriroi troposphere zenith path delay
88-101 F14.3 psec adjustment of troposphere zenith path delay
107-120 F14.3 psec total troposphere zenith path delay
126-139 F14.3 psec formal uncertainty of troposphere path delay
##/ .rms -file ##\
.rms file contains overall weighted root means square of postfit residuals
for all observations and a series of wrms of postfit residual for each
individual session. File is ordered in decreasing wrms.
File contains lines of three types:
1) Global statistics. Fields 11-17 are Global:
Field Format Units Meaning
1-8 A8 -- record type identifier: RMS_DEL:
11-17 A7 -- record subtype identifier: Global:
22-28 I7 -- Number of observations used in solution
36-45 F10.3 psec overall wrms of postfit delay residuals
50-59 F10.3 psec/sec overall wrms of postfit delay rate residuals.
Exception: the line with subtype identiifer Global
does not have rarte, but has chi/ndg in fields
62-71
2) Comment. The first character is #. Header comment contain the full name of
the spool file.
3) Local statistics.
Field Format Units Meaning
1-8 A8 -- record type identifier: RMS_DEL:
11-20 A10 -- database name with leading dollar sign
22-28 I7 -- Number of observations used in solution
30:41 I12/F3.1 psec wrms of delay in psec *
If WRMS > 10 psec then format is I12,
otherwise is F3.1
|
en
|
markdown
|
687530
|
# Presentation: 687530
## Tom Afferton
**Tom Afferton**
**Member of OIF Board of Directors**
**Division Manager – AT&T Labs**
**[email protected]**
**OIF Website: www.oiforum.com**
## What is the OIF?
- Launched in April of 1998 with an objective to foster development of low-cost and scaleable internet using optical technologies
- The only industry group bringing together professionals from the data and optical communities
- Open forum: 250+ member companies
- international
- carriers
- component and systems vendors
- testing and software companies
- _Mission_: To foster the development and deployment of interoperable products and services for data switching and routing using optical networking technologies
## OIF Focus
- Low-cost Scaleable Optical Internetworking
- IP-Over-Switched Optical Network Architecture
- Physical layer
**Low-cost optical interfaces between networking elements**
**Standard device level electrical interfaces for low-cost systems**
- Control layer interoperability between data and optical layers
**Dynamic configuration using IP signaling and control mechanisms**
- Accommodate legacy network under the new physical and control layer mechanisms
## OIF Structure Technical Committee: 6 Working Groups
- Carrier
- Requirements and applications
- Architecture
- Services, network requirements and architectures
- Signaling
- Protocols for automatic management of optical connections
- OAM&P (Operations, Administration, Maintenance and Provisioning)
- Network management
- Physical and Link Layer
- Equipment and subsystem module interfaces
- Interoperability
- Interoperability testing
## Output from OIF
- Implementation agreements, based upon:
- Carrier group’s requirements
- Existing standards and specification when available
- New solutions when necessary
- Interoperability testing procedures
- Ensures compliance to implementation agreements and ultimately interoperable products and networks
- Input into other standards bodies
- Formal liasons in place with numerous other organizations (e.g. ITU, IETF. Complete list in back-up slides)
## OIF Process for Generating Implementation Agreements
- Framework provided by Working Group structure
- Working groups establish consensus-driven projects to focus contributions
- Progress driven by member contributions
- Posted on OIF website
- Basis for activities at quarterly technical meetings
- Formal voting process for reaching Implementation Agreements
- Two step process
- Straw ballot – passes with simple majority
- Principal ballot – passes with 2/3rds majority
- Process enables open debate, incorporation of comments
- Formal votes at each step
- *One vote per member company *
## OIF Activities – Physical Layer
- Business Need
- Lower equipment costs through interface agreements that reduce customization
- Key Projects
- Internal system interfaces
- System/Physical Interface (SPI)
- SPI-3, SPI-4 complete for 10G
- SPI-5 in progress for 40G
- Serializer/Deserializer-Framer Interface (SFI)
- SFI-4 complete for 10G
- SFI-5 in progress for 40G
- Low cost premises equipment interfaces
- Very Short Reach (VSR)
- VSR-1, VSR-2, VSR-3, VSR-4 complete for 10 Gb/s
- VSR-5 in progress for 40 Gb/s
- Footprint specification for tunable lasers in progress
## OIF Activities – Control Layer Switched Optical Networks
- A switched optical network is an optical network in which connections can be created using switching control technology.
- The OIF is among the organizations working on the interfaces to enable controllers to work together to perform this function
## OIF Activities – Control Layer
- Client
- Business Need
- Lower operations costs through automation of routing optical circuits
- Key Projects
- User-to-Network Interface – enables client equipment to request a service across optical networks
- UNI 1.0 complete for SONET circuits
- 25 vendor interop. Demonstratation at Supercomm in June, 2001
- Built upon protocols from IETF
- Also completed Call Detail Records to support billing with UNI 1.0
- UNI 2.0 in progress to add other features
- Network-to-Network Interface – enables optical networks to interact to deliver an end-to-end service
- NNI 1.0 in progress
- Targeting 1H03 for interoperability demonstration
- Client
- NNI
- UNI
- UNI
## Why do service providers care about optical control plane interfaces?
- Intelligent control plane, in general, lowers operating costs
- Automatic discovery of elements, capacity and connections
- Automatic routing and recovery of circuits
- Improved survivability against complex failures
- “Standardized” control plane interfaces enable
- Wider adoption of control plane capabilities
- Multi-vendor/carrier interoperability
- New dynamic optical services with customer control
- “Plug and play” introduction of new vendors/technologies
- In advance of control plane deployment, service providers will continue to rely on centralized management systems
## OIF control plane work vs. other organizations
- Internet Engineering Task Force (IETF)
- Community of individuals
- Generating “tool box” of protocols
- International Telecommunications Union
- Formal organization for establishing global standards
- In progress of developing comprehensive standards for “Automatic Switched Optical Network”
- Some overlap among OIF, IETF, ITU
- “Healthy” competition is evolving to cooperation
- Req’ts
- Protocols
- Req’ts
- Formals
- Standards
- Implementation
- Agreements
## Summary
- OIF brings together professionals from the data and optical worlds
- OIF is addressing issues important to carriers and their customers
- Control plane work is progressing well in OIF in collaboration with other organizations like the IETF and ITU
## Thank You
## OIF Membership Breakdown
- (data as of 12/01)
- Market Segment
## Implementation Agreements
- SPI-3: System Packet Interface Level 3 for STS-48/STM-16
- SPI-4 phase 1: System Physical Interface Level 4 for STS-192/STM-64
- SPI-4 phase 2: System Packet Interface Level 4 for STS-192/STM-64
- SFI-4: Serdes/Framer Electical Interface: Common electrical interface between framers and serializer/deserializer parts for STS-192/STM-64 interfaces.
- SFI-5: Serdes/Framer Electical Interface: 40Gb/s interface for physical devices
- SPI-5: OC-768 System Packet Interface
- Very Short Reach (VSR) OC-192 Interface based on 12 fiber Parallel Optics
- Serial OC192 1310 nm Very Short Reach (VSR) Interfaces
- Very Short Reach (VSR) OC-192 Interface based on 4 fiber Parallel Optics
- Serial OC192 850 nm Very Short Reach (VSR) Interfaces
- User Network Interface (UNI) 1.0
- CDR: Call Detail Records for UNI 1.0 billing
## OIF and other Standards Bodies
- Established Liaisons With:
- American National Standards Institute - ANSI T1
- International Telecommunications Union - ITU-T
- Internet Engineering Task Force - IETF
- ATM Forum
- IEEE 802.3ae 10 Gb Ethernet
- Network Processing Forum - NPF
- Metro Ethernet Forum - MEF
- Tele Management Forum - TMF
## OIF and other Standards Bodies
|
en
|
converted_docs
|
877167
|
Appendix O. Sample Final Program Review Determination
Mr. William Smith, President CERTIFIED MAIL
The School of Practical Nursing Return Receipt Requested
### 1 North Avenue REF: OPEID#
New York, N.Y. 10007 PRCN 199840200000
Dear Mr. Smith:
This office has reviewed Ms. Norton's letter dated February 10, 2000, in
response to the remaining issues from the November 14, 1998 Title IV
program review report. That report covered The School of Practical
Nursing's (TSPN) administration of the Federal Title IV, HEA programs
during the 1997/98 and 1998/99 award years.
We have made final determinations for all program review findings. The
purpose of this letter is to (1) identify the liabilities due from TSPN;
(2) provide instructions for the payment of liabilities to the
Department of Education (ED) and holders of the FFEL; and (3) notify you
of your right to appeal. This final program review determination letter
contains an appendix, which includes a list of all Title IV aid
recipients sampled for the 1997/98 and 1998/99 award years.
TSPN should be aware that repeat findings in future program reviews or
failure to resolve satisfactorily the findings of this program review
may lead to administrative proceedings to fine, limit, suspend or
terminate the institution pursuant to 34 CFR, Part 668, Subpart G of the
Student Financial Assistance General Provisions regulations.
Additionally, this office will recommend that an Institutional
Improvement Specialist contact TSPN to discuss the institution's
technical assistance needs.
The institution has taken the required corrective actions to resolve
findings \# 3, and 5. Therefore, those findings are closed. The
consequences of the program violation identified in findings #1, 2, and
4, are as follows.
# **FINDINGS AND FINAL DETERMINATIONS**
#### Finding
**[1. Incomplete Verification]{.underline}**
TSPN failed to complete verification for several students in the review
sample who were selected for verification.
TSPN failed to collect copies of both sides of student #22's tax
returns. Furthermore, the student reported that she received \$800 in
child support on her verification worksheet. However, the child support
had not been included on her Student Aid Report (SAR). There was no
documentation in the student's file that calculations had been performed
to determine whether this revised information affected her eligibility.
For student #16, the only verification documentation in her file were
copies of her 1996 W-2 earnings statements. However, the student
reported on her SAR that she and her spouse filed a tax return in 1996.
The W-2 can only be accepted in place of a Federal tax return if the
institution can document that the student could not provide a copy of
the tax return, even after attempts to collect the document from the
IRS. Also, there was no verification worksheet in her file, so the
student's household size was not verified.
Side two of student #27's tax return was missing, and her tax return
showed that she and/or her husband received \$1475 in untaxed pension
funds in 1997. These funds should have been reported as untaxed income
on her SAR, but were not. The only exception to including these funds as
untaxed income would be if the funds were "rolled-over" into another
qualified pension plan, such as an IRA. There was no documentation that
this was the case, nor was there any evidence that calculations had been
performed to determine whether the student's eligibility was affected by
the revised information.
Similar findings were noted for students #12, 15, and 25.
An institution is responsible for verifying the information that is used
to calculate an applicant\'s Pell Grant Index (PGI)/Expected Family
Contribution (EFC) as part of the determination of need for student
financial assistance, for certain students who are selected for
verification by the Department. See 34 CFR § 668.54. Information is
verified by securing additional documentation or, in some cases, a
signed statement attesting to the accuracy of the information provided.
34 CFR § 668.56 and § 668.57. Once the required documentation is
received, the institution must determine whether any of the data
elements reported on the ISIR are incorrect and, if so, calculations
must be performed to determine if the students' eligibility is affected.
34 CFR § 668.59.
Failure to complete verification could result in students receiving
funds they are not entitled to, and create a financial burden for ED.
#### Final Determination
In response to this finding, TSPN was required to ensure that all
persons responsible for the awarding of Title IV funds are familiar with
the regulatory requirements, especially those relating to verification
guidelines.
Furthermore, due to the pervasive nature of this finding, TSPN was also
required to review the files of all students who received Title IV
funds, and were selected for verification during the 1997/98 and 1998/99
award years. The institution was then afforded the opportunity to
collect any required documentation that was missing and perform any
required need analysis calculations if the documentation revised any of
the data originally reported.
As a result of the file review, TSPN identified several additional
students who had not completed verification. The institution was able to
collect the required documentation and confirm the eligibility for most
of the students.
However, documentation submitted for student #31 showed that the
student's Pell Grant eligibility was reduced by \$100. Additionally,
TSPN was unable to collect all required documentation for students #16
and 22, resulting in the following liabilities:
-student #16 \$ 845 Pell Grant \$1,312 FFEL
-student #22 1,170 Pell Grant 2,625 FFEL
Detailed instructions for the payment of this liability are contained in
the [Payment Instructions]{.underline} section of this letter.
#### Finding
**[2. Unresolved Conflicting Information]{.underline}**
The reviewers found that TSPN had failed to resolve conflicting
information found in two student's files.
Student #17's file contained a copy of her 1996 federal tax return. That
tax return showed that she received a \$716 earned income credit in 1996
that was not reflected on her SAR. Although the student was not selected
for verification, TSPN was required to review the information that was
in her file to determine if it showed any inconsistent information. The
institution should have performed a revised need analysis to determine
the effect the earned income credit would have on the student's
eligibility, but it did not. TSPN performed a revised need analysis
during the review, which showed the student's Pell Grant eligibility was
reduced from \$2190 to \$1990**.**
A similar issue was noted in student #19's file.
An institution must resolve any discrepant information prior to
disbursing any Title IV funds to students. See 34 CFR § 668.16(f).
Failure to resolve conflicting information may result in students
receiving funds they are not entitled to, and create a financial burden
for the Department.
#### Final Determination
As a result of this finding, TSPN was instructed to implement procedures
to ensure that all information collected for students is evaluated to
determine its impact on a student's eligibility.
The institution was able to resolve the discrepancy for student #19.
However, TSPN was unable to resolve the discrepancy for student #17 and
is therefore liable for the \$200 Pell Grant overaward for student #17.
Detailed instructions for the payment of this liability are contained in
the [Payment Instructions]{.underline} section of this letter.
#### Finding
**[4. Incorrect Refund Calculations]{.underline}**
TSPN did not perform a proper refund calculation for student #1, who
withdrew from school on 3/14/98.
The school had determined that no refund was due after the student's
tuition was adjusted to account for the withdrawal. However, TSPN failed
to consider cash payments the student was expected to make when
calculating whether a refund was due to the Title IV programs.
Regulations published on 4/29/94, effective 7/1/94, state that "\...an
institution may not include any unpaid amount of a scheduled cash
payment in determining the amount that an institution may retain for
institutional charges" See 34 CFR § 668.22(g)(2)(ii)). Once it has been
determined how much the student still owes the school after tuition
charges have been adjusted, the student is expected to pay the amount of
cash that he/she was scheduled to at the beginning of the enrollment
period. The fact that the student withdrew should not reduce his/her
obligation to make the expected payments. Only after the student has
paid the expected share should Title IV funds be applied.
Additionally, TSPN was not considering the Federal refund criteria when
performing refund calculations. The regulations at 668.22(b) specify
that the institution must consider the federal refund criteria (defined
at 668.22(d)) when the pro rata refund requirements do not apply, and
there are no specific refund standards established by its accrediting
agency or under state law. The school would than be required to pay the
refund based on the criteria that is most beneficial to the student. The
Director acknowledged that the federal refund criteria were not
considered at TSPN.
Failure to make proper refunds may result in the institution retaining
funds it is not entitled to and cause increased expense for ED.
Additionally, an institution's failure to make adequate refunds of FFEL
funds to students' lenders may increase the possibility of default,
which also causes increased expenses to ED.
#### Final Determination
As a result of this finding, TSPN was required to revise its refund
procedures, to ensure that all regulatory provisions are addressed.
As a result of applying the regulatory provisions, it was determined
that TSPN was required to pay an \$781 refund to the FFEL program for
student #1.
Detailed instructions for the payment of this liability are contained in
the [Payment Instructions]{.underline} section of this letter.
**[SUMMARY OF LIABILITIES]{.underline}**
The total liabilities resulting from this final program review
determination are as follows:
[Finding \# Pell Grant FFEL Total]{.underline}
1 \$ 2,115 3,937 \$ 6,052
2 200 0 200
4 [0 781 781]{.underline}
Total \$ 2,315 4,718 7,033
**[PAYMENT INSTRUCTIONS]{.underline}**
TSPN must pay the \$4,718 FFEL liabilities to the current holders of the
loan debts for the applicable students identified in this FPRD. TSPN
must provide proof (copy of the canceled checks, front and back) that
payment was made to the holder(s) of the loans within 45 days of receipt
of this letter, to the following address:
Program Reviewer
U.S. Department of Education
75 Park Place, Room 1206
New York, NY 10007
The total liability to be remitted to the Department of Education based
on this final program review determination is \$ 2,315.
Payment of the \$ 2,315 liability must be made within 45 days by
forwarding a check, made payable to the U.S. Department of Education, to
the following address:
U.S. Department of Education
P.O. Box 952226
St. Louis, MO 63195-2226
To properly identify your institution's payment, and to ensure that the
institution receives credit for the payment, please include the
following information on the check and any accompanying documents:
DUNS Number: XXXXXXXX
TIN: XXXXXXXX
PRCN: 199840200000
If ED does not receive payment within the 45-day period, interest will
accrue in monthly increments, starting with the date of this letter,
until the date of receipt of your payment. If you have any questions
regarding interest accruals or payment credits you may telephone (202)
401-1450 and ask to speak to your institution's account representative.
**Payment Plan:** If full payment to ED cannot be made within 45 days of
the date of this letter, contact the Financial Improvement Receivables
Group at (202) 401-1450 to apply for a payment plan. Interest charges
and other conditions apply.
Written requests may be sent to the address below:
Nancy Hoglund, Supervisor
Financial Improvement Receivables Group
U.S. Department of Education
Room 4C107
400 Maryland Ave., S.W.
Washington, DC 20202-4330
If within 45 days of the date of this letter, your institution has
neither made payment in accordance with the instructions provided, nor
entered into an arrangement to repay the liability under terms
satisfactory to the U.S. Department of Education, ED intends to collect
the amount due and payable by administrative offset against payments due
your organization from the Federal Government. [Your institution may
object to the collection by offset only by challenging the existence or
amount of the debt.]{.underline} Your institution makes this challenge
by timely appealing this determination under the procedures described in
the "Appeal Procedures" section of this letter. The Department will use
those procedures to consider any objection to offset. No separate appeal
opportunity will be provided.
If a timely appeal is filed, ED will defer offset until completion of
the appeal, unless it determines that offset is necessary as provided in
34 CFR § 30.28. This debt may also be referred to the Department of the
Treasury for further action as authorized by the Debt Collection
Improvement Act of 1996.
# **APPEAL PROCEDURES**
This constitutes ED\'s final program review determination with respect
to the liabilities identified from the November 14, 1998, program review
report. If the institution wishes to appeal to the Secretary for a
review of monetary liabilities established by this final program review
determination, the institution must file a written request for an
administrative hearing. ED must receive the request no later than **45
days** from the date the institution receives this final program review
determination. **An original and four copies of the information you
submit must be attached to your request**. Your request for an appeal
must be sent to:
Ms. Mary Gust, Director
Administrative Actions and Appeals Division
U. S. Department of Education
830 First St. NE Rm. 083E1
### Washington, D. C. 20202
If you hand-deliver your submission, or use an overnight delivery
service other than the U.S. Postal Service, please address your
submission as follows:
Ms. Mary Gust, Director
Administrative Actions and Appeals Division
U.S. Department of Education
830 First St. NE Rm. 083E1
Washington, DC 20002
Your institution's appeal request must: (1) indicate the findings,
issues and facts you dispute; (2) state the institution's position,
together with pertinent facts and reasons supporting its position; (3)
include all documentation it believes the Department should consider in
support of the appeal; and (4) include a copy of this final program
review determination. The program review control numbers (PRCN) must
also accompany your request for review.
If your institution's appeal request is complete and made on a timely
basis, the Department will schedule an administrative hearing in
accordance with Section 487 (b) (2) of the Higher Education Act of 1965,
as amended (HEA), 20 U.S.C. §1094 (b) (2). The procedures followed with
respect to your institution's appeal will be those provided in 34 CFR
Part 668, Subpart H.
Program records relating to the period covered by this program review
must be retained until the later of: resolution of the loan, claim or
expenditure questioned in the program review, 34 CFR § 668.24 (e)(3)(I);
or the end of the retention period applicable to the record under 34 CFR
§ 668.24 (e) (1) and (e) (2).
Your continued cooperation throughout the program review process is
appreciated. If you have any questions, please contact Program Reviewer
at (212) 264-4022. Questions relating to any appeal of this final
program review determination should be directed to the address noted in
the [Appeal Procedures]{.underline} section of this letter.
Sincerely,
Area Case Director
Case Management Division - Northeast
New York Team
cc: Financial Aid Administrator
##
##
##
##
##
##
##
##
##
##
##
##
**[APPENDIX]{.underline}**
**[Student Name]{.underline}** **[Social Security \#]{.underline}**
**[1997/1998]{.underline}**
1\.
2\.
3\.
4\.
5\.
6\.
7\.
8\.
9\.
10\.
11\.
12\.
13\.
14\.
15\.
**[1998/1999]{.underline}**
16\.
17\.
18\.
19\.
20\.
21\.
22\.
23\.
24\.
25\.
26\.
27\.
28\.
29\.
30\.
[Additional Student Identified in File Review for Finding
#1]{.underline}
31\.
|
en
|
all-txt-docs
|
444876
|
SEC NEWS DIGEST
Issue 2007-50 March 15, 2007
COMMISSION ANNOUNCEMENTS
JOAN LOIZEAUX NAMED ASSOCIATE GENERAL COUNSEL FOR ADJUDICATION
The Commission announced today the selection of Joan L. Loizeaux to
serve as Associate General Counsel for Adjudication.
Ms. Loizeaux is currently serving as the Principal Assistant General
Counsel for Adjudication. Ms. Loizeaux has been at the Commission
since 1992 and before that was a partner at Hogan & Hartson, a partner
at Reed Smith Shaw & McClay, and an Assistant General Counsel at the
Commodity Futures Trading Commission.
Brian Cartwright, SEC General Counsel, said, "Joan brings to our
office a wealth of adjudicatory experience as well as the background
and experience necessary to assist in the management of the Office of
the General Counsel. She has extensive experience in securities law
and advising the Commission regarding appeals of decisions issued by
administrative law judges and by self-regulatory organizations. She is
highly regarded throughout the Commission and her combination of
expertise, intellect and judgment makes her exceptionally qualified to
serve in this position."
Ms. Loizeaux said, "I am very honored by this appointment. I look
forward to the opportunity to work with the Commission to serve
investors and the public interest. I am lucky to work with such a
talented group of attorneys and staff."
Ms Loizeaux received her J.D. from the UCLA School of Law in 1972. She
received her A.B., magna cum laude, from Occidental College in 1968
and is a member of Phi Beta Kappa. She will succeed Anne Chafer who
retired from the Commission in September. Ms. Loizeaux is married and
has one son. (Press Rel. 2007-43)
COMMISSION ANNOUNCES ADDITIONAL SPEAKER AND PANELISTS FOR MARCH 19
ROUNDTABLE: CREATING INTERACTIVE DATA TO SERVE INVESTORS
The Corporate Library CEO Richard Bennett to Address Event
The Securities and Exchange Commission announced today panelists
participating in the March 19 SEC roundtable on the use of interactive
data by public companies and mutual funds to improve disclosure for
individual investors. The Commission also announced that, following
the panel discussion, Richard A. Bennett, CEO of The Corporate
Library, will discuss the role that interactive data will play in
supporting good governance at public companies.
The roundtable will begin at 10:00 a.m. with brief remarks by Chairman
Cox, followed by an opening address by John J. Brennan, Chairman and
CEO of the Vanguard Group. Mr. Brennan is expected to discuss how
interactive data will allow investors to easily gather and compare
mutual fund risk and return information that might otherwise be buried
within disclosure documents.
Following Mr. Brennan's remarks, John W. White, Director of the
Commission's Division of Corporation Finance, will discuss the use of
interactive data to create better disclosure documents.
The roundtable will also feature a panel discussion on the benefits,
including potential cost savings, of preparing financial reports using
interactive data written in a computer language called XBRL. Panelists
will include executives at public companies currently providing
investors with interactive data on a test basis as part of the SEC's
voluntary filing program. The panel will be moderated by Chicago Sun-
Times personal finance columnist Terry Savage and feature the
following panelists:
Rob Blake, Vice President, Domain and Taxonomies, XBRL US, Inc.
James Cinquegrana, IT Team Leader, General Electric Company
Elmer H. Huh, Senior Vice President, Enterprise Valuation Group, Fixed
Income Department, Lehman Brothers Inc.
Thomas D. Jacob, Financial Manager, External Reporting, 3M Company
K. R. Kent, Vice Chairman and Chief Financial Officer, Ford Motor
Credit Company
Clare O'Leary, Director of Special Projects, Pfizer Inc.
Patsy J. Ramsey, Director of External Reporting, The Dow Chemical
Company
Nicholas M. Rolli, Vice President, Investor Relations and Financial
Communications, Altria Corporate Services, Inc.
Lawrence J. Salva, Senior Vice President, Chief Accounting Officer and
Controller, Comcast Corporation
Andrea Stegall, Vice President - Corporate Governance Compliance,
South Financial Group, Inc.
Harold I. Zeidman, Partner, Department of Professional Practice -
Audit and Risk, KPMG LLP
The roundtable will be held in the Auditorium at the Commission's
headquarters at 100 F Street, N.E., Washington, D.C., from 10:00 a.m.
to noon. The roundtable will be open to the public with seating on a
first-come, first-served basis. Doors will open at 9:30 a.m. Visitors
will be subject to security checks. Materials related to the
roundtable, including the day's agenda, are accessible at
http://www.sec.gov/spotlight/xbrl.htm. Real time and archived audio
and video webcasts will be accessible at http://www.sec.gov.
The Commission welcomes feedback on any aspect of the use of
interactive data. The information that is submitted will become part
of the public record of the roundtable. Submissions to the Commission
may be provided by any of the following methods: Electronic
submissions:
Use the Commission's Internet submission form at
www.sec.gov/news/press.shtml or
Send an e-mail to [email protected]. Please include File Number 4-
515 on the subject line.
Paper submissions:
Send paper submissions in triplicate to Nancy M. Morris, Secretary,
Securities and Exchange Commission, 100 F Street, N.E., Washington,
D.C. 20549-1090.
All submissions should refer to File Number 4-515. This file number
should be included on the subject line if e-mail is used. To help
process and review your submissions more efficiently, please use only
one method. The Commission will post all submissions on the
Commission's Internet Web site at http://www.sec.gov/news/press/4-
515.shtml.
Please note that all submissions received will be posted without
change; the SEC does not edit personal identifying information from
submissions. You should submit only information that you wish to make
available publicly. (Press Rel. 2007-44)
ENFORCEMENT PROCEEDINGS
SEC SETTLES WITH FORMER RAYTHEON OFFICERS FOR IMPROPER DISCLOSURE AND
ACCOUNTING PRACTICES
Former CFO, Controller, and Subsidiary CFO Agree To Pay Over $1.5
Million in Disgorgement and Penalties
The Commission announced today that it has instituted settled
enforcement proceedings against three former financial officers of
Raytheon Company and one of its subsidiaries. The SEC charged that
they were each involved in or aware of certain improper accounting
practices that operated as a fraud by failing to adequately and
accurately disclose the deteriorating financial results and business
of Raytheon's commercial aircraft manufacturing subsidiary. The SEC
also charged that each officer was involved in or aware of certain
false and misleading disclosures in Raytheon's periodic reports.
Named in the SEC's enforcement actions were Franklyn A. Caine, the
former CFO of Raytheon, Edward S. Pliner, Raytheon's former Controller
and former lead auditor, and James E. Gray, the former CFO of Raytheon
Aircraft Company (RAC). Without admitting or denying the SEC's
allegations or findings, Caine, Pliner, and Gray agreed to pay more
than $1.5 million combined to settle the Commission's charges.
According to the allegations in SEC's complaints filed today in the
U.S. District Court for the District of Columbia:
* Between 1997 and 1999, Raytheon improperly recognized revenue on
RAC's sale of unfinished aircraft through "bill and hold" sales
transactions that did not comply with Generally Accepted Accounting
Principles. These practices resulted in material overstatements of
RAC's reported annual net sales revenue and operating income in 1997
and 1998, enabling both RAC and Raytheon to meet certain internal and
external earnings targets. According to the SEC, Gray was personally
involved in these premature revenue recognition practices, and Pliner
was aware of them as the company's lead outside auditor.
* Between 1997 and 2001, there were certain improper disclosure and
accounting practices at Raytheon related to RAC's commuter aircraft
business, including the failure to adequately disclose in the
company's periodic reports material risks, trends, and uncertainties
associated with the deterioration of that business line. These
practices resulted in the failure to recognize between $67 million and
$240 million in losses that were inherent in a planned "soft landing"
of the commuter aircraft line at year-end 2000, which would have
reduced Raytheon's 2000 profit before taxes by 8 to 27 percent. These
losses were instead improperly taken during the third quarter of 2001,
when Raytheon recorded a $693 million charge related to its commuter
assets after September 11, 2001. Given the charge that should have
been taken at year-end 2000, Raytheon's third quarter 2001 commuter
loss provision was overstated by 10 to 53 percent. According to the
SEC, as the company's CFO, Caine was personally involved in and aware
of these practices throughout 2000 and 2001. In addition, as
Raytheon's lead auditor between 1997 and 1999, and as the company's
Controller in 2000 and 2001, Pliner was aware of and later personally
involved in these improper practices.
In an Administrative Order issued today, the SEC found that, during
2000 and 2001, Caine violated Sections 17(a)(2) and 17(a)(3) of the
Securities Act of 1933 and caused Raytheon's violations of Sections
13(a) and 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act
of 1934, and Exchange Act Rules 12b-20, 13a-1, 13a-13, and 13b2-1.
Caine was ordered to cease and desist from committing or causing the
violations charged as well as any future violations of these
provisions. Caine also consented to the entry of a final judgment in
the related civil action for the purposes of awarding civil monetary
penalties and disgorgement. As part of the settlement, Caine consented
to pay $706,072 in disgorgement of certain past bonus amounts plus
pre-judgment interest, and a $125,000 civil penalty.
In addition, Pliner consented to the entry of a court order, which
permanently enjoins him from violating Sections 17(a)(2) and 17(a)(3)
of the Securities Act and from aiding and abetting violations of
Sections 13(a) and 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act,
and Exchange Act Rules 12b-20, 13a-1, 13a-13, and 13b2-1. Pliner was
ordered to pay $415,042 in disgorgement of certain past bonus amounts
plus pre-judgment interest, and a $150,000 civil penalty. Pliner also
consented to the entry of a Commission order that will suspend him,
based on entry of the injunction in the related civil action, from
appearing and practicing before the Commission as an accountant for
three years pursuant to Rule 102(e)(3) of the Commission's Rules of
Practice.
Finally, Gray consented to the entry of a court order, which
permanently enjoins him from violating Sections 17(a)(2) and 17(a)(3)
of the Securities Act and from aiding and abetting violations of
Sections 13(a) and 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act,
and Exchange Act Rules 12b-20, 13a-1, 13a-13, and 13b2-1. Gray was
also ordered to pay disgorgement of certain past bonus amounts and
pre-judgment interest in the total amount of $105,753.
For additional information concerning this matter, see Litigation
Release No. LR-19747 (June 28, 2006) and Administrative Proceeding
Release No. 33-8715 (June 28, 2006). [SEC v. Franklyn A. Caine, Civil
Action No. 07-CV-00494 (GK) D.D.C.; SEC v. Edward S. Pliner, Civil
Action No. 07-CV-00495 (GK) D.D.C.; SEC v. James E. Gray, Civil Action
No. 07-CV-00496 (GK) D.D.C.] (LR-20041; AAE Rel. 2577); Administrative
Proceeding - (Rels. 33-8790; 34-55476; AAE Rel. 2578; File No. 3-
12592)
SELF-REGULATORY ORGANIZATIONS
APPROVAL OF PROPOSED RULE CHANGES
The Commission granted approval to a proposed rule change (SR-
NYSEArca-2006-51) submitted by NYSE Arca relating to amendments to
registration rules of NYSE Arca Equities, Inc. Publication is expected
in the Federal Register during the week of March 19. (Rel. 34-55446)
The Commission granted approval to a proposed rule change (SR-
NYSEArca-2006-50) submitted by NYSE Arca relating to amendments to
registration rules of NYSE Arca Equities, Inc. Publication is expected
in the Federal Register during the week of March 19. (Rel. 34-55447)
The Commission approved a proposed rule change (SR-Amex-2007-08)
submitted by the American Stock Exchange to establish a Passive Price
Improvement order for Specialists and Registered Traders. Publication
is expected in the Federal Register during the week of March 19. (Rel.
34-55464)
IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES
A proposed rule change (SR-BSE-2007-11) filed by the Boston Stock
Exchange to amend the existing fee schedules has become effective
under Section 19(b)(3)(A) of the Act. Publication is expected in the
Federal Register during the week of March 19. (Rel. 34-55450)
A proposed rule change (SR-Amex-2007-28) filed by the American Stock
Exchange relating to transaction charges for equities, ETFs, and
Nasdaq UTP securities has become immediately effective pursuant to
Section 19(b)(3)(A) of the Securities Exchange Act of 1934.
Publication is expected in the Federal Register during the week of
March 19. (Rel. 34-55459)
A proposed rule change (SR-Amex-2007-30) filed by the American Stock
Exchange relating to transaction charges for equities and ETFs has
become immediately effective pursuant to Section 19(b)(3)(A) of the
Securities Exchange Act of 1934. Publication is expected in the
Federal Register during the week of March 19. (Rel. 34-55460)
A proposed rule change (SR-NASD-2007-013) filed by the National
Association of Securities Dealers relating to portfolio margin has
become effective under Section 19(b)(3)(A) of the Securities Exchange
Act of 1934. Publication is expected in the Federal Register during
the week of March 19. (Rel. 34-55471)
SECURITIES ACT REGISTRATIONS
The following registration statements have been filed with the SEC
under the Securities Act of 1933. The reported information appears as
follows: Form, Name, Address and Phone Number (if available) of the
issuer of the security; Title and the number and/or face amount of the
securities being offered; Name of the managing underwriter or
depositor (if applicable); File number and date filed; Assigned
Branch; and a designation if the statement is a New Issue.
Registration statements may be obtained in person or by writing to the
Commission's Public Reference Branch at 100 F Street, N.E.,
Washington, D.C. 20549-1090 or at the following e-mail box address:
<[email protected]>. In most cases, this information is also
available on the Commission's website: <www.sec.gov>.
SB-2 K-Care Nutritional Products Inc., UNIT D - 1275 EAST 27TH STREET,
NORTH VANCOUVER, A1, V7J1S5, 6049860016 -
2,115,500 ($211,550.00) Equity, (File 333-141271 - Mar. 14) (BR. 02)
S-8 Switch & Data Facilities Company, Inc., 1715 NORTH WESTSHORE BOULEVARD,
SUITE 650, TAMPA, FL, 33607, 813-207-7700 - 0 ($74,107,629.68) Equity,
(File 333-141272 - Mar. 14) (BR. 11B)
S-1 Polypore International, Inc., (704) 588-5310 -
0 ($362,250,000.00) Equity, (File 333-141273 - Mar. 14) (BR. 06A)
S-1 Houston Wire & Cable CO, 10201 NORTH LOOP EAST, HOUSTON, TX, 77029,
(713) 609-2100 - 0 ($163,627,750.00) Equity, (File 333-141274 -
Mar. 14) (BR. 10)
S-8 KNOT INC, 462 BROADWAY 6TH FLOOR, NEW YORK, NY, 10013, 2122198555 -
1,235,318 ($28,548,199.00) Equity, (File 333-141275 - Mar. 14) (BR. 02B)
S-8 DREW INDUSTRIES INC, 200 MAMARONECK AVE, WHITE PLAINS, NY, 10601,
9144289098 - 600,000 ($16,953,000.00) Equity, (File 333-141276 -
Mar. 14) (BR. 05A)
S-8 PANACOS PHARMACEUTICALS, INC., 134 COOLIDGE AVE, WATERTOWN, MA, 02472,
617-926-1551 - 3,025,000 ($12,430,832.00) Equity, (File 333-141277 -
Mar. 14) (BR. 01C)
S-8 PNM RESOURCES INC, ALVARADO SQUARE, NEW MEXICO, ALBUQUERQUE, NM, 87158,
5052412700 - 0 ($3,000,000.00) Equity, (File 333-141281 - Mar. 14)
(BR. 02A)
S-8 PNM RESOURCES INC, ALVARADO SQUARE, NEW MEXICO, ALBUQUERQUE, NM, 87158,
5052412700 - 75,000 ($22,265,000.00) Equity, (File 333-141282 -
Mar. 14) (BR. 02A)
S-8 FOXHOLLOW TECHNOLOGIES, INC., 740 BAY ROAD, REDWOOD CITY, CA,
94063-2469, 650-421-8400 - 2,056,539 ($40,972,134.50) Equity,
(File 333-141285 - Mar. 14) (BR. 10B)
S-4 HSW International, Inc., 3350 PEACHTREE ROAD, SUITE 1500, ATLANTA, GA,
30326, (404) 364-5823 - 0 ($146,659,858.29) Equity, (File 333-141286 -
Mar. 14) (BR. 11)
S-8 MAXYGEN INC, 515 GALVESTON DRIVE, REDWOOD CITY, CA, 94063, 6502985300 -
0 ($7,233,321.60) Equity, (File 333-141287 - Mar. 14) (BR. 01B)
SB-2 Mar Ked Mineral Exploration, Inc., 555 JERVIS STREET, SUITE 1602,
VANCOUVER, A1, V6E 1N1, 604-647-0630 - 5,900,000 ($295,000.00) Equity,
(File 333-141288 - Mar. 14) (BR. )
S-1 Beneficial Mutual Bancorp Inc, 510 WALNUT STREET, PHILADELPHIA, PA,
19106, 215-864-6000 - 0 ($364,399,750.00) Equity, (File 333-141289 -
Mar. 14) (BR. )
F-3D FORDING CANADIAN COAL TRUST, SUITE 1000, 205-9TH AVE SE, CALGARY, A0,
T2G 0R4, 10,000,000 ($219,500,000.00) Equity, (File 333-141290 -
Mar. 14) (BR. 04B)
S-8 RAPTOR NETWORKS TECHNOLOGY INC, 1241 E. DYER ROAD, SUITE 150,
SANTA ANA, CA, 92705, (949) 623-9300 -
1,275,000 ($1,275,000.00) Equity, (File 333-141291 - Mar. 14) (BR. 03B)
F-6 eTelecare Global Solutions, Inc., 31ST FLOOR CYBERONE BUILDING,
EASTWOOD CITY, CYBERPARK BAGUMBAYAN, QUEZON CITY METRO MANILA, R6,
1110, 6329165670 - 100,000,000 ($5,000,000.00) Equity,
(File 333-141293 - Mar. 14) (BR. 08)
S-3 EURONET WORLDWIDE INC, HORVAT UTCA 14-24, BUDAPEST, K5, 1027,
36-1-224-1000 - 6,374,528 ($166,853,270.40) Equity, (File 333-141294 -
Mar. 14) (BR. 11C)
S-3 ENDWAVE CORP, 130 BAYTECH DRIVE, SAN JOSE, CA, 95134, (408)522-3100 -
3,000,000 ($37,500,000.00) Equity, (File 333-141295 - Mar. 14) (BR. 11C)
S-8 MICRON ENVIRO SYSTEMS INC, 789 WEST PENDER ST, SUITE 1250,
VANCOUVER BC, A1, V6C 1H2, 6046466903 -
10,000,000 ($655,000.00) Equity, (File 333-141297 - Mar. 14) (BR. 04A)
S-8 POLO RALPH LAUREN CORP, 650 MADISON AVENUE, NEW YORK, NY, 10022,
2123187000 - 6,000,000 ($513,000,000.00) Equity, (File 333-141298 -
Mar. 14) (BR. 02C)
S-8 Spirit AeroSystems Holdings, Inc., 3801 SOUTH OLIVER, WICHITA, KS,
67210, (316) 526-1100 - 0 ($138,425,591.92) Equity, (File 333-141299 -
Mar. 14) (BR. 05C)
S-3ASR CHATTEM INC, 1715 W 38TH ST, CHATTANOOGA, TN, 37409, 4238214571 -
0 ($125,000,000.00) Debt Convertible into Equity, (File 333-141300 -
Mar. 14) (BR. 01A)
S-4 CONAGRA FOODS INC /DE/, ONE CONAGRA DR, OMAHA, NE, 68102, 4025954000 -
0 ($499,999,000.00) Non-Convertible Debt, (File 333-141301 - Mar. 14)
(BR. 04A)
S-3ASR DELTA PETROLEUM CORP/CO, 370 SEVENTEENTH STREET, SUITE 4300, DENVER,
CO, 80202, 3032939133 - 0 ($13,820,820.00) Equity,
0 ($0.00) Unallocated (Universal) Shelf, (File 333-141303 - Mar. 14)
(BR. 04A)
RECENT 8K FILINGS
Form 8-K is used by companies to file current reports on the following events:
1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation
under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit
Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Principal Officers; Election of Directors;
Appointment of Principal Officers
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a
Provision of the Code of Ethics
6.01. ABS Informational and Computational Material.
6.02. Change of Servicer or Trustee.
6.03. Change in Credit Enhancement or Other External Support.
6.04. Failure to Make a Required Distribution.
6.05. Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits
8-K reports may be obtained in person or by writing to the Commission's Public
Reference Branch at 100 F Street, N.E., Washington, D.C. 20549-1090 or at the
following e-mail box address: <[email protected]>. In most cases, this information
is also available on the Commission's website: <www.sec.gov>.
STATE 8K ITEM NO.
NAME OF ISSUER CODE DATE COMMENT
21ST CENTURY INSURANCE GROUP CA 5.02 03/08/07
310 HOLDINGS, INC. NV 8.01,9.01 03/14/07
ACCREDITED HOME LENDERS HOLDING CO DE 8.01,9.01 03/12/07
ACCURIDE CORP DE 1.01,9.01 03/13/07
Aces Wired Inc NV 8.01 03/08/07
Aces Wired Inc NV 1.01,5.02,9.01 03/08/07
ADAMS GOLF INC DE 2.02,9.01 03/14/07
ADUDDELL INDUSTRIES INC CO 2.01,9.01 03/08/07
ADVANCED ANALOGIC TECHNOLOGIES INC DE 5.02 03/08/07
Affinity Group Holding, Inc. DE 8.01,9.01 03/09/07
AFFINITY GROUP INC DE 8.01,9.01 03/09/07
AFFORDABLE RESIDENTIAL COMMUNITIES IN MD 8.01,9.01 03/14/07
AFP IMAGING CORP NY 1.01,9.01 03/14/07
Agassiz Energy, LLC MN 2.03 03/09/07
Agfeed Industries, Inc NV 8.01,9.01 03/14/07
AIRGAS INC DE 2.01,8.01,9.01 03/09/07
Akeena Solar, Inc. DE 1.01,3.02,8.01,9.01 03/08/07
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 03/13/07
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 03/13/07
ALLIED WORLD ASSURANCE CO HOLDINGS LT 8.01,9.01 03/14/07
ALTUS EXPLORATIONS INC NV 3.02,9.01 03/08/07
AMEREN CORP MO 1.01,2.03,9.01 03/09/07
AMERICAN HOMEPATIENT INC DE 2.02,9.01 03/13/07
AMERICAN PHYSICIANS CAPITAL INC MI 5.02,9.01 03/08/07
AMERICAN TECHNICAL CERAMICS CORP DE 1.01,2.03 03/09/07
AMERICAN VANGUARD CORP DE 2.02 03/08/07 AMEND
AMERIGROUP CORP 7.01,8.01,9.01 03/13/07
AMREIT TX 2.02,9.01 03/13/07
ANADIGICS INC DE 7.01,8.01,9.01 03/14/07
ANTIGENICS INC /DE/ DE 5.02,9.01 03/08/07
APCO ARGENTINA INC/NEW 2.02,9.01 03/13/07
Argyle Security Acquisition CORP 1.01,9.01 03/14/07
Arran Funding LTD XX 1.01,9.01 03/14/07
ASTRONICS CORP NY 2.02,9.01 03/14/07
ATMEL CORP DE 3.01,9.01 03/08/07
ATS CORP DE 7.01,9.01 03/14/07
ATS CORP DE 3.03,9.01 03/14/07
AVANIR PHARMACEUTICALS CA 5.02 03/12/07
AVI BIOPHARMA INC OR 1.01,7.01,8.01 01/08/07
AXIS CAPITAL HOLDINGS LTD 5.02 03/08/07
BABYUNIVERSE, INC. FL 8.01,9.01 03/14/07
Banc of America Commercial Mortgage I DE 8.01,9.01 03/13/07
Banc of America Funding 2007-2 Trust DE 8.01,9.01 02/27/07
Banc of America Mortgage 2007-1 Trust DE 8.01,9.01 02/27/07
BCAP LLC Trust 2007-AA1 8.01,9.01 02/27/07
BEA SYSTEMS INC DE 1.01 03/09/07
BIG SKY ENERGY CORP NV 5.02 03/12/07
BIOFORCE NANOSCIENCES HOLDINGS, INC. NV 4.02 03/13/07 AMEND
BIOJECT MEDICAL TECHNOLOGIES INC OR 5.02 03/08/07
BIOLASE TECHNOLOGY INC DE 2.02,9.01 03/14/07
BIOSTEM, INC. NV 1.01,9.01 02/28/07
BIRNER DENTAL MANAGEMENT SERVICES INC CO 8.01 03/14/07
BJs RESTAURANTS INC CA 8.01,9.01 03/14/07
BLACKHAWK CAPITAL GROUP BDC INC DE 1.01 03/14/07
BODYTEL SCIENTIFIC INC. NV 8.01,9.01 03/14/07
BODYTEL SCIENTIFIC INC. NV 8.01,9.01 03/14/07
BRE PROPERTIES INC /MD/ MD 8.01,9.01 03/13/07
BRUNSWICK CORP DE 5.02 03/13/07
BSD MEDICAL CORP DE 7.01,9.01 03/14/07
BUCA INC /MN MN 2.02 03/13/07 AMEND
CABELAS INC DE 1.01,9.01 03/08/07
CABELAS INC DE 1.01,9.01 03/08/07 AMEND
CANO PETROLEUM, INC 5.02 03/12/07
CARDINAL FINANCIAL CORP VA 7.01 03/13/07
CATALINA MARKETING CORP/DE DE 1.01,3.03,7.01,9.01 03/08/07
CB RICHARD ELLIS GROUP INC DE 7.01,9.01 03/14/07
CB RICHARD ELLIS GROUP INC DE 5.02 03/08/07
CCH II LLC 5.02,9.01 03/14/07
CCO HOLDINGS LLC 5.02,9.01 03/14/07
CELSION CORP MD 5.02,9.01 03/12/07
CENTENNIAL COMMUNICATIONS CORP /DE DE 5.02,9.01 03/14/07
CENTERSTATE BANKS OF FLORIDA INC FL 5.02 03/14/07
CHARMING SHOPPES INC PA 7.01,9.01 03/12/07
CHARTER COMMUNICATIONS HOLDINGS LLC DE 5.02,9.01 03/14/07
CHARTER COMMUNICATIONS INC /MO/ DE 5.02,9.01 03/14/07
Chase Mortgage Finance Trust Series 2 DE 8.01,9.01 03/14/07
CHINACAST EDUCATION CORP DE 4.01,9.01 02/28/07 AMEND
CHIQUITA BRANDS INTERNATIONAL INC NJ 1.01,9.01 03/14/07
Churchill Ventures LTD 8.01,9.01 03/06/07
CIT GROUP INC DE 5.02,9.01 03/12/07
CITIBANK OMNI-S MASTER TRUST 8.01,9.01 03/14/07
CITRIX SYSTEMS INC DE 4.02,7.01,9.01 03/14/07
CLAIRES STORES INC DE 8.01,9.01 03/13/07
CLARIENT, INC DE 9.01 03/08/07 AMEND
CLEAN HARBORS INC MA 2.02,9.01 03/14/07
CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 03/13/07
CLEVELAND CLIFFS INC OH 8.01 03/13/07
CMS ENERGY CORP MI 1.01,2.01,9.01 03/13/07
CNL INCOME PROPERTIES INC MD 9.01 12/22/06 AMEND
COAST DISTRIBUTION SYSTEM INC DE 7.01,9.01 03/08/07 AMEND
COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.03,9.01 03/08/07
COMCAST CORP PA 8.01,9.01 02/26/07
COMMUNITY BANKS INC /PA/ PA 1.01,2.03,9.01 03/09/07
COMPUTER HORIZONS CORP NY 3.01,9.01 03/09/07
CONOLOG CORP DE 1.01,3.02,9.01 03/12/07
CONSUMERS FINANCIAL CORP PA 4.01,9.01 02/21/07 AMEND
CRDENTIA CORP DE 1.01,5.02,9.01 03/08/07
CRITICAL THERAPEUTICS INC DE 1.01,7.01 03/13/07
CROGHAN BANCSHARES INC OH 5.02 03/13/07
CRYO CELL INTERNATIONAL INC DE 2.02,9.01 03/14/07
Cyclacel Pharmaceuticals, Inc. DE 5.02 03/09/07
CYPRESS BIOSCIENCE INC DE 2.02,9.01 03/14/07
CYPRESS SEMICONDUCTOR CORP /DE/ DE 1.01,2.03,3.02,8.01,9.01 03/07/07
DEARBORN BANCORP INC /MI/ MI 8.01,9.01 01/04/07 AMEND
DENDREON CORP DE 2.02,9.01 03/14/07
DENNYS CORP DE 1.01,9.01 03/08/07
DENTAL PATIENT CARE AMERICA INC UT 1.01,2.01,9.01 03/09/07
DEPOMED INC CA 2.02,9.01 03/14/07
Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 03/14/07
Deutsche Alt-A Securities Mortgage Lo 8.01,9.01 03/14/07
DIAMOND DISCOVERIES INTERNATIONAL COR DE 5.02,9.01 03/13/07
Diamond I, Inc. DE 1.01,7.01,9.01 03/09/07
DIGITAL RIVER INC /DE DE 7.01 03/12/07
DIOMED HOLDINGS INC NV 7.01,9.01 03/14/07
DIRECT INSITE CORP DE 5.02 03/12/07
DOWNEY FINANCIAL CORP DE 7.01,9.01 02/28/07
Dynegy Acquisition, Inc. DE 8.01,9.01 03/14/07
Eagle Bulk Shipping Inc. 7.01,9.01 03/12/07
EASTMAN KODAK CO NJ 5.02,9.01 03/14/07
ECOLLEGE COM DE 2.02,8.01,9.01 03/14/07
Eddie Bauer Holdings, Inc. DE 2.02,7.01,9.01 03/14/07
eHealth, Inc. DE 5.02 03/08/07
EMDEON CORP DE 5.02 03/08/07
ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 03/14/07
ENERGY PARTNERS LTD DE 1.01,9.01 03/13/07
ENESCO GROUP INC IL 4.01,9.01 03/08/07
EON COMMUNICATIONS CORP DE 8.01 03/14/07
EPIC CAPITAL GROUP, INC. CO 8.01 03/09/07
EQUINIX INC DE 1.01,3.02 03/12/07
EURONET WORLDWIDE INC DE 8.01,9.01 03/12/07
EURONET WORLDWIDE INC DE 8.01 03/14/07
EVOLVING SYSTEMS INC DE 2.02,7.01 03/12/07
EXELON CORP PA 7.01,9.01 03/14/07
EXPLORATION CO OF DELAWARE INC DE 2.02,9.01 03/13/07
EXPRESS SCRIPTS INC DE 8.01,9.01 03/14/07
FAIRPOINT COMMUNICATIONS INC DE 7.01,8.01,9.01 03/14/07
FBL FINANCIAL GROUP INC IA 1.01,2.03,9.01 03/12/07
FEDEX CORP DE 5.03,9.01 03/12/07
FIRST DATA CORP DE 5.02 03/11/07
First Federal of Northern Michigan Ba 8.01,9.01 03/13/07
FIRST INDIANA CORP IN 8.01,9.01 03/09/07
FIRST MARINER BANCORP MD 1.01,5.02,9.01 01/08/07
FIRSTCITY FINANCIAL CORP DE 7.01,9.01 03/13/07
FISHER COMMUNICATIONS INC WA 5.02 03/08/07
FLEETWOOD ENTERPRISES INC/DE/ DE 2.02,9.01 03/08/07
FOOTHILLS RESOURCES INC 8.01,9.01 03/14/07
FOOTSTAR INC DE 8.01 03/14/07
Fortress International Group, Inc. DE 2.02,9.01 03/14/07
FRIEDMAN BILLINGS RAMSEY GROUP INC VA 8.01 03/13/07
Frontier Airlines Holdings, Inc. DE 8.01,9.01 03/08/07
GALAXY ENERGY CORP CO 1.01,9.01 03/12/07
GALAXY NUTRITIONAL FOODS INC DE 5.02 03/08/07
GALLERY OF HISTORY INC NV 5.02 03/12/07
GAP INC DE 5.02,9.01 03/09/07
GateHouse Media, Inc. DE 1.01,9.01 03/13/07
GENERAL DATACOMM INDUSTRIES INC DE 1.01,2.03,9.01 03/09/07
General Finance CORP DE 1.01,8.01,9.01 03/08/07
GENTA INC DE/ DE 1.01,9.01 03/13/07
GENVEC INC DE 2.02,9.01 03/14/07
GEOKINETICS INC DE 5.02,9.01 03/08/07
GILEAD SCIENCES INC DE 5.02 03/09/07
GLIMCHER REALTY TRUST MD 5.02 03/08/07
GLOBAL INDUSTRIES LTD LA 5.02 03/08/07
GOLD STANDARD INC UT 4.01 03/12/07
GOLDEN STAR RESOURCES LTD 2.02,9.01 03/14/07
GOODRICH PETROLEUM CORP DE 2.02,9.01 03/13/07
GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02 03/14/07
Gottaplay Interactive, Inc. NV 1.01,2.01,3.02 02/28/07
GREAT ATLANTIC & PACIFIC TEA CO INC MD 8.01 03/13/07
GSR Mortgage Loan Trust 2007-1F DE 8.01,9.01 02/28/07
GTSI CORP DE 8.01 03/13/07
HANOVER GOLD CO INC DE 2.01 03/08/07
HEALTH NET INC DE 8.01 03/13/07
HEALTHSOUTH CORP DE 1.01,9.01 03/12/07
HEALTHWAYS, INC DE 7.01 03/14/07
HERBST GAMING INC NV 2.02,9.01 03/14/07
HERCULES OFFSHORE, INC. DE 5.02,9.01 03/08/07
HERITAGE WORLDWIDE INC 5.02 03/09/07
HIBBETT SPORTS INC 2.02,7.01,9.01 03/14/07
HICKORY TECH CORP MN 2.02,7.01,9.01 03/14/07
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 03/14/07
Home Equity Loan Trust 2007-HSA1 8.01,9.01 03/14/07
HORIZON OFFSHORE INC DE 5.02 03/09/07
HOT TOPIC INC /CA/ CA 2.02,9.01 03/14/07
HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 8.01 03/13/07
HOUSING PROGRAMS LTD CA 1.01,2.01 03/08/07
Houston Wire & Cable CO 2.02 03/14/07
Hyde Park Acquisition CORP DE 8.01,9.01 03/13/07
ICO Global Communications (Holdings) DE 5.02 03/12/07
ICO INC TX 7.01 03/12/07
ICU MEDICAL INC/DE DE 1.01 03/13/07
IndyMac INDX Mortgage Loan Trust 2007 8.01,9.01 02/27/07
INN OF THE MOUNTAIN GODS RESORTS & CA 2.02,9.01 03/13/07
INNKEEPERS USA TRUST/FL MD 8.01,9.01 03/14/07
INNOCOM TECHNOLOGY HOLDINGS, INC. NV 7.01,8.01,9.01 03/13/07
INNOVO GROUP INC DE 1.01,2.01,9.01 05/17/05 AMEND
INSIGHT ENTERPRISES INC DE 3.01 03/12/07
INSITE VISION INC DE 2.02,9.01 03/14/07
INTERMOUNTAIN REFINING CO INC NM 2.01 02/28/07
INTERSECTIONS INC DE 1.01 03/08/07
ISLAND PACIFIC INC DE 5.02,9.01 03/14/07
ISTA PHARMACEUTICALS INC DE 1.01,2.03,9.01 03/12/07
Ithaka Acquisition Corp DE 1.01,9.01 02/23/07
IVI COMMUNICATIONS INC NV 3.02,5.03,9.01 03/12/07
J CREW GROUP INC DE 2.02,9.01 03/13/07
J P MORGAN CHASE & CO DE 9.01 03/09/07
J.P. Morgan Alternative Loan Trust 20 DE 8.01,9.01 03/14/07
J2 GLOBAL COMMUNICATIONS INC DE 8.01,9.01 03/14/07
J2 GLOBAL COMMUNICATIONS INC DE 8.01,9.01 03/14/07 AMEND
JACLYN INC DE 3.02,9.01 03/06/07
JANUS CAPITAL GROUP INC DE 5.02,9.01 03/12/07
JARDEN CORP DE 1.01,1.02,5.02,9.01 03/09/07
Jazz Technologies, Inc. DE 5.02 03/12/07
JEWETT CAMERON TRADING CO LTD OR 8.01 03/13/07
Keewatin Windpower Corp. NV 3.02 03/13/07
KENEXA CORP 5.02 03/08/07
Kentucky First Federal Bancorp 8.01,9.01 03/13/07
KNOVA SOFTWARE, INC. DE 1.02,2.01,3.01,3.03,5.01,5.02, 03/13/07
5.03,8.01,9.01
KRONOS WORLDWIDE INC 2.02,7.01,9.01 03/12/07
L 3 COMMUNICATIONS HOLDINGS INC DE 8.01 03/14/07
LAKE AREA CORN PROCESSORS LLC 7.01,9.01 03/14/07
LAKES ENTERTAINMENT INC MN 7.01,9.01 03/12/07
LANCE INC NC 5.02,9.01 03/08/07
LAND O LAKES INC 8.01 03/12/07
LB-UBS Commercial Mortgage Trust 2007 8.01,9.01 02/27/07
LB-UBS Commercial Mortgage Trust 2007 8.01,9.01 02/27/07
LEHMAN ABS CORP BELLSOUTH CAPITAL FUN DE 8.01,9.01 02/28/07
LEHMAN ABS CORP BELLSOUTH DEBT- BACKE DE 8.01,9.01 02/28/07
LEHMAN BROTHERS HOLDINGS INC DE 2.02,9.01 03/14/07
LEHMAN BROTHERS HOLDINGS INC DE 9.01 03/09/07
Lev Pharmaceuticals Inc DE 8.01,9.01 03/14/07
LEVEL 3 COMMUNICATIONS INC DE 7.01 03/14/07
LIGHTBRIDGE INC DE 2.05 10/10/06 AMEND
LILLY ELI & CO IN 8.01,9.01 03/07/07
LIME ENERGY CO. DE 8.01,9.01 03/13/07
Lincoln Park Bancorp 1.01,9.01 03/08/07
LIQUIDITY SERVICES INC 8.01,9.01 03/14/07
LPATH, INC NV 8.01 03/08/07
LSB FINANCIAL CORP IN 2.02,9.01 03/13/07
MACDERMID INC CT 7.01,9.01 03/14/07
MASTR Adjustable Rate Mortgages Trust DE 8.01,9.01 03/14/07
MAUI LAND & PINEAPPLE CO INC HI 5.02,9.01 03/12/07
MAXIMUS INC VA 8.01,9.01 03/13/07
MAXYGEN INC DE 2.02 02/06/07 AMEND
Measurement Specialties Inc NJ 5.02,9.01 03/14/07
MedaSorb Technologies CORP 8.01 02/25/07
MEDCATH CORP DE 8.01,9.01 03/13/07
Medical Exchange Inc. NV 1.01,2.01,2.03,9.01 03/07/07
MEDIS TECHNOLOGIES LTD DE 2.02,9.01 03/14/07
MEGOLA INC 4.01,9.01 03/13/07
MELLON BANK N A MA 8.01,9.01 03/09/07
MEMORY PHARMACEUTICALS CORP 8.01,9.01 03/13/07
MERRIMAC INDUSTRIES INC DE 1.01,3.03,9.01 03/13/07
METALICO INC 7.01,9.01 03/13/07
MIDDLEBY CORP DE 5.02,9.01 03/08/07
MIDDLESEX WATER CO NJ 8.01 03/14/07
MILLER INDUSTRIES INC /TN/ TN 2.02,9.01 03/14/07
ML-CFC Commercial Mortgage Trust 2007 DE 8.01,9.01 03/14/07
MMC ENERGY, INC. DE 8.01 03/12/07
Morgan Stanley Capital I Trust 2007-H DE 8.01,9.01 03/14/07
Morgan Stanley Home Equity Loan Trust DE 8.01,9.01 02/28/07
Morgan Stanley Mortgage Loan Trust 20 DE 8.01,9.01 02/28/07
MOVIE GALLERY INC DE 1.01,1.02,2.03,8.01,9.01 03/08/07
MPLC, Inc. DE 5.02,9.01 03/08/07
MTI TECHNOLOGY CORP DE 3.01,9.01 03/08/07
NATIONAL BEVERAGE CORP DE 2.02,9.01 03/14/07
NATIONAL CITY CORP DE 7.01,9.01 03/14/07
National Collegiate Student Loan Trus 1.01,9.01 03/08/07
NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 03/13/07
Neff Rental LLC DE 5.02 03/14/07
NETSOL TECHNOLOGIES INC NV 7.01,9.01 03/14/07
NEW CENTURY FINANCIAL CORP MD 1.02,2.04,3.01,8.01,9.01 03/13/07
NEW RIVER PHARMACEUTICALS INC VA 2.02,9.01 03/13/07
NEW WORLD BRANDS INC DE 4.01,9.01 09/15/06 AMEND
NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 03/14/07
NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 03/13/07
NewGen Technologies, Inc NV 5.02 03/14/07
NEWS CORP 8.01,9.01 03/14/07
Nissan Auto Receivables 2007-A Owner DE 8.01,9.01 02/22/07
NITROMED INC DE 1.01,1.02,9.01 03/09/07
NL INDUSTRIES INC NJ 2.02,7.01,9.01 03/13/07
NORTHEAST UTILITIES MA 8.01,9.01 03/12/07
NORTHERN ETHANOL, INC. DE 8.01 03/13/07
NORTHSTAR REALTY 7.01 03/13/07
NORTHWEST AIRLINES CORP DE 1.01 03/09/07
NOVADEL PHARMA INC DE 7.01,8.01,9.01 03/08/07
NOVAVAX INC DE 2.02,9.01 03/14/07
NPS PHARMACEUTICALS INC DE 2.02,2.05,5.02,9.01 03/14/07
NTN BUZZTIME INC DE 2.02,9.01 03/14/07
Oakmont Acquisition Corp. DE 7.01,9.01 03/13/07
OCEANFIRST FINANCIAL CORP DE 2.02,9.01 03/12/07
OCTILLION CORP 5.02 03/08/07
OMNI ENERGY SERVICES CORP LA 7.01,9.01 03/08/07
ONE LIBERTY PROPERTIES INC MD 9.01 12/31/06
ONE LIBERTY PROPERTIES INC MD 1.01,9.01 03/09/07
ONE VOICE TECHNOLOGIES INC NV 4.01,9.01 02/16/07 AMEND
ORACLE CORP 5.02 03/12/07
ORIGEN FINANCIAL INC DE 2.02,9.01 03/13/07
ORION ETHANOL, INC KS 1.01,5.02,9.01 03/10/07
ORTHOLOGIC CORP DE 2.02,9.01 03/14/07
OSPREY GOLD CORP NV 5.03,8.01 03/13/07
OVERSTOCK.COM, INC UT 8.01,9.01 03/14/07
OXFORD MEDIA, INC. NV 2.01,9.01 03/08/07
PACEL CORP NV 8.01 03/08/07
PACIFIC GAS & ELECTRIC CO CA 8.01,9.01 03/13/07
PACIFICORP /OR/ OR 8.01,9.01 03/14/07
PANDA ETHANOL, INC. NV 1.01,9.01 03/01/07 AMEND
PAR TECHNOLOGY CORP DE 1.01 03/08/07
Partners Financial CORP FL 8.01,9.01 03/09/07
PATRIOT NATIONAL BANCORP INC CT 2.02,9.01 03/13/07
PDL BIOPHARMA, INC. DE 8.01,9.01 03/12/07
PEERLESS SYSTEMS CORP DE 2.02,9.01 03/14/07
PETRO STOPPING CENTERS L P DE 1.01,9.01 03/09/07
PG&E CORP CA 8.01,9.01 03/13/07
PICO HOLDINGS INC /NEW CA 2.02,9.01 03/12/07
PINNACLE AIRLINES CORP DE 8.01,9.01 03/08/07
PLURIS ENERGY GROUP INC NV 8.01 03/08/07
PMC COMMERCIAL TRUST /TX TX 2.02,9.01 03/13/07
POINT THERAPEUTICS INC DE 3.01,9.01 03/13/07
POLYONE CORP 5.02 03/08/07
POWER 3 MEDICAL PRODUCTS INC NY 4.01,9.01 03/08/07
PPT VISION INC MN 1.01,3.02,5.03,9.01 03/08/07
PRB Energy, Inc. NV 5.02 03/08/07 AMEND
PRINCIPAL LIFE INSURANCE CO IA 9.01 03/09/07
PRINCIPAL LIFE INSURANCE CO IA 9.01 03/09/07
PROGRESSIVE CORP/OH/ OH 7.01,9.01 03/14/07
PROSPECT ENERGY CORP MD 8.01,9.01 03/14/07
QUALMARK CORP CO 1.01,2.03 03/13/07
QUESTCOR PHARMACEUTICALS INC CA 5.02 03/08/07
RALI Series 2007-QA2 Trust DE 8.01,9.01 03/14/07
RALI Series 2007-QH2 Trust DE 8.01,9.01 03/14/07
RALI Series 2007-QS3 Trust DE 8.01,9.01 03/14/07
RASC Series 2007-KS1 Trust DE 8.01,9.01 03/14/07 AMEND
REGIONS FINANCIAL CORP DE 5.03,5.05,9.01 03/08/07
REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 03/13/07
Residential Asset Securitization Trus 8.01,9.01 02/27/07
Residential Asset Securitization Trus 8.01,9.01 02/27/07
RFMSI Series 2007-S2 Trust DE 8.01,9.01 03/14/07
ROHM & HAAS CO DE 2.03,9.01 03/09/07
ROMA FINANCIAL CORP X1 2.02,9.01 03/09/07
RUB A DUB SOAP INC CO 3.02 03/14/07 AMEND
RUBIOS RESTAURANTS INC DE 7.01,9.01 03/14/07
RUSS BERRIE & CO INC NJ 1.01,5.02 03/13/07
SABRE HOLDINGS CORP DE 8.01 03/13/07
SAKS INC TN 8.01,9.01 03/14/07
SANTARUS INC DE 8.01 03/12/07
SAPIENT CORP DE 5.02 03/08/07
SE FINANCIAL CORP 2.02,9.01 03/12/07
SEACHANGE INTERNATIONAL INC DE 2.02,9.01 03/13/07
SELECT COMFORT CORP 7.01,9.01 03/14/07
SENSUS METERING SYSTEMS BERMUDA 2 LTD 5.02 03/09/07
SEQUA CORP /DE/ DE 5.02,9.01 03/14/07
SEQUIAM CORP CA 2.04,9.01 03/14/07
SHANDONG RUITAI CHEMICAL CO., LTD DE 5.03 03/12/07
Sibling Entertainment Group, Inc. NY 2.03,9.01 03/14/07
SIERRA PACIFIC RESOURCES /NV/ NV 1.01 03/09/07
SIGMA ALDRICH CORP DE 7.01,9.01 03/13/07
SIGMA ALDRICH CORP DE 1.01,2.03,9.01 03/13/07
SIRICOMM INC DE 8.01,9.01 03/14/07
SIRVA INC DE 5.02,9.01 03/08/07
SOMANETICS CORP MI 2.02,9.01 03/14/07
SONIC AUTOMOTIVE INC DE 5.02 03/13/07
SOUTH TEXAS OIL CO NV 2.01,8.01,9.01 03/14/07
SOUTH TEXAS OIL CO NV 4.01,5.02,9.01 03/14/07 AMEND
SOVEREIGN BANCORP INC PA 5.02 03/08/07
SPECIALIZED HEALTH PRODUCTS INTERNATI DE 2.02,9.01 03/14/07
SPECTRE GAMING INC MN 5.02,9.01 02/26/07
SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 03/14/07
SPECTRX INC DE 1.01,2.03,3.02 03/14/07 AMEND
SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 03/14/07
STAAR SURGICAL CO DE 7.01 03/06/07
Stereotaxis, Inc. DE 1.01 03/12/07
STONELEIGH ACQUISITION CORP. DE 1.01,5.01,5.02,9.01 03/11/07
SULPHCO INC NV 3.02,5.02,9.01 03/12/07
SUPERGEN INC DE 2.02,9.01 03/14/07
SUREWEST COMMUNICATIONS CA 2.02,9.01 03/14/07
TBW Mortgage-Backed Trust Series 2007 DE 8.01,9.01 02/27/07
TBW Mortgage-Backed Trust Series 2007 DE 8.01,9.01 02/27/07
TECHNOLOGY SOLUTIONS COMPANY DE 5.02 03/14/07
Thornburg Mortgage Securities Trust 2 DE 8.01,9.01 02/27/07
TITAN PHARMACEUTICALS INC DE 1.02 03/12/07
Triton Petroleum Group Inc 8.01 03/14/07
TRUEYOU.COM DE 2.04,9.01 03/08/07
TRUEYOU.COM DE 5.02 03/12/07
U S GOLD CORP CO 7.01,8.01,9.01 03/14/07
U S GOLD CORP CO 7.01,8.01,9.01 03/14/07
U S GOLD CORP CO 7.01,8.01,9.01 03/14/07
ULTRALIFE BATTERIES INC DE 7.01,9.01 03/14/07
UMPQUA HOLDINGS CORP OR 8.01,9.01 03/14/07
UNIPROP MANUFACTURED HOUSING COMMUNIT MI 1.01 03/12/07
UNITEDHEALTH GROUP INC MN 8.01 03/13/07
Uranium Star Corp. NV 4.01,7.01,9.01 12/22/06 AMEND
VALENCE TECHNOLOGY INC DE 1.01,5.02,9.01 02/01/07
VALENCE TECHNOLOGY INC DE 8.01,9.01 03/13/07
Valera Pharmaceuticals Inc 8.01 03/12/07
VALHI INC /DE/ DE 2.02,7.01,9.01 03/14/07
VALLEY NATIONAL BANCORP NJ 7.01,9.01 03/14/07
VARSITY GROUP INC 1.01,2.03 03/08/07
VENTURES UNITED INC UT 8.01,9.01 03/14/07
VIEWPOINT CORP DE 2.02,9.01 03/14/07
VIEWSONIC CORP DE 5.02 03/08/07
VITAL IMAGES INC MN 8.01 03/09/07
Warner Music Group Corp. DE 1.01 03/14/07
WASHINGTON MUTUAL, INC WA 5.02 03/08/07
WATAIRE INTERNATIONAL, INC. WA 5.02 03/14/07
WEBEX COMMUNICATIONS INC DE 5.02,9.01 03/01/07
WebMD Health Corp. DE 5.02 03/08/07
Wells Fargo Alternative Loan 2007-PA1 DE 8.01,9.01 02/27/07
Wells Fargo Mortgage Backed Securitie DE 8.01,9.01 02/27/07
WEST PHARMACEUTICAL SERVICES INC PA 1.01,2.03,8.01,9.01 03/09/07
WHOLE FOODS MARKET INC TX 8.01 03/13/07
WILD OATS MARKETS INC DE 8.01 03/13/07
WILLBROS GROUP INC R1 2.02,9.01 03/08/07
WILLIS GROUP HOLDINGS LTD D0 8.01,9.01 03/13/07
WOLVERINE TUBE INC DE 2.02,9.01 03/14/07
WORLD HEART CORP A6 5.02,9.01 03/08/07
WPT ENTERPRISES INC 1.01,9.01 03/08/07
ZIPREALTY INC 2.02,9.01 03/14/07
Zumiez Inc 2.02,9.01 03/14/07
|
en
|
markdown
|
160184
|
# Presentation: 160184
## MODIS Surface Albedos and Distribution of Global Ecosystem Types
*Eric G. Moody**1,2**, Michael D. King**1**, Steven Platnick**1,3**, Crystal Schaff**4*
*1*NASA Goddard Space Flight Center
*2*Emergent IT, Inc.
*3*University of Maryland Baltimore County
*4*Boston University
- Outline
- Motivation
- Issues with original albedo scheme
- New Ecosystem-Albedo seasonal model
- Description of ecosystem classifications
- Implementation of new model
- Summary and future directions
## Motivation
- Retrieval of Cloud Optical Properties (MOD06OD)
- Computes optical thickness and effective radius using White-Sky surface albedos at wavelengths of 0.659, 0.865, 1.24, 1.6, 2.1, and 3.7 microns.
- Inaccurate albedo value will enhance or attenuate reflectance.
- Can cause retrieval failures and unreasonable/unphysical results.
- Preparation for consistent year processing.
- Pre- and post-launch White Sky Surface Albedo scheme flagged for update.
- [email protected]
- Eric G. Moody
## Original Albedo Scheme
- Scheme used IGBP ecosystem classifications as a surrogate for albedo.
- eg. Table of albedos for each ecosystem.
- Albedo data obtained from CERES/SARB.
- Issues with the scheme:
- Broad-banded data.
- Led to key bands having same surface albedo.
- No seasonal variation in albedo.
- Ecosystem with growth cycles not represented.
- Coarse resolution CERES IGBP global ecosystem map.
- 1 degree resolution left signatures
- [email protected]
- Eric G. Moody
## Design Parameters
- Fine resolution (10km) IGBP ecosystem and albedo data.
- Albedos at wavelengths of interest.
- Seasonally dependent albedo data set.
- Sufficient data to generate global albedo maps.
- -OR-
- Sufficient data to create an ecosystem-albedo surrogate.
- [email protected]
- Eric G. Moody
## MODIS-Land Products.
- Drs. Alan Strahler and Crystal Schaaf
- Boson Univ. Center for BRDF/Albedo Research
- MOD12 - Ecosystem Classification
- 10 km resolution, globally.
- Includes updates of IGBP classifications.
- MOD43B - BRDF/Albedo Product
- 10 km resolution, 16-day global composites.
- Includes White-Sky Albedos at specific wavelengths of interest.
- [email protected]
- Eric G. Moody
## Sufficient Data Available?
- NO (at the time of consistent year code delivery).
- Only 2 data sets certified for quantitative use.
- Spanned October, 2000.
- [email protected]
- Eric G. Moody
## Preliminary Analysis.
- Create seasonal ecosystem-albedo scheme if:
- Northern and Southern Hemispheres differ statistically.
- Sufficient data samples for each ecosystem type.
- Ecosystem-Albedo correlate.
- Analysis
- Compute statistics for “latitude belts” of varying sizes
- Mean, standard deviation, and sample size
- Albedos at various wavelengths, for each ecosystem type.
- Results
- All three criteria met.
- [email protected]
- Eric G. Moody
## Model Description.
- Tropics, no seasonal effect.
- Seasonally dependant.
- Transition region.
- [email protected]
- Eric G. Moody
## Model Data.
- Seasonally Dependent Regions.
- Northern Hemisphere values assumed to be winter albedos at the winter solstice.
- Southern Hemisphere values assumed to be summer albedos at the summer solstice.
- Sinusoidal fit of these albedos to simulate seasonality.
- Tropical Region (no seasonal effects)
- Albedos at various bands computed for ecosystem types
- Transition Region (some seasonal effects)
- Linear fit between tropical and north/south albedos.
- [email protected]
- Eric G. Moody
## IGBP Ecosystem Classifications
- Forests:
- Evergreen Needle and Broadleaf, Deciduous Needle and Broadleaf, and Mixed
- “Savannas”
- Closed and Open Shrublands, Woody Savanna, Savanna, Grasslands
- Other Vegetation
- Permanent Wetlands, Urban and Buildup, Cropland and Cropland Mosaics
- Miscellaneous:
- Permanent Snow/Ice, Tundra, Barren/Sparse, and Water Bodies
- [email protected]
- Eric G. Moody
## Global Ecosystem Distribution
- [email protected]
- Eric G. Moody
## Forest Ecosystem Distribution
- [email protected]
- Eric G. Moody
## Savanna Ecosystem Distribution
- [email protected]
- Eric G. Moody
## Other Vegetation Distribution
- [email protected]
- Eric G. Moody
## Miscellaneous Distributions
- [email protected]
- Eric G. Moody
## Slide 16
- [email protected]
- Eric G. Moody
## Slide 17
- [email protected]
- Eric G. Moody
## Slide 18
- [email protected]
- Eric G. Moody
## Slide 19
- [email protected]
- Eric G. Moody
## Slide 20
- [email protected]
- Eric G. Moody
## Slide 21
- [email protected]
- Eric G. Moody
## Slide 22
- [email protected]
- Eric G. Moody
## Slide 23
- [email protected]
- Eric G. Moody
## Slide 24
- [email protected]
- Eric G. Moody
## Slide 25
- [email protected]
- Eric G. Moody
## Slide 26
- [email protected]
- Eric G. Moody
## Standard Deviations.
- Albedo means at various wavelengths and times of year, for all ecosystem types, are within 7%.
- Majority are within 3%
- Suggests a reasonable correlation between ecosystem and albedo.
- [email protected]
- Eric G. Moody
## Slide 28
- [email protected]
- Eric G. Moody
## Albedo Movies
- _Albedo Movies_
- Loops through bands 0.65, 0.86,
- 1.24, 1.64, 2.1, and 3.7
- Loops through seasonal equinox
- and solstice, progressing from
- Julian days 91, 173, 293, 356
- _Ecosystem Color Scheme_
- Pink = Crops
- Green = Trees
- Yellows = Barren/Deserts
- Blues = Savannas
- [email protected]
- Eric G. Moody
## Ecosystem Color Scheme
- _Ecosystem Color Scheme_
- Pink = Crops
- Green = Trees
- Yellows = Barren/Deserts
- Blues = Savannas
- _Albedo Movies_
- Loops through bands 0.65, 0.86,
- 1.24, 1.64, 2.1, and 3.7
- Loops through seasonal equinox
- and solstice, progressing from
- Julian days 91, 173, 293, 356
- [email protected]
- Eric G. Moody
## Albedo Movies
- Loops through bands 0.65, 0.86,
- 1.24, 1.64, 2.1, and 3.7
- Loops through seasonal equinox
- and solstice, progressing from
- Julian days 91, 173, 293, 356
- _Ecosystem Color Scheme_
- Pink = Crops
- Green = Trees
- Yellows = Barren/Deserts
- Blues = Savannas
- [email protected]
- Eric G. Moody
## Ecosystem Color Scheme
- Pink = Crops
- Green = Trees
- Yellows = Barren/Deserts
- Blues = Savannas
- _Albedo Movies_
- Loops through bands 0.65, 0.86,
- 1.24, 1.64, 2.1, and 3.7
- Loops through seasonal equinox
- and solstice, progressing from
- Julian days 91, 173, 293, 356
- [email protected]
- Eric G. Moody
## Albedo Movies
- Loops through bands 0.65, 0.86,
- 1.24, 1.64, 2.1, and 3.7
- Loops through seasonal equinox
- and solstice, progressing from
- Julian days 91, 173, 293, 356
- _Ecosystem Color Scheme_
- Pink = Crops
- Green = Trees
- Yellows = Barren/Deserts
- Blues = Savannas
- [email protected]
- Eric G. Moody
## Ecosystem Color Scheme
- Pink = Crops
- Green = Trees
- Yellows = Barren/Deserts
- Blues = Savannas
- _Albedo Movies_
- Loops through bands 0.65, 0.86,
- 1.24, 1.64, 2.1, and 3.7
- Loops through seasonal equinox
- and solstice, progressing from
- Julian days 91, 173, 293, 356
- [email protected]
- Eric G. Moody
## Conclusions
- Improved surface albedo data for use in consistent year processing.
- Provided albedo and ecosystem data sets at a finer resolution.
- Added seasonal variability.
- Provided albedos at specific wavelengths of interest.
- Ecosystem can be used as a surrogate for albedo.
- [email protected]
- Eric G. Moody
## Future Directions
- Use a full year’s data (from consistent year) to improve ecosystem and albedo statistics.
- Investigate global albedo maps.
- Investigate ecosystem-albedo surrogate.
- ISRSE presentation, April 2002.
- Publish this work with BU group.
- [email protected]
- Eric G. Moody
|
en
|
markdown
|
235019
|
# Presentation: 235019
## National Estimates from the Drug Abuse Warning Network
- CAPT Kathy Poneleit
- United States Public Health Service
- Office of Applied Studies
- Substance Abuse & Mental Health Services Administration
- November 13, 2008
- _http://DAWNinfo.samhsa.gov_
## Today's Agenda
- No conflicts of interest
- Overview of DAWN
- Key findings from 2007
- Nonmedical use of opiates/opioids
- 2004-2007 comparisons
- Extended- vs. immediate-release oxycodone
- Extended- vs. immediate-release morphine
## DAWN Survey Design
- Stratified probability sample of hospitals
- Short-term, general, non-Federal hospitals with 24-hour emergency departments (EDs)
- National estimates account for:
- Sample design
- Unit nonresponse
- Partial nonresponse in responding hospital
## National Estimates
- Oversample areas (urban) +
- Remainder area (urban & rural)
## Source of DAWN Estimates, 2004-2007
| | 2004 | 2005 | 2006 | 2007 |
| --- | --- | --- | --- | --- |
| Eligible hospitals | 4,505 | 4,549 | 4,568 | 4,575 |
| Sample of hospitals | 556 | 562 | 544 | 542 |
| Responding hospitals | 220 | 224 | 205 | 207 |
| Response rate | 39.6 | 39.9 | 37.7 | 38.2 |
| Drug-related ED visits | 2,537,722 | 3,009,025 | 3,441,855 | 3,998,228 |
| Drugs reports | 4,047,135 | 4,624,455 | 5,384,817 | 6,247,718 |
**Notes:**
Response rate responding/issamped hospitals
Design weighted iss 24-26%
Weighted response is 24-26%
## DAWN Data Collection: Retrospective Review of Medical Records
- Source: DAWN, 2007 data, 11/11/2008
**National estimates**
**Charts reviewed 10,038,897**
**Cases found 375,031**
**Drug-related**
**ED visits **
**reviewed**
**ED visits **
**not reviewed**
## Analysis Domains
## Definition: Nonmedical Use of Pharmaceuticals
- Based on retrospective chart review
- Exceeded prescribed or recommended dose
- Used drugs prescribed for another
- Malicious poisoning
- Substance abuse
- Excludes drug-related suicide attempts
- Includes suicide ideation, plan, gesture
## Drug-Related ED Visit Rates, 2004-2007
- Source: National estimates from DAWN, 2004-2007
- No significant change
- 2006 vs. 2007
**Notes:**
The bars are in groups of 4 which represent sequentially the years 2004-2007
- Oxycodone
- Controlled and Immediate Release
## Nonmedical Use of Pharmaceuticals, Selected Opiates/Opioids, 2007
- Source: National estimates from DAWN, 2007
- * Single- & multi-ingredient formulations
**Notes:**
Starting with illicit drugs:
Here the confidence intervals help you see when differences are not statistically significant.
If the confidence intervals overlap, the estimates may not be different, such as cocaine & marijuana.
CIs also help you visualize the impact of sampling error. Some estimates are not very precise.
Cocaine: 67,429 – 184,413
Heroin: 31,369 – 63,839
Marijuana: 39,067 – 120,259
Stimulants: 20,860 – 64,216
Amphetamines – about 3⁄4 from toxicology findings
Methamphetamine
When drug screen tests only for amphetamines as a class, amphetamine positive could mean amphetamine or methamphetamine.
## Nonmedical Use of Pharmaceuticals, Selected Opiates/Opioids, 2007
- Source: National estimates from DAWN, 2007
- * Single- & multi-ingredient formulations
**Notes:**
Starting with illicit drugs:
Here the confidence intervals help you see when differences are not statistically significant.
If the confidence intervals overlap, the estimates may not be different, such as cocaine & marijuana.
CIs also help you visualize the impact of sampling error. Some estimates are not very precise.
Cocaine: 67,429 – 184,413
Heroin: 31,369 – 63,839
Marijuana: 39,067 – 120,259
Stimulants: 20,860 – 64,216
Amphetamines – about 3⁄4 from toxicology findings
Methamphetamine
When drug screen tests only for amphetamines as a class, amphetamine positive could mean amphetamine or methamphetamine.
## Classification of Oxycodone Reports
- Controlled release (CR)
- OxyContin (99%)
- Alternate terms:
- Generic OxyContin
- Teva OxyContin
- Impax OxyContin
- Oxycodone CR
- Oxycodone ER
- Oxycodone SR
- Immediate release (IR)
- acetaminophen-oxy
- e.g., Percocet (92%)
- aspirin-oxy
- e.g., Percodan
- ibuprofen-oxy
- e.g., Combunox
- oxycodone
- e.g., Roxicodone
## Classification of Oxycodone Reports (cont'd)
- Unknown release type (UK)
- Oxycodone (95%)
- alternate terms:
- Free oxycodone
- M-Oxy
- Oxycodone hydrochloride
- Oxycodone metabolites
## Nonmedical Use of Pharmaceuticals, Oxycodone, by Release Type, 2004-2007
- Source: National estimates from DAWN, 2004-2007
**Controlled**
**Immediate**
**Unknown**
**Notes:**
Starting with illicit drugs:
Here the confidence intervals help you see when differences are not statistically significant.
If the confidence intervals overlap, the estimates may not be different, such as cocaine & marijuana.
CIs also help you visualize the impact of sampling error. Some estimates are not very precise.
Cocaine: 67,429 – 184,413
Heroin: 31,369 – 63,839
Marijuana: 39,067 – 120,259
Stimulants: 20,860 – 64,216
Amphetamines – about 3⁄4 from toxicology findings
Methamphetamine
When drug screen tests only for amphetamines as a class, amphetamine positive could mean amphetamine or methamphetamine.
## Oxycodone, CR vs. IR – All Visits
- Source: DAWN estimates for the U.S., 2004-2007
- 2006 vs. 2007
- No significant change
**2004**
**2005**
**2006**
**2007**
## Oxycodone, CR vs. IR – Medical Use
- Source: DAWN estimates for the U.S., 2004-2007
- 2006 vs. 2007
- No Significant change
**2004**
**2005**
**2006**
**2007**
## Oxycodone, CR vs. IR – Nonmedical Use
- Source: DAWN estimates for the U.S., 2004-2007
- No significant change
- 2006 vs. 2007
**2004**
**2005**
**2006**
**2007**
## Oxycodone, CR vs. IR
- Source: DAWN estimates for the U.S., 2004-2007
**% of visits**
**Nonmedical use**
**Medical use**
## Nonmedical Use: Hydrocodone and Oxycodone by Release Type, 2004-2007
- Source: DAWN estimates for the U.S., 2004-2006
## Nonmedical Use: All Opiates/Opioids, ED Visit Rates, 2007
**ED visits per 100K population**
- Age
- Source: DAWN estimates for the U.S., 2007
## Nonmedical Use: All Hydrocodone, ED Visit Rates, 2007
**ED visits per 100K population**
- Age
- Source: DAWN estimates for the U.S., 2007
## Nonmedical Use: All Oxycodone, ED Visit Rates, 2007
**ED visits per 100K population**
- Age
- Source: DAWN estimates for the U.S., 2007
## Nonmedical Use: Oxycodone CR, ED Visit Rates, 2007
**ED visits per 100K population**
- Age
- Source: DAWN estimates for the U.S., 2007
## Nonmedical Use: Oxycodone IR, ED Visit Rates, 2007
**ED visits per 100K population**
- Age
- Source: DAWN estimates for the U.S., 2007
## Nonmedical Use: Oxycodone UK, ED Visit Rates, 2007
**ED visits per 100K population**
- Age
- Source: DAWN estimates for the U.S., 2007
## Nonmedical Use: Disposition from ED, Oxycodone by Release Type, 2007
- Nonmedical Use: Disposition from ED,Oxycodone by Release Type, 2007
- Source: DAWN estimates for the U.S., 2007
**% of ED visits**
**Controlled**
**Unknown**
**Immediate**
**Some **
**follow-up**
**No evidence**
**of follow-up**
**care**
## Nonmedical Use: Number of Drugs, Oxycodone by Release Type, 2007
- Nonmedical Use: Number of Drugs,Oxycodone by Release Type, 2007
- Source: DAWN estimates for the U.S., 2007
**% of ED visits**
**Controlled**
**Unknown**
**Immediate**
**Multiple**
**drugs**
## Nonmedical Use ED Visits: Conclusions
- Opioid analgesics nearing 287,000 visits
- 1⁄4 Oxycodone 1⁄4 Hydrocodone
- in immediate and unknown release types
- Highest visit rates in patients aged 21-54
- Majority of patients treated and released
- Polydrug use was higher for immediate versus controlled release
- Morphine
- Controlled and Immediate Release
## Nonmedical Use of Pharmaceuticals, Selected Opiates/Opioids, 2007
- Source: National estimates from DAWN, 2007
- * Single- & multi-ingredient formulations
**Notes:**
Starting with illicit drugs:
Here the confidence intervals help you see when differences are not statistically significant.
If the confidence intervals overlap, the estimates may not be different, such as cocaine & marijuana.
CIs also help you visualize the impact of sampling error. Some estimates are not very precise.
Cocaine: 67,429 – 184,413
Heroin: 31,369 – 63,839
Marijuana: 39,067 – 120,259
Stimulants: 20,860 – 64,216
Amphetamines – about 3⁄4 from toxicology findings
Methamphetamine
When drug screen tests only for amphetamines as a class, amphetamine positive could mean amphetamine or methamphetamine.
## Classification of Morphine Reports
- Controlled release (CR)
- MS Contin (71%)
- Alternate terms:
- Avinza
- Kadian
- Morphine Sulfate SR
- Oramorph SR
- Morphine Extended Release
- Morphine Patches
- Immediate release (IR)
- Morphine Sulfate
- Morphine Pill
- Morphine IR
- Morphine Rapi-Ject
- Roxanol
- Morphelan
## Nonmedical Use of Pharmaceuticals, Morphine, by Release Type, 2004-2007
- Source: National estimates from DAWN, 2004-2007
**Controlled**
**Immediate**
**Notes:**
Starting with illicit drugs:
Here the confidence intervals help you see when differences are not statistically significant.
If the confidence intervals overlap, the estimates may not be different, such as cocaine & marijuana.
CIs also help you visualize the impact of sampling error. Some estimates are not very precise.
Cocaine: 67,429 – 184,413
Heroin: 31,369 – 63,839
Marijuana: 39,067 – 120,259
Stimulants: 20,860 – 64,216
Amphetamines – about 3⁄4 from toxicology findings
Methamphetamine
When drug screen tests only for amphetamines as a class, amphetamine positive could mean amphetamine or methamphetamine.
## Morphine, CR vs. IR – All Visits
- Source: DAWN estimates for the U.S., 2004-2007
- 2006 vs. 2007
- No significant change
**2004**
**2005**
**2006**
**2007**
## Morphine, CR vs. IR – Medical Use
- Source: DAWN estimates for the U.S., 2004-2007
- 2006 vs. 2007
- No Significant change
## Morphine, CR vs. IR – Nonmedical Use
- Source: DAWN estimates for the U.S., 2004-2007
- No significant change
- 2006 vs. 2007
## Morphine, CR vs. IR
- Source: DAWN estimates for the U.S., 2004-2007
**% of visits**
**Nonmedical use**
**Medical use**
## Nonmedical Use: Hydrocodone and Morphine by Release Type, 2004-2007
- Source: DAWN estimates for the U.S., 2004-2006
## Nonmedical Use: All Morphine, ED Visit Rates, 2007
**ED visits per 100K population**
- Age
- Source: DAWN estimates for the U.S., 2007
## Nonmedical Use: Morphine CR, ED Visit Rates, 2007
**ED visits per 100K population**
- Age
- Source: DAWN estimates for the U.S., 2007
## Nonmedical Use: Morphine IR, ED Visit Rates, 2007
**ED visits per 100K population**
- Age
- Source: DAWN estimates for the U.S., 2007
## Nonmedical Use: Disposition from ED, Morphine by Release Type, 2007
- Nonmedical Use: Disposition from ED,Morphine by Release Type, 2007
- Source: DAWN estimates for the U.S., 2007
**% of ED visits**
**Controlled**
**Unknown**
**Immediate**
**Some **
**follow-up**
**No evidence**
**of follow-up**
**care**
## Nonmedical Use: Number of Drugs, Morphine by Release Type, 2007
- Nonmedical Use: Number of Drugs,Morphine by Release Type, 2007
- Source: DAWN estimates for the U.S., 2007
**% of ED visits**
**Controlled**
**Unknown**
**Immediate**
**Multiple**
**drugs**
## Nonmedical Use ED Visits: Conclusions
- Morphine related ED visits nearing 30,000
- Immediate release
- Controlled release is similar 2004-2007
- Highest visit rates in patients aged 21-54
- Majority of patients treated and released
- Polydrug use is typical
## Important Considerations: DAWN Depends on ED Medical Records
- Link between ED visit and use of drug
- Dose levels and source of drug unavailable
- Nonspecific drug reports
- Opiates/opioids, unspecified (unnamed)
- Unknown release-type
- Unique names for immediate versus extended release enable better surveillance
## Acknowledgements
- Rong Cai, Statistician
|
en
|
converted_docs
|
935533
|
<table style="width:100%;">
<colgroup>
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 38%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 1%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 13%" />
<col style="width: 2%" />
<col style="width: 17%" />
<col style="width: 2%" />
<col style="width: 0%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="13">OMB No. 3095-0038 Expires XX/XX/XXXX</td>
</tr>
<tr class="even">
<td colspan="3"><h2 id="court-order-requirements">COURT ORDER
REQUIREMENTS</h2></td>
<td colspan="10">OBTAINING FEDERAL PERSONNEL AND MEDICAL RECORDS
(MILITARY OR CIVILIAN) PURSUANT TO COURT ORDER OR SUBPOENA</td>
</tr>
<tr class="odd">
<td colspan="5">NAME OF SUBJECT OF RECORD</td>
<td colspan="4">SSAN/SN</td>
<td colspan="4">DATE OF INQUIRY</td>
</tr>
<tr class="even">
<td colspan="5"> </td>
<td colspan="4"> </td>
<td colspan="4"> </td>
</tr>
<tr class="odd">
<td></td>
<td colspan="12">Your subpoena is being returned without action because
it does not meet all the requirements outlined below.</td>
</tr>
<tr class="even">
<td colspan="13"><p>Access to military or civilian personnel and medical
records on file at the National Personnel Records Center, St. Louis,
Missouri, may be gained pursuant "to the order of a court of competent
jurisdiction." Valid court orders should be addressed to this Center.
Subpoenas qualify as orders of a court of competent jurisdiction only if
they have been signed by a judge. To be valid, court orders must also be
signed by a judge. Authority for these requirements is 5 U.S.C.
552a(b)(11), as interpreted by <u>Doe</u> vs. <u>DiGenova</u>, 779 F. 2d
74 (D.C. Cir. 1985), and <u>Stiles</u> vs. <u>Atlanta Gas and Light
Company</u>, 453 F. Supp. 798 (N.D. Ga. 1978).</p>
<p>Please furnish the address of the clerk of the court so that
photocopies may be furnished in the form of a certificate under seal to
the clerk of the court issuing the order. Or, the photocopies may be
sent to a recipient other than the clerk of the court as long as the
order of the court names another recipient and gives the appropriate
address. Under applicable Federal law, photocopies so certified shall be
admitted into evidence as original records 44 U.S.C. Sec. 2116(b). It is
also helpful to furnish the names and addresses of attorneys
involved.</p>
<p>The court order must describe the records and information desired in
sufficient detail to identify them with accuracy. A minimum of detail
would include as many of the following as possible: the complete name,
service number, social security number, date of birth, branch of service
or Federal agency by which employed, and dates of military service
(active, reserve, or retired) or of Federal employment. If clinical
treatment records are needed, include also the dates, places, and
type(s) of treatment given.</p>
<p>The court order should be addressed and sent by mail to either of the
following addresses, as appropriate:</p></td>
</tr>
<tr class="odd">
<td colspan="4"><blockquote>
<p>Director</p>
<p>National Personnel Records Center, NARA</p>
<p>(Military Personnel Records)</p>
<p>9700 Page Avenue</p>
<p>St. Louis, MO 63132-5100</p>
</blockquote></td>
<td colspan="9"><blockquote>
<p>Director</p>
<p>National Personnel Records Center, NARA</p>
<p>(Civilian Personnel Records)</p>
<p>111 Winnebago Street</p>
<p>St. Louis, MO 63118-4199</p>
</blockquote></td>
</tr>
<tr class="even">
<td></td>
<td colspan="12">As an alternative to obtaining a court order, you may
obtain certified copies of military or civilian personnel and medical
records by providing the signed and dated release authorization of the
subject of the record. The release authorization must be dated within
the last year and must state specifically that the documents may be
released to you.</td>
</tr>
<tr class="odd">
<td></td>
<td colspan="12"> </td>
</tr>
<tr class="even">
<td colspan="13"></td>
</tr>
<tr class="odd">
<td colspan="13"><h1
id="paperwork-reduction-act-public-burden-statement">PAPERWORK REDUCTION
ACT PUBLIC BURDEN STATEMENT</h1>
<h1
id="you-are-not-required-to-provide-the-information-requested-on-a-form-that-is-subject-to-the-paperwork-reduction-act-unless-the-form-displays-a-valid-omb-control-number.-the-information-requested-on-this-form-is-being-collected-and-used-by-the-national-personnel-records-center-to-ensure-that-the-requirement-is-met-to-obtain-either-a-court-order-or-a-release-from-the-veteran-before-access-to-military-and-civilian-personnel-and-medical-records-is-granted.-public-burden-reporting-for-this-collection-of-information-is-estimated-to-be-fifteen-minutes-per-response-including-time-for-reviewing-instructions-and-completing-and-reviewing-the-collection-of-information.-send-comments-regarding-the-burden-estimate-or-any-other-aspect-of-the-collection-of-information-including-suggestions-for-reducing-this-burden-to-national-archives-and-records-administration-nhp-8601-adelphi-road-college-park-md-20740-6001.-do-not-send-completed-forms-to-this-address.-send-completed-forms-to-the-address-shown-below.">You
are not required to provide the information requested on a form that is
subject to the Paperwork Reduction Act unless the form displays a valid
OMB control number. The information requested on this form is being
collected and used by the National Personnel Records Center to ensure
that the requirement is met to obtain either a court order or a release
from the veteran before access to military and civilian personnel and
medical records is granted. Public burden reporting for this collection
of information is estimated to be fifteen minutes per response,
including time for reviewing instructions and completing and reviewing
the collection of information. Send comments regarding the burden
estimate or any other aspect of the collection of information, including
suggestions for reducing this burden, to National Archives and Records
Administration (NHP), 8601 Adelphi Road, College Park, MD 20740-6001. DO
NOT SEND COMPLETED FORMS TO THIS ADDRESS. SEND COMPLETED FORMS TO THE
ADDRESS SHOWN BELOW. </h1></td>
</tr>
<tr class="even">
<td colspan="13"></td>
</tr>
<tr class="odd">
<td colspan="7"></td>
<td rowspan="2"></td>
<td colspan="3" rowspan="2"> </td>
<td colspan="2" rowspan="2"></td>
</tr>
<tr class="even">
<td colspan="2" rowspan="7"></td>
<td colspan="4" rowspan="7"> </td>
<td rowspan="7"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="3"><p>Date</p>
<p> </p></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="5">Prepared by </td>
<td></td>
</tr>
<tr class="odd">
<td colspan="5"> Operations Branch Reference Service Branch</td>
<td></td>
</tr>
<tr class="even">
<td colspan="5">NATIONAL PERSONNEL RECORDS CENTER</td>
<td></td>
</tr>
<tr class="odd">
<td colspan="3" rowspan="3"><p> Military Personnel Records</p>
<p>9700 Page Avenue</p>
<p>St. Louis, MO 63132-5100</p></td>
<td colspan="2" rowspan="3"><p> Civilian Personnel Records</p>
<p>111 Winnebago Street</p>
<p>St. Louis, MO 63118-4199</p></td>
<td></td>
</tr>
<tr class="even">
<td></td>
</tr>
<tr class="odd">
<td colspan="2"></td>
<td colspan="4"></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION NA FORM 13027 (REV. XX-05)
|
en
|
markdown
|
161248
|
# Presentation: 161248
## Rocky Mountain spotted fever: From dog ticks to doxycycline
***David L. Swerdlow, MD***
***Rickettsial Zoonoses Branch ***
***Division of Viral and Rickettsial Diseases ***
***National Center for Zoonotic, Vectorborne and Enteric Diseases***
## Tick-borne infectious diseases in the United States
- Lyme disease
- Ehrlichioses
- Rocky Mountain spotted fever
- Babesioses
- Colorado tick fever
- Tularemia
- Tick-borne relapsing fever
## RMSF: background
- The most severe rickettsial illness of humans, caused by *Rickettsia rickettsii*
- First specific notation of the disease in 1896
- Endemic to the Americas
- Until recently, 300-800 U.S. cases/year
## Rocky Mountain spotted fever: why is it important?
- Widely distributed with significant morbidity and mortality
- Difficult to diagnose
- Rapid diagnosis and treatment prevents deaths
## General properties
**Small, coccobacillary bacteria**
**Slow growing**
**Intracellular**
## Gimenez staining for R. rickettsii
## BACKGROUND: The Primary Tick Vectors of RMSF
**Notes:**
The primary vectors for RMSF in the US are Dermacentor variabilis the American dog tick, widely distributed east of the Rocky Mountains and Dermacentor andersoni, the Rocky mountain wood tick which is found in the Rocky Mountain states.
## RMSF Incidence by County, 1997-2002
**Notes:**
RMSF is endemic in the US. About 700-1000 cases are reported from the US each year, occurring mostly in the southeast and southcentral US
## RMSF: epidemiology and patient demographics
- Over 90% of cases occur during April-September
- Peridomestic acquisition may account for majority of cases
- Age-specific incidence highest in children, disease more frequent in males
- Case clusters occur in hyperendemic foci
## RMSF: clinical manifestations
- Early: high fever, severe headache, myalgia, and gastrointestinal symptoms
- Late: rash, photophobia, confusion, ataxia, seizures, cough, dyspnea, arrhythmias, jaundice, severe abdominal pain
- Thrombocytopenia, hyponatremia
- Long term sequelae: CNS deficits, amputations
## RMSF: the rash
- Generally not apparent until 2-5 days after onset
- of fever
- Begins as 1 to 5 mm macules, typically on ankles, wrists, and forearms, spreads centripetally to trunk
- Petechial rash occurs on or after day 6
- Rash may be asymmetric, localized, or absent
## Slide 12
## Slide 13
## Severe sequelae
## RMSF: frequent initial diagnoses
- 1. Viral illness
- 2. Fever of undetermined etiology
- 3. Bacterial sepsis
- 4. Upper or lower respiratory tract infections,
- acute appendicitis, cholecystitis * *
## Differential Diagnosis of Rocky Mountain Spotted Fever
| Disease | Season | History/ Onset | Rash | Other Features |
| --- | --- | --- | --- | --- |
| Rocky Mountain Spotted fever | Late spring/
summer | Exposure to ticks, travel to endemic areas; starts with fever and develops rash after 2 to 3 days | Starts peripherally and spreads centrally; most marked on extremities, usually involves the palms and soles. | Often associated with thrombocytopenia and hyponatremia |
| Meningococcal infections | Late winter/ early spring | Often epidemics: fever and rash usually appear within 24 hours | Two patterns: macular and petechial lesions, few in number and generalized in distribution. | Gram-negative dipllococci in petechiae, buffy coat or in the CSF |
| Enteroviral Infections | Summer-fall | Febrile, illness in family or community, fever and rash often appear together | Starts on face or trunk, may involve palms and soles. | May be associated with aseptic meningitis |
| Measles | Winter-spring | Exposure to measles or killed measles vaccine, severe prodrome | Starts on head and spreads to trunk and extremities | Koplik spots during prodrome |
**Differential Diagnosis of Rocky Mountain Spotted Fever**
## Confirmation of R. rickettsii
**Notes:**
We identified cases through active surveillance at regional hospitals.
Environmental assessments were then conducte. Engorged ticks were collected from patient dogs, and flat ticks were collected from patient homes.
Our goal was to test large numbers of flat,
non-engorged ticks, to demonstrate the presence of R. rickettsii in the ticks
without the possibility of the rickettsia having been acquired from a recent blood meal
Patient specimens were collected for diagnostic confirmation of R. rickettsii at cdc.
Indirect Immunofluorescence assay , Immunohistochemical staining,
PCR, and Culture isolation were applie.
## Serologic diagnosis of RMSF
**85% of patients lack diagnostic titers in the first week of illness**
**As many as 50% of patients lack a diagnostic titer 7-9 days after onset of illness**
**Need to test acute and convalescent samples (2-4 weeks apart)**
**Indirect immunofluorescence assay (IFA)- four fold rise in titers confirmatory**
**ELISA not quantitative so can’t quantify increases between acute and convalescent samples**
## Deaths attributable to RMSF
- Case-fatality ratio as high as 20%-30% in untreated patients
- CFR highest in older adults and males
- Disease kills otherwise healthy adults and children
- Clinical progression may be rapid (median time to death 8 days)
## RMSF deaths in the United States,
** ****1940-1997**
- 1940
- 1950
- 1960
- 1970
- 1980
- 1990
- 10
- 50
- 100
- 140
## RMSF treatment
- Tetracyclines the drugs of choice: clinical response within 24-72 h
- Chloramphenicol an alternative therapy for some patients with RMSF
- Other broad-spectrum antimicrobials characteristically ineffective
## Antimicrobial therapy of RMSF
- Pregnant adult or
- tetracycline allergic
- Non-pregnant adult
- or child _>_45 kg
- Child <45 kg
- Chloramphenicol
- 500 mg qid i.v.
- Doxycycline
- 100 mg bid
- p.o. or i.v.
- Doxycycline
- 4.4 mg/kg/day
- in 2 divided
- doses p.o. or i.v.
- Therapy should be continued at least 72 h after defervescence
- AND until evidence of clinical improvement
## RMSF prevention
- Disease awareness and recognition
- Use of protective clothing and repellents
- Avoid tick areas
- Antimicrobial prophylaxis following tick bite not recommended
- Careful inspection for ticks and prompt removal (“grace period”)
## Prevention and Control
**Prevention and Control**
- **Wear light-colored clothing**
** ****Tuck your pants legs into **
** ****your socks**
** ****Use masking tape on your**
** ****upper leg-sticky side up**
** ****Apply repellant to**
** ****discourage tick attachment**
## Prevention and Control (cont.)
**Tick check and removal**
**Transmission unlikely to occur in less than 6 hours**
**Use fine-tipped tweezers**
## Surveillance and reporting
- RMSF is a nationally reportable disease
- Cases should be reported to state Health Department
- Reports then submitted to CDC
## RMSF Cases and Incidence
## Top Reporting States: Cases
## Human Ehrlichiosis Cases
## Spread of Ehrlichiosis Cases, WI
- 2002
- 2005
## Spread of Ehrlichiosis Cases, MN
- 2002
- 2005
## Lyme Disease
## Explanations for Increases
## Summary
- RMSF is a potentially life-threatening disease, endemic throughout much of the United States
- Broad differential diagnoses, early disease difficult to diagnose even for experienced physicians
- Confirmatory assays:
- Serology
- Polymerase chain reaction
- Immunopathology
- Isolation
- Consider RMSF as a cause of unexplained fever in spring and summer
- Doxycycline the drug of choice, regardless of age
## RMSF in eastern Arizona
**Since 2002, 24 cases RMSF mostly children with 2 deaths in a small community**
**Incidence rate 300 times higher than expected **
**Notes:**
additional cases of RMSF were reported Beginning in May of 2004, from the same community as the previous cases.
We then initiated an EpiAid with the following objectives:
To Determine magnitude of the outbreak and to collect ticks from the environment and assess for the presence of R. rickettsii. We also wanted to link our epidemiologic findings with laboratory evidence for transmission of r. rickettsii by rhipicephalus sanguineus ticks.
Because of previous observations in 2003, the big question to us was, Is Rh. sanguineus the vector of R. rickettsii in this outbreak?
## Summary of investigation Rh. sanguineus vector of RMSF
***Dermacentor *****ticks not found**
**High density of *****Rh. sanguineus *****ticks surrounding patient homes and on dogs**
***Rh. sanguineus *****ticks found attached to patient**
**Confirmed the presence of *****R. rickettsii***** in ticks by PCR, sequencing/RFLP, culture**
***First reported evidence of RMSF associated with Rhipicephalus sanguineus in the United States***
**Notes:**
In conclusion, Our investigation showed that Rh. sanguineus appears to be the vector causing the RMSF outbreak
We found a High prevalence of Rh. ticks surrounding case homes and on dogs, we found Rh. sanguineus ticks found attached to case-patients, and we found no Dermacentor Ticks despite an extensive search
Our Laboratory evidence was crucial to link the high densities of Rh. sanguineus in peridomestic settings with Rickettsia rickettsii
This ourbreak was the first reported evidence of RMSF associated with Rh. sanguineus in the United States
## Rhipicephalus sanguineus
***Rhipicephalus sanguineus***
**(Brown dog tick)**
**Notes:**
These pictures showa known vector of R. rickettsii, Dermacentor variabilis on the left, compared to the tick we found in large numbers, rhipicephalus sanguineus on the right, a previously unrecognized vector of RMSF in the US.
## Environmental Assessment
**Typical peridomestic environment surrounding case-patient homes, found to be heavily populated by *****Rh. sanguineus***** ticks**
**Environmental Assessment**
**Notes:**
Ticks were collected from the peridomestic environment surrounding case homes. These pictures demonstrate the microhabitats found to be heavily populated by Rh sanguineus ticks: discarded furniture, dogs, and surrounding vegetation.
## Community and physician education
Treatment of homes
Treatment of dogs
Animal control
**Treatment of homes**
**Treatment of dogs **
**Animal control**
**Collaborative Intervention**
**Notes:**
Recognizing the need for an immediate intervention, we Created an RMSF Task Force consisting of the Indian Health Service, Tribal members/programs, Arizona Dept Health Services, and CDC
Our ongoing interventions include community and physician education, treatment of homes with pesticides, treatment of dogs with tick preventives, and environmental clean-up of tick habitats
## Get Rid of Ticks on Dogs
## Keep Ticks Off Children
## Slide 42
**Notes:**
Our investigation resulted in many targeted educational programs to
Encourage early recognition of RMSF and exclustion of brown dog ticks
from the environment. These ongoing efforts have been very well received
## Acknowledgments
- Christopher Paddock, MD
- John Openshaw
- Jennifer McQuiston, DVM
|
en
|
converted_docs
|
809981
|
Important Electronic Resources
- AGRICOLA:
[http://agricola.nal.usda.gov](http://agricola.nal.usda.gov/)
- AgSpace [http://agspace.nal.usda.gov](http://agspace.nal.usda.gov/)
- ARS Stakeholders Meeting -
<http://www.ars.usda.gov/meetings/Energy07/index.htm>
- ARS Technology Transfer Office --
<http://www.ars.usda.gov/Business/Business.htm>
- CSREES - <http://www.csrees.usda.gov/fo/fundview.cfm?fonum=1073>
- DDR (born digital documents)
[http://ddr.nal.usda.gov](http://ddr.nal.usda.gov/)
- ERS Briefing Room - <http://www.ers.usda.gov/Briefing/Bioenergy/>
- FS Partnership Guide -
http://www.partnershipresourcecenter.org/resources/partnership-guide/
- FS Woody Biomass -
<http://www.fs.fed.us/woodybiomass/index.shtml/news/index.shtml>
- Fuels for Schools (FS) - <http://www.fuelsforschools.org/>
- Grant Information - www.grants.gov
- NALDR (converted print to digital documents):
[http://naldr.nal.usda.gov](http://naldr.nal.usda.gov/)
- NAL\'s document delivery service see
<http://www.nal.usda.gov/services/request.shtml> or e-mail at
<[email protected]>.
- National Agricultural Library --
[www.nal.usda.gov](http://www.nal.usda.gov/)
- National Agricultural Library Biofuels Portal -
http://ttic.nal.usda.gov/biofuels/
- Sun Grant - <http://www.sungrant.org/index.cfm>
- The Human and Social Dimensions of a Bioeconomy: Implications for
Rural People and Places (CSREES) -
<http://www.csrees.usda.gov/about/white_papers/pdfs/bioeconomy_discussion_paper.pdf>
- USDA -- http://www.usda.gov
- USDA Energy Matrix -
<http://www.usda.gov/rus/index2/0208/EnergyPrograms.htm>
- A REVIEW OF THE CURRENT STATE OF BIOENERGY DEVELOPMENT IN G8 +5
COUNTRIES
- <http://www.globalbioenergy.org/fileadmin/user_upload/gbep/docs/2007_events/wecrome2007/MASTER_GBEP_Report_final_16.11.2007_01.pdf>
Acronyms
USDA -- United States Department of Agriculture
ARS -- Agricultural Research Service
CSREES -- Cooperative State Research Education and Extension Service
ERS -- Economic Research Service
FS -- Forest Service
NASS -- National Agricultural Statistics Service
|
en
|
converted_docs
|
273290
|
Statement of Rick Roth
before the
Committee on Agriculture of the U.S. House of Representatives
on the Labor Needs of American Agriculture
October 4, 2007
Good morning. My name is Rick Roth. I am a third generation farmer from
Belle Glade, Florida. I have been the president and principal owner of
Roth Farms, Inc. since 1986. I have the most diversified farming
operation in the Everglades Agricultural Area, 800 square miles of rich
organic soils south of Lake Okeechobee. This region of south Florida is
first in the production of sugar, sweet corn, and radishes in the United
States. Our family owns over 4,000 acres, and leases another 1000 acres.
We grow lettuce and leafy vegetables, radishes, sugar cane, sod, sweet
corn, green beans, field grown palm trees, and rice. We employ 55 people
full-time, plus 220 seasonally.
I currently serve on the Board of Directors of the Florida Farm Bureau
(10 years), the Florida Fruit and Vegetable Association (21 years), and
Sugar Cane Growers Cooperative of Florida (13 years). I am the Vice
President of Florida Farm Bureau, and this is my 7^th^ year of service.
I appreciate the opportunity to explain why we must pass immigration
reform legislation immediately and ask that you share the information
that you learn at this hearing with your colleagues on both sides of the
aisle\... We live in perilous times. We are at war against terrorism. We
must prevent unwanted illegal migration into our country. But, just as
important, we must simultaneously give employers like me the ability to
use legal foreign workers. Why? Because domestic food production is the
other national security issue.
Fruits and vegetables and other labor-intensive crops make up 50% of our
agricultural production today. Foreign born workers will plant,
cultivate, and harvest the crops that make up most of our food supply.
Will they do it here, using our food safety guidelines, or in another
country? Do we want to import labor to fill unwanted farm labor jobs, or
do we import more of our food supply. We already import over 50%.
I live in Florida. When you say Florida, most visitors think Mickey. If
you want to see real world marvels, come to Belle Glade. You will see
high tech agriculture that produces crops year-round, using fewer
nutrients, water, and chemicals per unit of production than anywhere in
the United States. I will personally give you the tour, and my opening
statement will be "welcome to PARADISE".
One of our keys to success in the EAA is our ability to maximize
production with fewer chemicals through crop rotation. Without an
adequate legal labor force, we jeopardize our vegetable industry, which
produces approximately 25,000 acres of sweet corn, 10,000 acres of green
beans, 7,000 acres of lettuce, and 5,000 acres of radishes per year with
an annual value of \$150 million.
Our family farm is one of 50 members who own one of the most successful
cooperatives in this country, Sugar Cane Growers Cooperative of Florida.
For the first 30 years of our 45 year existence, we relied primarily on
H2A workers to harvest sugar cane. All the burdensome regulations of the
H-2A program, including farm-worker housing, and higher labor costs make
this program a matter of last resort. The most onerous part of H2A is
farm-worker housing. Due to capital costs, county zoning and permitting,
and negative public opinion, it will take many years for employers to
move to H2A for their labor needs. To use this program, we must have
meaningful reform. But H2A alone is clearly not enough. We must provide
a means for the current experienced agricultural workforce to earn legal
status subject to conditions including a future agricultural work
requirement.
[Such a proposal is essential to solve both the short and long-term
agricultural labor crisis. We need the earned status provisions as a
bridge to greatly expanded use of the H2A program. It will provide the
much needed time to build the housing required of users of the H2A
program and will allow our government to expand its consular offices in
foreign countries so that they can process foreign workers for admission
in a timely manner. Currently, with less than 2% of the agricultural
workforce entering under the H2A program, growers are experiencing
harmful delays in getting their workers in a timely manner to harvest
highly perishable crops.]{.underline}
When we talk about jobs in Florida, we talk about the three-legged
stool: Tourism, agriculture, and construction. Our economy in Florida is
in a recession due to the dramatic increase in housing prices[. New home
sales are at a standstill, and the forecast for over a year is it will
take two years to work our way out of the over-supply. I feel the
impact. Our wholesale sod sales are down 50% from a year
ago]{.underline}. I can not imagine the degree of devastation that will
occur in Florida, but I can assure you we can send the US economy into a
depression if you deny employers access to a legal work force.
Agriculture is not the largest user of seasonal labor; we are just the
most visible.
As I complete my statement I would like to change the focus of my
remarks towards you. In the past, legislation with H-2A reform and
earned adjustment of status provisions has enjoyed broad bipartisan
support. Today, this issue is very emotional and controversial. Thank
God that our founding fathers did not create a true democracy, but
instead a representative form of government. It is your duty to ignore
all the hype and emotion, sift through all the opposing ideas and
options, and come up with a solution that will move this country
forward.
[I play doubles tennis. The winning strategy there also applies here.
"Down the middle, solve the riddle".]{.underline} Thank you for giving
me this opportunity and I would be happy to answer questions later, if
time permits.
|
en
|
all-txt-docs
|
026397
|
USGS Digital Spectral Library splib05a
Clark et. al. 2003
ASCII Spectral Data file contents:
line 13 title
line 14 history
line 15 to end: 3-columns of data:
wavelength reflectance standard deviation
(standard deviation of 0.000000 means not measured)
(*************** indicates a deleted number)
----------------------------------------------------
Polystyrene GDS345 BluInsul W1R1Fa AREF
copy of sprlf02a r 470
0.350000 0.409770 0.000000
0.351000 0.409770 0.000000
0.352000 0.410412 0.000000
0.353000 0.411164 0.000000
0.354000 0.412135 0.000000
0.355000 0.413396 0.000000
0.356000 0.414856 0.000000
0.357000 0.416383 0.000000
0.358000 0.417880 0.000000
0.359000 0.419380 0.000000
0.360000 0.420950 0.000000
0.361000 0.422641 0.000000
0.362000 0.424444 0.000000
0.363000 0.426335 0.000000
0.364000 0.428293 0.000000
0.365000 0.430318 0.000000
0.366000 0.432414 0.000000
0.367000 0.434591 0.000000
0.368000 0.436891 0.000000
0.369000 0.439364 0.000000
0.370000 0.442050 0.000000
0.371000 0.444956 0.000000
0.372000 0.448080 0.000000
0.373000 0.451425 0.000000
0.374000 0.455001 0.000000
0.375000 0.458824 0.000000
0.376000 0.462909 0.000000
0.377000 0.467277 0.000000
0.378000 0.471951 0.000000
0.379000 0.476945 0.000000
0.380000 0.482233 0.000000
0.381000 0.487780 0.000000
0.382000 0.493550 0.000000
0.383000 0.499511 0.000000
0.384000 0.505633 0.000000
0.385000 0.511884 0.000000
0.386000 0.518237 0.000000
0.387000 0.524662 0.000000
0.388000 0.531134 0.000000
0.389000 0.537626 0.000000
0.390000 0.544116 0.000000
0.391000 0.550578 0.000000
0.392000 0.556994 0.000000
0.393000 0.563343 0.000000
0.394000 0.569605 0.000000
0.395000 0.575762 0.000000
0.396000 0.581797 0.000000
0.397000 0.587691 0.000000
0.398000 0.593431 0.000000
0.399000 0.599002 0.000000
0.400000 0.604394 0.000000
0.401000 0.609615 0.000000
0.402000 0.614678 0.000000
0.403000 0.619593 0.000000
0.404000 0.624363 0.000000
0.405000 0.628988 0.000000
0.406000 0.633465 0.000000
0.407000 0.637771 0.000000
0.408000 0.641876 0.000000
0.409000 0.645756 0.000000
0.410000 0.649393 0.000000
0.411000 0.652774 0.000000
0.412000 0.655889 0.000000
0.413000 0.658753 0.000000
0.414000 0.661387 0.000000
0.415000 0.663818 0.000000
0.416000 0.666113 0.000000
0.417000 0.668347 0.000000
0.418000 0.670589 0.000000
0.419000 0.672882 0.000000
0.420000 0.675263 0.000000
0.421000 0.677756 0.000000
0.422000 0.680341 0.000000
0.423000 0.682985 0.000000
0.424000 0.685651 0.000000
0.425000 0.688286 0.000000
0.426000 0.690833 0.000000
0.427000 0.693247 0.000000
0.428000 0.695535 0.000000
0.429000 0.697716 0.000000
0.430000 0.699817 0.000000
0.431000 0.701895 0.000000
0.432000 0.704015 0.000000
0.433000 0.706231 0.000000
0.434000 0.708566 0.000000
0.435000 0.711031 0.000000
0.436000 0.713630 0.000000
0.437000 0.716325 0.000000
0.438000 0.719071 0.000000
0.439000 0.721818 0.000000
0.440000 0.724513 0.000000
0.441000 0.727104 0.000000
0.442000 0.729543 0.000000
0.443000 0.731815 0.000000
0.444000 0.733910 0.000000
0.445000 0.735823 0.000000
0.446000 0.737561 0.000000
0.447000 0.739135 0.000000
0.448000 0.740557 0.000000
0.449000 0.741842 0.000000
0.450000 0.743008 0.000000
0.451000 0.744070 0.000000
0.452000 0.745043 0.000000
0.453000 0.745943 0.000000
0.454000 0.746783 0.000000
0.455000 0.747566 0.000000
0.456000 0.748293 0.000000
0.457000 0.748968 0.000000
0.458000 0.749595 0.000000
0.459000 0.750177 0.000000
0.460000 0.750719 0.000000
0.461000 0.751230 0.000000
0.462000 0.751719 0.000000
0.463000 0.752191 0.000000
0.464000 0.752643 0.000000
0.465000 0.753066 0.000000
0.466000 0.753455 0.000000
0.467000 0.753808 0.000000
0.468000 0.754122 0.000000
0.469000 0.754397 0.000000
0.470000 0.754631 0.000000
0.471000 0.754824 0.000000
0.472000 0.754977 0.000000
0.473000 0.755092 0.000000
0.474000 0.755174 0.000000
0.475000 0.755227 0.000000
0.476000 0.755248 0.000000
0.477000 0.755236 0.000000
0.478000 0.755187 0.000000
0.479000 0.755102 0.000000
0.480000 0.754982 0.000000
0.481000 0.754828 0.000000
0.482000 0.754644 0.000000
0.483000 0.754432 0.000000
0.484000 0.754197 0.000000
0.485000 0.753937 0.000000
0.486000 0.753654 0.000000
0.487000 0.753347 0.000000
0.488000 0.753014 0.000000
0.489000 0.752653 0.000000
0.490000 0.752262 0.000000
0.491000 0.751840 0.000000
0.492000 0.751386 0.000000
0.493000 0.750898 0.000000
0.494000 0.750380 0.000000
0.495000 0.749835 0.000000
0.496000 0.749266 0.000000
0.497000 0.748674 0.000000
0.498000 0.748059 0.000000
0.499000 0.747419 0.000000
0.500000 0.746751 0.000000
0.501000 0.746048 0.000000
0.502000 0.745306 0.000000
0.503000 0.744520 0.000000
0.504000 0.743683 0.000000
0.505000 0.742793 0.000000
0.506000 0.741846 0.000000
0.507000 0.740840 0.000000
0.508000 0.739774 0.000000
0.509000 0.738647 0.000000
0.510000 0.737457 0.000000
0.511000 0.736203 0.000000
0.512000 0.734881 0.000000
0.513000 0.733487 0.000000
0.514000 0.732019 0.000000
0.515000 0.730475 0.000000
0.516000 0.728856 0.000000
0.517000 0.727163 0.000000
0.518000 0.725396 0.000000
0.519000 0.723555 0.000000
0.520000 0.721640 0.000000
0.521000 0.719654 0.000000
0.522000 0.717602 0.000000
0.523000 0.715487 0.000000
0.524000 0.713316 0.000000
0.525000 0.711096 0.000000
0.526000 0.708831 0.000000
0.527000 0.706523 0.000000
0.528000 0.704173 0.000000
0.529000 0.701778 0.000000
0.530000 0.699338 0.000000
0.531000 0.696851 0.000000
0.532000 0.694314 0.000000
0.533000 0.691733 0.000000
0.534000 0.689112 0.000000
0.535000 0.686453 0.000000
0.536000 0.683754 0.000000
0.537000 0.681010 0.000000
0.538000 0.678216 0.000000
0.539000 0.675367 0.000000
0.540000 0.672458 0.000000
0.541000 0.669484 0.000000
0.542000 0.666443 0.000000
0.543000 0.663332 0.000000
0.544000 0.660146 0.000000
0.545000 0.656880 0.000000
0.546000 0.653527 0.000000
0.547000 0.650082 0.000000
0.548000 0.646547 0.000000
0.549000 0.642926 0.000000
0.550000 0.639223 0.000000
0.551000 0.635442 0.000000
0.552000 0.631588 0.000000
0.553000 0.627664 0.000000
0.554000 0.623683 0.000000
0.555000 0.619658 0.000000
0.556000 0.615602 0.000000
0.557000 0.611534 0.000000
0.558000 0.607474 0.000000
0.559000 0.603440 0.000000
0.560000 0.599448 0.000000
0.561000 0.595512 0.000000
0.562000 0.591644 0.000000
0.563000 0.587852 0.000000
0.564000 0.584144 0.000000
0.565000 0.580527 0.000000
0.566000 0.577009 0.000000
0.567000 0.573595 0.000000
0.568000 0.570294 0.000000
0.569000 0.567109 0.000000
0.570000 0.564042 0.000000
0.571000 0.561097 0.000000
0.572000 0.558271 0.000000
0.573000 0.555563 0.000000
0.574000 0.552971 0.000000
0.575000 0.550495 0.000000
0.576000 0.548137 0.000000
0.577000 0.545898 0.000000
0.578000 0.543775 0.000000
0.579000 0.541765 0.000000
0.580000 0.539866 0.000000
0.581000 0.538068 0.000000
0.582000 0.536360 0.000000
0.583000 0.534732 0.000000
0.584000 0.533172 0.000000
0.585000 0.531666 0.000000
0.586000 0.530200 0.000000
0.587000 0.528762 0.000000
0.588000 0.527339 0.000000
0.589000 0.525918 0.000000
0.590000 0.524493 0.000000
0.591000 0.523054 0.000000
0.592000 0.521595 0.000000
0.593000 0.520117 0.000000
0.594000 0.518620 0.000000
0.595000 0.517107 0.000000
0.596000 0.515584 0.000000
0.597000 0.514059 0.000000
0.598000 0.512540 0.000000
0.599000 0.511030 0.000000
0.600000 0.509534 0.000000
0.601000 0.508056 0.000000
0.602000 0.506603 0.000000
0.603000 0.505180 0.000000
0.604000 0.503794 0.000000
0.605000 0.502454 0.000000
0.606000 0.501171 0.000000
0.607000 0.499954 0.000000
0.608000 0.498811 0.000000
0.609000 0.497748 0.000000
0.610000 0.496770 0.000000
0.611000 0.495881 0.000000
0.612000 0.495080 0.000000
0.613000 0.494369 0.000000
0.614000 0.493739 0.000000
0.615000 0.493185 0.000000
0.616000 0.492697 0.000000
0.617000 0.492271 0.000000
0.618000 0.491899 0.000000
0.619000 0.491576 0.000000
0.620000 0.491294 0.000000
0.621000 0.491045 0.000000
0.622000 0.490821 0.000000
0.623000 0.490619 0.000000
0.624000 0.490435 0.000000
0.625000 0.490268 0.000000
0.626000 0.490114 0.000000
0.627000 0.489968 0.000000
0.628000 0.489827 0.000000
0.629000 0.489691 0.000000
0.630000 0.489556 0.000000
0.631000 0.489423 0.000000
0.632000 0.489296 0.000000
0.633000 0.489182 0.000000
0.634000 0.489086 0.000000
0.635000 0.489018 0.000000
0.636000 0.488988 0.000000
0.637000 0.489006 0.000000
0.638000 0.489084 0.000000
0.639000 0.489232 0.000000
0.640000 0.489462 0.000000
0.641000 0.489774 0.000000
0.642000 0.490170 0.000000
0.643000 0.490650 0.000000
0.644000 0.491210 0.000000
0.645000 0.491846 0.000000
0.646000 0.492552 0.000000
0.647000 0.493324 0.000000
0.648000 0.494159 0.000000
0.649000 0.495053 0.000000
0.650000 0.496006 0.000000
0.651000 0.497018 0.000000
0.652000 0.498090 0.000000
0.653000 0.499216 0.000000
0.654000 0.500395 0.000000
0.655000 0.501619 0.000000
0.656000 0.502878 0.000000
0.657000 0.504161 0.000000
0.658000 0.505453 0.000000
0.659000 0.506731 0.000000
0.660000 0.507971 0.000000
0.661000 0.509149 0.000000
0.662000 0.510247 0.000000
0.663000 0.511247 0.000000
0.664000 0.512134 0.000000
0.665000 0.512904 0.000000
0.666000 0.513550 0.000000
0.667000 0.514071 0.000000
0.668000 0.514466 0.000000
0.669000 0.514733 0.000000
0.670000 0.514876 0.000000
0.671000 0.514904 0.000000
0.672000 0.514832 0.000000
0.673000 0.514674 0.000000
0.674000 0.514446 0.000000
0.675000 0.514165 0.000000
0.676000 0.513846 0.000000
0.677000 0.513498 0.000000
0.678000 0.513130 0.000000
0.679000 0.512748 0.000000
0.680000 0.512356 0.000000
0.681000 0.511959 0.000000
0.682000 0.511559 0.000000
0.683000 0.511154 0.000000
0.684000 0.510743 0.000000
0.685000 0.510318 0.000000
0.686000 0.509861 0.000000
0.687000 0.509346 0.000000
0.688000 0.508753 0.000000
0.689000 0.508065 0.000000
0.690000 0.507269 0.000000
0.691000 0.506356 0.000000
0.692000 0.505329 0.000000
0.693000 0.504201 0.000000
0.694000 0.502979 0.000000
0.695000 0.501671 0.000000
0.696000 0.500283 0.000000
0.697000 0.498824 0.000000
0.698000 0.497308 0.000000
0.699000 0.495749 0.000000
0.700000 0.494164 0.000000
0.701000 0.492573 0.000000
0.702000 0.490996 0.000000
0.703000 0.489455 0.000000
0.704000 0.487971 0.000000
0.705000 0.486567 0.000000
0.706000 0.485265 0.000000
0.707000 0.484088 0.000000
0.708000 0.483062 0.000000
0.709000 0.482206 0.000000
0.710000 0.481536 0.000000
0.711000 0.481060 0.000000
0.712000 0.480789 0.000000
0.713000 0.480725 0.000000
0.714000 0.480866 0.000000
0.715000 0.481214 0.000000
0.716000 0.481766 0.000000
0.717000 0.482520 0.000000
0.718000 0.483472 0.000000
0.719000 0.484614 0.000000
0.720000 0.485936 0.000000
0.721000 0.487430 0.000000
0.722000 0.489096 0.000000
0.723000 0.490935 0.000000
0.724000 0.492947 0.000000
0.725000 0.495127 0.000000
0.726000 0.497470 0.000000
0.727000 0.499971 0.000000
0.728000 0.502635 0.000000
0.729000 0.505469 0.000000
0.730000 0.508478 0.000000
0.731000 0.511668 0.000000
0.732000 0.515044 0.000000
0.733000 0.518614 0.000000
0.734000 0.522380 0.000000
0.735000 0.526348 0.000000
0.736000 0.530526 0.000000
0.737000 0.534927 0.000000
0.738000 0.539568 0.000000
0.739000 0.544464 0.000000
0.740000 0.549631 0.000000
0.741000 0.555085 0.000000
0.742000 0.560841 0.000000
0.743000 0.566911 0.000000
0.744000 0.573307 0.000000
0.745000 0.580037 0.000000
0.746000 0.587096 0.000000
0.747000 0.594473 0.000000
0.748000 0.602158 0.000000
0.749000 0.610124 0.000000
0.750000 0.618346 0.000000
0.751000 0.626791 0.000000
0.752000 0.635414 0.000000
0.753000 0.644162 0.000000
0.754000 0.652981 0.000000
0.755000 0.661810 0.000000
0.756000 0.670582 0.000000
0.757000 0.679236 0.000000
0.758000 0.687726 0.000000
0.759000 0.696012 0.000000
0.760000 0.704053 0.000000
0.761000 0.711816 0.000000
0.762000 0.719266 0.000000
0.763000 0.726375 0.000000
0.764000 0.733131 0.000000
0.765000 0.739526 0.000000
0.766000 0.745553 0.000000
0.767000 0.751215 0.000000
0.768000 0.756514 0.000000
0.769000 0.761458 0.000000
0.770000 0.766061 0.000000
0.771000 0.770341 0.000000
0.772000 0.774317 0.000000
0.773000 0.778007 0.000000
0.774000 0.781430 0.000000
0.775000 0.784603 0.000000
0.776000 0.787538 0.000000
0.777000 0.790248 0.000000
0.778000 0.792745 0.000000
0.779000 0.795045 0.000000
0.780000 0.797169 0.000000
0.781000 0.799133 0.000000
0.782000 0.800951 0.000000
0.783000 0.802635 0.000000
0.784000 0.804198 0.000000
0.785000 0.805648 0.000000
0.786000 0.806994 0.000000
0.787000 0.808244 0.000000
0.788000 0.809406 0.000000
0.789000 0.810486 0.000000
0.790000 0.811493 0.000000
0.791000 0.812429 0.000000
0.792000 0.813298 0.000000
0.793000 0.814105 0.000000
0.794000 0.814851 0.000000
0.795000 0.815540 0.000000
0.796000 0.816176 0.000000
0.797000 0.816767 0.000000
0.798000 0.817320 0.000000
0.799000 0.817843 0.000000
0.800000 0.818339 0.000000
0.801000 0.818809 0.000000
0.802000 0.819254 0.000000
0.803000 0.819677 0.000000
0.804000 0.820079 0.000000
0.805000 0.820463 0.000000
0.806000 0.820828 0.000000
0.807000 0.821177 0.000000
0.808000 0.821511 0.000000
0.809000 0.821835 0.000000
0.810000 0.822154 0.000000
0.811000 0.822473 0.000000
0.812000 0.822788 0.000000
0.813000 0.823095 0.000000
0.814000 0.823388 0.000000
0.815000 0.823670 0.000000
0.816000 0.823941 0.000000
0.817000 0.824206 0.000000
0.818000 0.824468 0.000000
0.819000 0.824732 0.000000
0.820000 0.825000 0.000000
0.821000 0.825266 0.000000
0.822000 0.825522 0.000000
0.823000 0.825761 0.000000
0.824000 0.825987 0.000000
0.825000 0.826204 0.000000
0.826000 0.826417 0.000000
0.827000 0.826630 0.000000
0.828000 0.826847 0.000000
0.829000 0.827069 0.000000
0.830000 0.827291 0.000000
0.831000 0.827507 0.000000
0.832000 0.827712 0.000000
0.833000 0.827906 0.000000
0.834000 0.828090 0.000000
0.835000 0.828267 0.000000
0.836000 0.828436 0.000000
0.837000 0.828600 0.000000
0.838000 0.828759 0.000000
0.839000 0.828912 0.000000
0.840000 0.829060 0.000000
0.841000 0.829201 0.000000
0.842000 0.829340 0.000000
0.843000 0.829484 0.000000
0.844000 0.829634 0.000000
0.845000 0.829786 0.000000
0.846000 0.829931 0.000000
0.847000 0.830062 0.000000
0.848000 0.830180 0.000000
0.849000 0.830285 0.000000
0.850000 0.830380 0.000000
0.851000 0.830462 0.000000
0.852000 0.830527 0.000000
0.853000 0.830573 0.000000
0.854000 0.830601 0.000000
0.855000 0.830612 0.000000
0.856000 0.830605 0.000000
0.857000 0.830575 0.000000
0.858000 0.830517 0.000000
0.859000 0.830424 0.000000
0.860000 0.830293 0.000000
0.861000 0.830120 0.000000
0.862000 0.829902 0.000000
0.863000 0.829637 0.000000
0.864000 0.829321 0.000000
0.865000 0.828952 0.000000
0.866000 0.828527 0.000000
0.867000 0.828042 0.000000
0.868000 0.827500 0.000000
0.869000 0.826910 0.000000
0.870000 0.826288 0.000000
0.871000 0.825652 0.000000
0.872000 0.825041 0.000000
0.873000 0.824498 0.000000
0.874000 0.824070 0.000000
0.875000 0.823799 0.000000
0.876000 0.823733 0.000000
0.877000 0.823906 0.000000
0.878000 0.824308 0.000000
0.879000 0.824920 0.000000
0.880000 0.825712 0.000000
0.881000 0.826625 0.000000
0.882000 0.827589 0.000000
0.883000 0.828544 0.000000
0.884000 0.829455 0.000000
0.885000 0.830296 0.000000
0.886000 0.831043 0.000000
0.887000 0.831696 0.000000
0.888000 0.832258 0.000000
0.889000 0.832734 0.000000
0.890000 0.833133 0.000000
0.891000 0.833465 0.000000
0.892000 0.833738 0.000000
0.893000 0.833961 0.000000
0.894000 0.834140 0.000000
0.895000 0.834283 0.000000
0.896000 0.834397 0.000000
0.897000 0.834488 0.000000
0.898000 0.834563 0.000000
0.899000 0.834623 0.000000
0.900000 0.834665 0.000000
0.901000 0.834690 0.000000
0.902000 0.834697 0.000000
0.903000 0.834685 0.000000
0.904000 0.834654 0.000000
0.905000 0.834608 0.000000
0.906000 0.834551 0.000000
0.907000 0.834488 0.000000
0.908000 0.834415 0.000000
0.909000 0.834329 0.000000
0.910000 0.834229 0.000000
0.911000 0.834120 0.000000
0.912000 0.834012 0.000000
0.913000 0.833911 0.000000
0.914000 0.833813 0.000000
0.915000 0.833710 0.000000
0.916000 0.833600 0.000000
0.917000 0.833487 0.000000
0.918000 0.833380 0.000000
0.919000 0.833287 0.000000
0.920000 0.833213 0.000000
0.921000 0.833162 0.000000
0.922000 0.833137 0.000000
0.923000 0.833131 0.000000
0.924000 0.833139 0.000000
0.925000 0.833156 0.000000
0.926000 0.833195 0.000000
0.927000 0.833268 0.000000
0.928000 0.833388 0.000000
0.929000 0.833552 0.000000
0.930000 0.833755 0.000000
0.931000 0.833993 0.000000
0.932000 0.834257 0.000000
0.933000 0.834538 0.000000
0.934000 0.834828 0.000000
0.935000 0.835124 0.000000
0.936000 0.835423 0.000000
0.937000 0.835722 0.000000
0.938000 0.836019 0.000000
0.939000 0.836309 0.000000
0.940000 0.836588 0.000000
0.941000 0.836851 0.000000
0.942000 0.837090 0.000000
0.943000 0.837302 0.000000
0.944000 0.837493 0.000000
0.945000 0.837671 0.000000
0.946000 0.837844 0.000000
0.947000 0.838017 0.000000
0.948000 0.838191 0.000000
0.949000 0.838369 0.000000
0.950000 0.838544 0.000000
0.951000 0.838709 0.000000
0.952000 0.838858 0.000000
0.953000 0.838996 0.000000
0.954000 0.839131 0.000000
0.955000 0.839268 0.000000
0.956000 0.839402 0.000000
0.957000 0.839528 0.000000
0.958000 0.839640 0.000000
0.959000 0.839740 0.000000
0.960000 0.839835 0.000000
0.961000 0.839926 0.000000
0.962000 0.840013 0.000000
0.963000 0.840093 0.000000
0.964000 0.840162 0.000000
0.965000 0.840225 0.000000
0.966000 0.840283 0.000000
0.967000 0.840340 0.000000
0.968000 0.840392 0.000000
0.969000 0.840436 0.000000
0.970000 0.840469 0.000000
0.971000 0.840489 0.000000
0.972000 0.840498 0.000000
0.973000 0.840495 0.000000
0.974000 0.840483 0.000000
0.975000 0.840466 0.000000
0.976000 0.840448 0.000000
0.977000 0.840431 0.000000
0.978000 0.840415 0.000000
0.979000 0.840402 0.000000
0.980000 0.840390 0.000000
0.981000 0.840375 0.000000
0.982000 0.840355 0.000000
0.983000 0.840330 0.000000
0.984000 0.840301 0.000000
0.985000 0.840269 0.000000
0.986000 0.840234 0.000000
0.987000 0.840195 0.000000
0.988000 0.840155 0.000000
0.989000 0.840113 0.000000
0.990000 0.840066 0.000000
0.991000 0.840016 0.000000
0.992000 0.839964 0.000000
0.993000 0.839912 0.000000
0.994000 0.839860 0.000000
0.995000 0.839800 0.000000
0.996000 0.839720 0.000000
0.997000 0.839617 0.000000
0.998000 0.839518 0.000000
0.999000 0.839457 0.000000
1.000000 0.839459 0.000000
1.001000 0.839519 0.000000
1.002000 0.839622 0.000000
1.003000 0.839749 0.000000
1.004000 0.839857 0.000000
1.005000 0.839895 0.000000
1.006000 0.839830 0.000000
1.007000 0.839688 0.000000
1.008000 0.839515 0.000000
1.009000 0.839349 0.000000
1.010000 0.839208 0.000000
1.011000 0.839105 0.000000
1.012000 0.839046 0.000000
1.013000 0.839015 0.000000
1.014000 0.838990 0.000000
1.015000 0.838949 0.000000
1.016000 0.838883 0.000000
1.017000 0.838811 0.000000
1.018000 0.838756 0.000000
1.019000 0.838728 0.000000
1.020000 0.838708 0.000000
1.021000 0.838673 0.000000
1.022000 0.838611 0.000000
1.023000 0.838542 0.000000
1.024000 0.838489 0.000000
1.025000 0.838469 0.000000
1.026000 0.838482 0.000000
1.027000 0.838529 0.000000
1.028000 0.838601 0.000000
1.029000 0.838680 0.000000
1.030000 0.838745 0.000000
1.031000 0.838786 0.000000
1.032000 0.838819 0.000000
1.033000 0.838863 0.000000
1.034000 0.838926 0.000000
1.035000 0.838996 0.000000
1.036000 0.839059 0.000000
1.037000 0.839103 0.000000
1.038000 0.839128 0.000000
1.039000 0.839135 0.000000
1.040000 0.839129 0.000000
1.041000 0.839120 0.000000
1.042000 0.839119 0.000000
1.043000 0.839132 0.000000
1.044000 0.839153 0.000000
1.045000 0.839175 0.000000
1.046000 0.839192 0.000000
1.047000 0.839202 0.000000
1.048000 0.839203 0.000000
1.049000 0.839194 0.000000
1.050000 0.839180 0.000000
1.051000 0.839166 0.000000
1.052000 0.839155 0.000000
1.053000 0.839148 0.000000
1.054000 0.839144 0.000000
1.055000 0.839144 0.000000
1.056000 0.839149 0.000000
1.057000 0.839162 0.000000
1.058000 0.839179 0.000000
1.059000 0.839186 0.000000
1.060000 0.839168 0.000000
1.061000 0.839119 0.000000
1.062000 0.839050 0.000000
1.063000 0.838976 0.000000
1.064000 0.838903 0.000000
1.065000 0.838821 0.000000
1.066000 0.838720 0.000000
1.067000 0.838595 0.000000
1.068000 0.838453 0.000000
1.069000 0.838305 0.000000
1.070000 0.838154 0.000000
1.071000 0.837987 0.000000
1.072000 0.837790 0.000000
1.073000 0.837556 0.000000
1.074000 0.837301 0.000000
1.075000 0.837042 0.000000
1.076000 0.836790 0.000000
1.077000 0.836535 0.000000
1.078000 0.836265 0.000000
1.079000 0.835976 0.000000
1.080000 0.835674 0.000000
1.081000 0.835368 0.000000
1.082000 0.835071 0.000000
1.083000 0.834797 0.000000
1.084000 0.834563 0.000000
1.085000 0.834375 0.000000
1.086000 0.834220 0.000000
1.087000 0.834081 0.000000
1.088000 0.833949 0.000000
1.089000 0.833836 0.000000
1.090000 0.833756 0.000000
1.091000 0.833716 0.000000
1.092000 0.833709 0.000000
1.093000 0.833722 0.000000
1.094000 0.833744 0.000000
1.095000 0.833764 0.000000
1.096000 0.833771 0.000000
1.097000 0.833760 0.000000
1.098000 0.833746 0.000000
1.099000 0.833746 0.000000
1.100000 0.833766 0.000000
1.101000 0.833788 0.000000
1.102000 0.833790 0.000000
1.103000 0.833757 0.000000
1.104000 0.833687 0.000000
1.105000 0.833582 0.000000
1.106000 0.833441 0.000000
1.107000 0.833262 0.000000
1.108000 0.833042 0.000000
1.109000 0.832776 0.000000
1.110000 0.832459 0.000000
1.111000 0.832082 0.000000
1.112000 0.831637 0.000000
1.113000 0.831113 0.000000
1.114000 0.830499 0.000000
1.115000 0.829781 0.000000
1.116000 0.828946 0.000000
1.117000 0.827976 0.000000
1.118000 0.826857 0.000000
1.119000 0.825576 0.000000
1.120000 0.824118 0.000000
1.121000 0.822468 0.000000
1.122000 0.820610 0.000000
1.123000 0.818524 0.000000
1.124000 0.816192 0.000000
1.125000 0.813594 0.000000
1.126000 0.810712 0.000000
1.127000 0.807532 0.000000
1.128000 0.804055 0.000000
1.129000 0.800284 0.000000
1.130000 0.796234 0.000000
1.131000 0.791947 0.000000
1.132000 0.787471 0.000000
1.133000 0.782855 0.000000
1.134000 0.778161 0.000000
1.135000 0.773448 0.000000
1.136000 0.768790 0.000000
1.137000 0.764287 0.000000
1.138000 0.760041 0.000000
1.139000 0.756155 0.000000
1.140000 0.752733 0.000000
1.141000 0.749878 0.000000
1.142000 0.747671 0.000000
1.143000 0.746141 0.000000
1.144000 0.745310 0.000000
1.145000 0.745195 0.000000
1.146000 0.745797 0.000000
1.147000 0.747118 0.000000
1.148000 0.749130 0.000000
1.149000 0.751750 0.000000
1.150000 0.754886 0.000000
1.151000 0.758447 0.000000
1.152000 0.762340 0.000000
1.153000 0.766477 0.000000
1.154000 0.770763 0.000000
1.155000 0.775102 0.000000
1.156000 0.779395 0.000000
1.157000 0.783556 0.000000
1.158000 0.787525 0.000000
1.159000 0.791248 0.000000
1.160000 0.794682 0.000000
1.161000 0.797818 0.000000
1.162000 0.800651 0.000000
1.163000 0.803184 0.000000
1.164000 0.805438 0.000000
1.165000 0.807437 0.000000
1.166000 0.809202 0.000000
1.167000 0.810744 0.000000
1.168000 0.812075 0.000000
1.169000 0.813211 0.000000
1.170000 0.814173 0.000000
1.171000 0.814988 0.000000
1.172000 0.815673 0.000000
1.173000 0.816236 0.000000
1.174000 0.816679 0.000000
1.175000 0.817010 0.000000
1.176000 0.817233 0.000000
1.177000 0.817356 0.000000
1.178000 0.817381 0.000000
1.179000 0.817301 0.000000
1.180000 0.817110 0.000000
1.181000 0.816803 0.000000
1.182000 0.816393 0.000000
1.183000 0.815891 0.000000
1.184000 0.815309 0.000000
1.185000 0.814657 0.000000
1.186000 0.813944 0.000000
1.187000 0.813177 0.000000
1.188000 0.812353 0.000000
1.189000 0.811468 0.000000
1.190000 0.810525 0.000000
1.191000 0.809544 0.000000
1.192000 0.808543 0.000000
1.193000 0.807538 0.000000
1.194000 0.806528 0.000000
1.195000 0.805511 0.000000
1.196000 0.804486 0.000000
1.197000 0.803464 0.000000
1.198000 0.802451 0.000000
1.199000 0.801464 0.000000
1.200000 0.800525 0.000000
1.201000 0.799663 0.000000
1.202000 0.798898 0.000000
1.203000 0.798232 0.000000
1.204000 0.797668 0.000000
1.205000 0.797209 0.000000
1.206000 0.796873 0.000000
1.207000 0.796675 0.000000
1.208000 0.796626 0.000000
1.209000 0.796731 0.000000
1.210000 0.796990 0.000000
1.211000 0.797404 0.000000
1.212000 0.797968 0.000000
1.213000 0.798678 0.000000
1.214000 0.799526 0.000000
1.215000 0.800497 0.000000
1.216000 0.801575 0.000000
1.217000 0.802745 0.000000
1.218000 0.803995 0.000000
1.219000 0.805313 0.000000
1.220000 0.806685 0.000000
1.221000 0.808096 0.000000
1.222000 0.809530 0.000000
1.223000 0.810971 0.000000
1.224000 0.812394 0.000000
1.225000 0.813779 0.000000
1.226000 0.815108 0.000000
1.227000 0.816382 0.000000
1.228000 0.817603 0.000000
1.229000 0.818772 0.000000
1.230000 0.819892 0.000000
1.231000 0.820966 0.000000
1.232000 0.821993 0.000000
1.233000 0.822972 0.000000
1.234000 0.823896 0.000000
1.235000 0.824765 0.000000
1.236000 0.825584 0.000000
1.237000 0.826358 0.000000
1.238000 0.827092 0.000000
1.239000 0.827785 0.000000
1.240000 0.828435 0.000000
1.241000 0.829044 0.000000
1.242000 0.829615 0.000000
1.243000 0.830155 0.000000
1.244000 0.830667 0.000000
1.245000 0.831151 0.000000
1.246000 0.831607 0.000000
1.247000 0.832037 0.000000
1.248000 0.832443 0.000000
1.249000 0.832832 0.000000
1.250000 0.833207 0.000000
1.251000 0.833566 0.000000
1.252000 0.833907 0.000000
1.253000 0.834230 0.000000
1.254000 0.834535 0.000000
1.255000 0.834821 0.000000
1.256000 0.835092 0.000000
1.257000 0.835349 0.000000
1.258000 0.835594 0.000000
1.259000 0.835830 0.000000
1.260000 0.836058 0.000000
1.261000 0.836279 0.000000
1.262000 0.836492 0.000000
1.263000 0.836692 0.000000
1.264000 0.836872 0.000000
1.265000 0.837032 0.000000
1.266000 0.837178 0.000000
1.267000 0.837321 0.000000
1.268000 0.837466 0.000000
1.269000 0.837612 0.000000
1.270000 0.837759 0.000000
1.271000 0.837906 0.000000
1.272000 0.838052 0.000000
1.273000 0.838196 0.000000
1.274000 0.838335 0.000000
1.275000 0.838462 0.000000
1.276000 0.838571 0.000000
1.277000 0.838657 0.000000
1.278000 0.838729 0.000000
1.279000 0.838795 0.000000
1.280000 0.838860 0.000000
1.281000 0.838923 0.000000
1.282000 0.838981 0.000000
1.283000 0.839030 0.000000
1.284000 0.839065 0.000000
1.285000 0.839081 0.000000
1.286000 0.839073 0.000000
1.287000 0.839043 0.000000
1.288000 0.838991 0.000000
1.289000 0.838919 0.000000
1.290000 0.838822 0.000000
1.291000 0.838698 0.000000
1.292000 0.838547 0.000000
1.293000 0.838378 0.000000
1.294000 0.838202 0.000000
1.295000 0.838027 0.000000
1.296000 0.837856 0.000000
1.297000 0.837694 0.000000
1.298000 0.837545 0.000000
1.299000 0.837411 0.000000
1.300000 0.837299 0.000000
1.301000 0.837213 0.000000
1.302000 0.837155 0.000000
1.303000 0.837128 0.000000
1.304000 0.837134 0.000000
1.305000 0.837169 0.000000
1.306000 0.837227 0.000000
1.307000 0.837301 0.000000
1.308000 0.837372 0.000000
1.309000 0.837419 0.000000
1.310000 0.837429 0.000000
1.311000 0.837402 0.000000
1.312000 0.837338 0.000000
1.313000 0.837239 0.000000
1.314000 0.837108 0.000000
1.315000 0.836946 0.000000
1.316000 0.836756 0.000000
1.317000 0.836542 0.000000
1.318000 0.836307 0.000000
1.319000 0.836056 0.000000
1.320000 0.835799 0.000000
1.321000 0.835543 0.000000
1.322000 0.835295 0.000000
1.323000 0.835052 0.000000
1.324000 0.834809 0.000000
1.325000 0.834567 0.000000
1.326000 0.834333 0.000000
1.327000 0.834117 0.000000
1.328000 0.833920 0.000000
1.329000 0.833731 0.000000
1.330000 0.833534 0.000000
1.331000 0.833318 0.000000
1.332000 0.833081 0.000000
1.333000 0.832822 0.000000
1.334000 0.832537 0.000000
1.335000 0.832218 0.000000
1.336000 0.831854 0.000000
1.337000 0.831440 0.000000
1.338000 0.830983 0.000000
1.339000 0.830487 0.000000
1.340000 0.829962 0.000000
1.341000 0.829425 0.000000
1.342000 0.828893 0.000000
1.343000 0.828382 0.000000
1.344000 0.827905 0.000000
1.345000 0.827475 0.000000
1.346000 0.827104 0.000000
1.347000 0.826796 0.000000
1.348000 0.826555 0.000000
1.349000 0.826384 0.000000
1.350000 0.826275 0.000000
1.351000 0.826219 0.000000
1.352000 0.826207 0.000000
1.353000 0.826221 0.000000
1.354000 0.826244 0.000000
1.355000 0.826257 0.000000
1.356000 0.826240 0.000000
1.357000 0.826173 0.000000
1.358000 0.826040 0.000000
1.359000 0.825831 0.000000
1.360000 0.825540 0.000000
1.361000 0.825159 0.000000
1.362000 0.824689 0.000000
1.363000 0.824128 0.000000
1.364000 0.823480 0.000000
1.365000 0.822754 0.000000
1.366000 0.821959 0.000000
1.367000 0.821106 0.000000
1.368000 0.820208 0.000000
1.369000 0.819278 0.000000
1.370000 0.818328 0.000000
1.371000 0.817364 0.000000
1.372000 0.816393 0.000000
1.373000 0.815422 0.000000
1.374000 0.814461 0.000000
1.375000 0.813519 0.000000
1.376000 0.812605 0.000000
1.377000 0.811717 0.000000
1.378000 0.810852 0.000000
1.379000 0.810008 0.000000
1.380000 0.809177 0.000000
1.381000 0.808348 0.000000
1.382000 0.807519 0.000000
1.383000 0.806689 0.000000
1.384000 0.805862 0.000000
1.385000 0.805041 0.000000
1.386000 0.804233 0.000000
1.387000 0.803444 0.000000
1.388000 0.802684 0.000000
1.389000 0.801966 0.000000
1.390000 0.801306 0.000000
1.391000 0.800716 0.000000
1.392000 0.800204 0.000000
1.393000 0.799777 0.000000
1.394000 0.799434 0.000000
1.395000 0.799161 0.000000
1.396000 0.798941 0.000000
1.397000 0.798758 0.000000
1.398000 0.798596 0.000000
1.399000 0.798441 0.000000
1.400000 0.798273 0.000000
1.401000 0.798072 0.000000
1.402000 0.797813 0.000000
1.403000 0.797484 0.000000
1.404000 0.797091 0.000000
1.405000 0.796644 0.000000
1.406000 0.796158 0.000000
1.407000 0.795653 0.000000
1.408000 0.795149 0.000000
1.409000 0.794668 0.000000
1.410000 0.794228 0.000000
1.411000 0.793852 0.000000
1.412000 0.793555 0.000000
1.413000 0.793352 0.000000
1.414000 0.793253 0.000000
1.415000 0.793265 0.000000
1.416000 0.793375 0.000000
1.417000 0.793568 0.000000
1.418000 0.793827 0.000000
1.419000 0.794133 0.000000
1.420000 0.794464 0.000000
1.421000 0.794798 0.000000
1.422000 0.795121 0.000000
1.423000 0.795414 0.000000
1.424000 0.795665 0.000000
1.425000 0.795871 0.000000
1.426000 0.796027 0.000000
1.427000 0.796134 0.000000
1.428000 0.796202 0.000000
1.429000 0.796241 0.000000
1.430000 0.796261 0.000000
1.431000 0.796274 0.000000
1.432000 0.796292 0.000000
1.433000 0.796328 0.000000
1.434000 0.796393 0.000000
1.435000 0.796501 0.000000
1.436000 0.796661 0.000000
1.437000 0.796870 0.000000
1.438000 0.797127 0.000000
1.439000 0.797428 0.000000
1.440000 0.797776 0.000000
1.441000 0.798169 0.000000
1.442000 0.798608 0.000000
1.443000 0.799082 0.000000
1.444000 0.799583 0.000000
1.445000 0.800103 0.000000
1.446000 0.800639 0.000000
1.447000 0.801188 0.000000
1.448000 0.801748 0.000000
1.449000 0.802315 0.000000
1.450000 0.802887 0.000000
1.451000 0.803459 0.000000
1.452000 0.804024 0.000000
1.453000 0.804575 0.000000
1.454000 0.805106 0.000000
1.455000 0.805615 0.000000
1.456000 0.806099 0.000000
1.457000 0.806558 0.000000
1.458000 0.806994 0.000000
1.459000 0.807409 0.000000
1.460000 0.807804 0.000000
1.461000 0.808176 0.000000
1.462000 0.808524 0.000000
1.463000 0.808847 0.000000
1.464000 0.809146 0.000000
1.465000 0.809422 0.000000
1.466000 0.809678 0.000000
1.467000 0.809917 0.000000
1.468000 0.810145 0.000000
1.469000 0.810368 0.000000
1.470000 0.810595 0.000000
1.471000 0.810837 0.000000
1.472000 0.811100 0.000000
1.473000 0.811378 0.000000
1.474000 0.811666 0.000000
1.475000 0.811956 0.000000
1.476000 0.812241 0.000000
1.477000 0.812514 0.000000
1.478000 0.812770 0.000000
1.479000 0.813004 0.000000
1.480000 0.813212 0.000000
1.481000 0.813394 0.000000
1.482000 0.813562 0.000000
1.483000 0.813726 0.000000
1.484000 0.813896 0.000000
1.485000 0.814074 0.000000
1.486000 0.814262 0.000000
1.487000 0.814463 0.000000
1.488000 0.814681 0.000000
1.489000 0.814922 0.000000
1.490000 0.815188 0.000000
1.491000 0.815479 0.000000
1.492000 0.815794 0.000000
1.493000 0.816130 0.000000
1.494000 0.816482 0.000000
1.495000 0.816841 0.000000
1.496000 0.817204 0.000000
1.497000 0.817569 0.000000
1.498000 0.817936 0.000000
1.499000 0.818304 0.000000
1.500000 0.818670 0.000000
1.501000 0.819030 0.000000
1.502000 0.819379 0.000000
1.503000 0.819712 0.000000
1.504000 0.820024 0.000000
1.505000 0.820309 0.000000
1.506000 0.820569 0.000000
1.507000 0.820801 0.000000
1.508000 0.821010 0.000000
1.509000 0.821203 0.000000
1.510000 0.821390 0.000000
1.511000 0.821577 0.000000
1.512000 0.821773 0.000000
1.513000 0.821982 0.000000
1.514000 0.822208 0.000000
1.515000 0.822448 0.000000
1.516000 0.822698 0.000000
1.517000 0.822954 0.000000
1.518000 0.823212 0.000000
1.519000 0.823467 0.000000
1.520000 0.823717 0.000000
1.521000 0.823967 0.000000
1.522000 0.824221 0.000000
1.523000 0.824482 0.000000
1.524000 0.824742 0.000000
1.525000 0.824993 0.000000
1.526000 0.825230 0.000000
1.527000 0.825458 0.000000
1.528000 0.825682 0.000000
1.529000 0.825907 0.000000
1.530000 0.826138 0.000000
1.531000 0.826382 0.000000
1.532000 0.826640 0.000000
1.533000 0.826905 0.000000
1.534000 0.827170 0.000000
1.535000 0.827431 0.000000
1.536000 0.827687 0.000000
1.537000 0.827940 0.000000
1.538000 0.828188 0.000000
1.539000 0.828432 0.000000
1.540000 0.828669 0.000000
1.541000 0.828898 0.000000
1.542000 0.829119 0.000000
1.543000 0.829333 0.000000
1.544000 0.829540 0.000000
1.545000 0.829736 0.000000
1.546000 0.829918 0.000000
1.547000 0.830087 0.000000
1.548000 0.830246 0.000000
1.549000 0.830403 0.000000
1.550000 0.830558 0.000000
1.551000 0.830700 0.000000
1.552000 0.830818 0.000000
1.553000 0.830906 0.000000
1.554000 0.830964 0.000000
1.555000 0.830998 0.000000
1.556000 0.831011 0.000000
1.557000 0.831007 0.000000
1.558000 0.830991 0.000000
1.559000 0.830964 0.000000
1.560000 0.830926 0.000000
1.561000 0.830875 0.000000
1.562000 0.830812 0.000000
1.563000 0.830736 0.000000
1.564000 0.830650 0.000000
1.565000 0.830552 0.000000
1.566000 0.830440 0.000000
1.567000 0.830311 0.000000
1.568000 0.830166 0.000000
1.569000 0.830015 0.000000
1.570000 0.829869 0.000000
1.571000 0.829731 0.000000
1.572000 0.829589 0.000000
1.573000 0.829427 0.000000
1.574000 0.829233 0.000000
1.575000 0.829008 0.000000
1.576000 0.828751 0.000000
1.577000 0.828463 0.000000
1.578000 0.828153 0.000000
1.579000 0.827826 0.000000
1.580000 0.827488 0.000000
1.581000 0.827134 0.000000
1.582000 0.826760 0.000000
1.583000 0.826363 0.000000
1.584000 0.825954 0.000000
1.585000 0.825543 0.000000
1.586000 0.825137 0.000000
1.587000 0.824731 0.000000
1.588000 0.824321 0.000000
1.589000 0.823904 0.000000
1.590000 0.823480 0.000000
1.591000 0.823053 0.000000
1.592000 0.822620 0.000000
1.593000 0.822168 0.000000
1.594000 0.821685 0.000000
1.595000 0.821160 0.000000
1.596000 0.820587 0.000000
1.597000 0.819963 0.000000
1.598000 0.819287 0.000000
1.599000 0.818571 0.000000
1.600000 0.817826 0.000000
1.601000 0.817058 0.000000
1.602000 0.816258 0.000000
1.603000 0.815412 0.000000
1.604000 0.814510 0.000000
1.605000 0.813536 0.000000
1.606000 0.812476 0.000000
1.607000 0.811320 0.000000
1.608000 0.810060 0.000000
1.609000 0.808692 0.000000
1.610000 0.807203 0.000000
1.611000 0.805566 0.000000
1.612000 0.803754 0.000000
1.613000 0.801737 0.000000
1.614000 0.799489 0.000000
1.615000 0.796985 0.000000
1.616000 0.794203 0.000000
1.617000 0.791132 0.000000
1.618000 0.787761 0.000000
1.619000 0.784089 0.000000
1.620000 0.780127 0.000000
1.621000 0.775894 0.000000
1.622000 0.771413 0.000000
1.623000 0.766730 0.000000
1.624000 0.761892 0.000000
1.625000 0.756951 0.000000
1.626000 0.751965 0.000000
1.627000 0.746995 0.000000
1.628000 0.742100 0.000000
1.629000 0.737344 0.000000
1.630000 0.732786 0.000000
1.631000 0.728481 0.000000
1.632000 0.724460 0.000000
1.633000 0.720753 0.000000
1.634000 0.717386 0.000000
1.635000 0.714369 0.000000
1.636000 0.711711 0.000000
1.637000 0.709418 0.000000
1.638000 0.707474 0.000000
1.639000 0.705867 0.000000
1.640000 0.704585 0.000000
1.641000 0.703624 0.000000
1.642000 0.702985 0.000000
1.643000 0.702660 0.000000
1.644000 0.702637 0.000000
1.645000 0.702901 0.000000
1.646000 0.703408 0.000000
1.647000 0.704050 0.000000
1.648000 0.704709 0.000000
1.649000 0.705245 0.000000
1.650000 0.705471 0.000000
1.651000 0.705188 0.000000
1.652000 0.704212 0.000000
1.653000 0.702383 0.000000
1.654000 0.699543 0.000000
1.655000 0.695585 0.000000
1.656000 0.690510 0.000000
1.657000 0.684334 0.000000
1.658000 0.677100 0.000000
1.659000 0.668918 0.000000
1.660000 0.659903 0.000000
1.661000 0.650186 0.000000
1.662000 0.639938 0.000000
1.663000 0.629329 0.000000
1.664000 0.618521 0.000000
1.665000 0.607646 0.000000
1.666000 0.596837 0.000000
1.667000 0.586218 0.000000
1.668000 0.575895 0.000000
1.669000 0.565979 0.000000
1.670000 0.556567 0.000000
1.671000 0.547749 0.000000
1.672000 0.539610 0.000000
1.673000 0.532231 0.000000
1.674000 0.525687 0.000000
1.675000 0.520050 0.000000
1.676000 0.515371 0.000000
1.677000 0.511647 0.000000
1.678000 0.508868 0.000000
1.679000 0.507012 0.000000
1.680000 0.506021 0.000000
1.681000 0.505835 0.000000
1.682000 0.506387 0.000000
1.683000 0.507594 0.000000
1.684000 0.509370 0.000000
1.685000 0.511635 0.000000
1.686000 0.514318 0.000000
1.687000 0.517351 0.000000
1.688000 0.520681 0.000000
1.689000 0.524288 0.000000
1.690000 0.528160 0.000000
1.691000 0.532295 0.000000
1.692000 0.536718 0.000000
1.693000 0.541464 0.000000
1.694000 0.546556 0.000000
1.695000 0.552004 0.000000
1.696000 0.557814 0.000000
1.697000 0.563971 0.000000
1.698000 0.570406 0.000000
1.699000 0.577041 0.000000
1.700000 0.583788 0.000000
1.701000 0.590529 0.000000
1.702000 0.597139 0.000000
1.703000 0.603504 0.000000
1.704000 0.609526 0.000000
1.705000 0.615110 0.000000
1.706000 0.620190 0.000000
1.707000 0.624764 0.000000
1.708000 0.628839 0.000000
1.709000 0.632434 0.000000
1.710000 0.635597 0.000000
1.711000 0.638375 0.000000
1.712000 0.640814 0.000000
1.713000 0.642953 0.000000
1.714000 0.644828 0.000000
1.715000 0.646469 0.000000
1.716000 0.647891 0.000000
1.717000 0.649111 0.000000
1.718000 0.650145 0.000000
1.719000 0.651024 0.000000
1.720000 0.651777 0.000000
1.721000 0.652446 0.000000
1.722000 0.653099 0.000000
1.723000 0.653810 0.000000
1.724000 0.654648 0.000000
1.725000 0.655685 0.000000
1.726000 0.656988 0.000000
1.727000 0.658613 0.000000
1.728000 0.660587 0.000000
1.729000 0.662928 0.000000
1.730000 0.665642 0.000000
1.731000 0.668696 0.000000
1.732000 0.672053 0.000000
1.733000 0.675653 0.000000
1.734000 0.679384 0.000000
1.735000 0.683131 0.000000
1.736000 0.686780 0.000000
1.737000 0.690229 0.000000
1.738000 0.693376 0.000000
1.739000 0.696126 0.000000
1.740000 0.698405 0.000000
1.741000 0.700138 0.000000
1.742000 0.701269 0.000000
1.743000 0.701784 0.000000
1.744000 0.701675 0.000000
1.745000 0.700957 0.000000
1.746000 0.699701 0.000000
1.747000 0.697985 0.000000
1.748000 0.695894 0.000000
1.749000 0.693532 0.000000
1.750000 0.691005 0.000000
1.751000 0.688413 0.000000
1.752000 0.685845 0.000000
1.753000 0.683385 0.000000
1.754000 0.681101 0.000000
1.755000 0.679028 0.000000
1.756000 0.677193 0.000000
1.757000 0.675618 0.000000
1.758000 0.674301 0.000000
1.759000 0.673243 0.000000
1.760000 0.672451 0.000000
1.761000 0.671960 0.000000
1.762000 0.671807 0.000000
1.763000 0.672027 0.000000
1.764000 0.672650 0.000000
1.765000 0.673708 0.000000
1.766000 0.675207 0.000000
1.767000 0.677099 0.000000
1.768000 0.679328 0.000000
1.769000 0.681838 0.000000
1.770000 0.684565 0.000000
1.771000 0.687443 0.000000
1.772000 0.690397 0.000000
1.773000 0.693322 0.000000
1.774000 0.696108 0.000000
1.775000 0.698666 0.000000
1.776000 0.700952 0.000000
1.777000 0.702927 0.000000
1.778000 0.704562 0.000000
1.779000 0.705847 0.000000
1.780000 0.706777 0.000000
1.781000 0.707358 0.000000
1.782000 0.707631 0.000000
1.783000 0.707637 0.000000
1.784000 0.707423 0.000000
1.785000 0.707042 0.000000
1.786000 0.706547 0.000000
1.787000 0.705992 0.000000
1.788000 0.705434 0.000000
1.789000 0.704925 0.000000
1.790000 0.704508 0.000000
1.791000 0.704196 0.000000
1.792000 0.703997 0.000000
1.793000 0.703915 0.000000
1.794000 0.703948 0.000000
1.795000 0.704092 0.000000
1.796000 0.704325 0.000000
1.797000 0.704579 0.000000
1.798000 0.704774 0.000000
1.799000 0.704855 0.000000
1.800000 0.704830 0.000000
1.801000 0.704722 0.000000
1.802000 0.704560 0.000000
1.803000 0.704396 0.000000
1.804000 0.704289 0.000000
1.805000 0.704282 0.000000
1.806000 0.704368 0.000000
1.807000 0.704528 0.000000
1.808000 0.704748 0.000000
1.809000 0.705028 0.000000
1.810000 0.705374 0.000000
1.811000 0.705790 0.000000
1.812000 0.706288 0.000000
1.813000 0.706882 0.000000
1.814000 0.707578 0.000000
1.815000 0.708355 0.000000
1.816000 0.709183 0.000000
1.817000 0.710038 0.000000
1.818000 0.710917 0.000000
1.819000 0.711821 0.000000
1.820000 0.712752 0.000000
1.821000 0.713683 0.000000
1.822000 0.714585 0.000000
1.823000 0.715428 0.000000
1.824000 0.716199 0.000000
1.825000 0.716888 0.000000
1.826000 0.717488 0.000000
1.827000 0.717998 0.000000
1.828000 0.718423 0.000000
1.829000 0.718765 0.000000
1.830000 0.719026 0.000000
1.831000 0.719206 0.000000
1.832000 0.719308 0.000000
1.833000 0.719338 0.000000
1.834000 0.719305 0.000000
1.835000 0.719219 0.000000
1.836000 0.719093 0.000000
1.837000 0.718942 0.000000
1.838000 0.718780 0.000000
1.839000 0.718613 0.000000
1.840000 0.718439 0.000000
1.841000 0.718260 0.000000
1.842000 0.718074 0.000000
1.843000 0.717879 0.000000
1.844000 0.717675 0.000000
1.845000 0.717455 0.000000
1.846000 0.717214 0.000000
1.847000 0.716944 0.000000
1.848000 0.716653 0.000000
1.849000 0.716359 0.000000
1.850000 0.716076 0.000000
1.851000 0.715811 0.000000
1.852000 0.715563 0.000000
1.853000 0.715331 0.000000
1.854000 0.715126 0.000000
1.855000 0.714968 0.000000
1.856000 0.714876 0.000000
1.857000 0.714856 0.000000
1.858000 0.714907 0.000000
1.859000 0.715024 0.000000
1.860000 0.715214 0.000000
1.861000 0.715490 0.000000
1.862000 0.715865 0.000000
1.863000 0.716342 0.000000
1.864000 0.716915 0.000000
1.865000 0.717577 0.000000
1.866000 0.718316 0.000000
1.867000 0.719115 0.000000
1.868000 0.719956 0.000000
1.869000 0.720828 0.000000
1.870000 0.721726 0.000000
1.871000 0.722647 0.000000
1.872000 0.723574 0.000000
1.873000 0.724481 0.000000
1.874000 0.725343 0.000000
1.875000 0.726145 0.000000
1.876000 0.726884 0.000000
1.877000 0.727561 0.000000
1.878000 0.728176 0.000000
1.879000 0.728729 0.000000
1.880000 0.729222 0.000000
1.881000 0.729659 0.000000
1.882000 0.730051 0.000000
1.883000 0.730410 0.000000
1.884000 0.730744 0.000000
1.885000 0.731056 0.000000
1.886000 0.731347 0.000000
1.887000 0.731622 0.000000
1.888000 0.731885 0.000000
1.889000 0.732143 0.000000
1.890000 0.732399 0.000000
1.891000 0.732654 0.000000
1.892000 0.732910 0.000000
1.893000 0.733165 0.000000
1.894000 0.733417 0.000000
1.895000 0.733661 0.000000
1.896000 0.733893 0.000000
1.897000 0.734106 0.000000
1.898000 0.734291 0.000000
1.899000 0.734443 0.000000
1.900000 0.734558 0.000000
1.901000 0.734632 0.000000
1.902000 0.734664 0.000000
1.903000 0.734657 0.000000
1.904000 0.734614 0.000000
1.905000 0.734542 0.000000
1.906000 0.734461 0.000000
1.907000 0.734389 0.000000
1.908000 0.734342 0.000000
1.909000 0.734327 0.000000
1.910000 0.734347 0.000000
1.911000 0.734403 0.000000
1.912000 0.734491 0.000000
1.913000 0.734604 0.000000
1.914000 0.734740 0.000000
1.915000 0.734912 0.000000
1.916000 0.735134 0.000000
1.917000 0.735414 0.000000
1.918000 0.735729 0.000000
1.919000 0.736052 0.000000
1.920000 0.736360 0.000000
1.921000 0.736660 0.000000
1.922000 0.736962 0.000000
1.923000 0.737273 0.000000
1.924000 0.737585 0.000000
1.925000 0.737885 0.000000
1.926000 0.738166 0.000000
1.927000 0.738432 0.000000
1.928000 0.738697 0.000000
1.929000 0.738966 0.000000
1.930000 0.739228 0.000000
1.931000 0.739465 0.000000
1.932000 0.739663 0.000000
1.933000 0.739821 0.000000
1.934000 0.739947 0.000000
1.935000 0.740046 0.000000
1.936000 0.740122 0.000000
1.937000 0.740175 0.000000
1.938000 0.740208 0.000000
1.939000 0.740215 0.000000
1.940000 0.740188 0.000000
1.941000 0.740121 0.000000
1.942000 0.740021 0.000000
1.943000 0.739897 0.000000
1.944000 0.739760 0.000000
1.945000 0.739626 0.000000
1.946000 0.739512 0.000000
1.947000 0.739434 0.000000
1.948000 0.739391 0.000000
1.949000 0.739376 0.000000
1.950000 0.739384 0.000000
1.951000 0.739425 0.000000
1.952000 0.739517 0.000000
1.953000 0.739676 0.000000
1.954000 0.739886 0.000000
1.955000 0.740119 0.000000
1.956000 0.740347 0.000000
1.957000 0.740564 0.000000
1.958000 0.740779 0.000000
1.959000 0.740999 0.000000
1.960000 0.741222 0.000000
1.961000 0.741439 0.000000
1.962000 0.741642 0.000000
1.963000 0.741830 0.000000
1.964000 0.742005 0.000000
1.965000 0.742169 0.000000
1.966000 0.742322 0.000000
1.967000 0.742463 0.000000
1.968000 0.742591 0.000000
1.969000 0.742702 0.000000
1.970000 0.742790 0.000000
1.971000 0.742849 0.000000
1.972000 0.742890 0.000000
1.973000 0.742930 0.000000
1.974000 0.742985 0.000000
1.975000 0.743049 0.000000
1.976000 0.743101 0.000000
1.977000 0.743124 0.000000
1.978000 0.743132 0.000000
1.979000 0.743158 0.000000
1.980000 0.743231 0.000000
1.981000 0.743348 0.000000
1.982000 0.743484 0.000000
1.983000 0.743618 0.000000
1.984000 0.743742 0.000000
1.985000 0.743864 0.000000
1.986000 0.743987 0.000000
1.987000 0.744118 0.000000
1.988000 0.744265 0.000000
1.989000 0.744432 0.000000
1.990000 0.744608 0.000000
1.991000 0.744768 0.000000
1.992000 0.744891 0.000000
1.993000 0.744967 0.000000
1.994000 0.744991 0.000000
1.995000 0.744960 0.000000
1.996000 0.744877 0.000000
1.997000 0.744748 0.000000
1.998000 0.744580 0.000000
1.999000 0.744381 0.000000
2.000000 0.744161 0.000000
2.001000 0.743929 0.000000
2.002000 0.743704 0.000000
2.003000 0.743510 0.000000
2.004000 0.743367 0.000000
2.005000 0.743274 0.000000
2.006000 0.743213 0.000000
2.007000 0.743171 0.000000
2.008000 0.743158 0.000000
2.009000 0.743196 0.000000
2.010000 0.743307 0.000000
2.011000 0.743482 0.000000
2.012000 0.743694 0.000000
2.013000 0.743918 0.000000
2.014000 0.744138 0.000000
2.015000 0.744344 0.000000
2.016000 0.744528 0.000000
2.017000 0.744691 0.000000
2.018000 0.744841 0.000000
2.019000 0.744986 0.000000
2.020000 0.745135 0.000000
2.021000 0.745295 0.000000
2.022000 0.745473 0.000000
2.023000 0.745660 0.000000
2.024000 0.745840 0.000000
2.025000 0.745996 0.000000
2.026000 0.746129 0.000000
2.027000 0.746252 0.000000
2.028000 0.746374 0.000000
2.029000 0.746498 0.000000
2.030000 0.746619 0.000000
2.031000 0.746734 0.000000
2.032000 0.746836 0.000000
2.033000 0.746919 0.000000
2.034000 0.746977 0.000000
2.035000 0.747011 0.000000
2.036000 0.747029 0.000000
2.037000 0.747038 0.000000
2.038000 0.747023 0.000000
2.039000 0.746963 0.000000
2.040000 0.746837 0.000000
2.041000 0.746655 0.000000
2.042000 0.746445 0.000000
2.043000 0.746234 0.000000
2.044000 0.746028 0.000000
2.045000 0.745820 0.000000
2.046000 0.745605 0.000000
2.047000 0.745367 0.000000
2.048000 0.745090 0.000000
2.049000 0.744759 0.000000
2.050000 0.744390 0.000000
2.051000 0.744016 0.000000
2.052000 0.743669 0.000000
2.053000 0.743336 0.000000
2.054000 0.742983 0.000000
2.055000 0.742576 0.000000
2.056000 0.742116 0.000000
2.057000 0.741623 0.000000
2.058000 0.741116 0.000000
2.059000 0.740597 0.000000
2.060000 0.740063 0.000000
2.061000 0.739509 0.000000
2.062000 0.738950 0.000000
2.063000 0.738415 0.000000
2.064000 0.737928 0.000000
2.065000 0.737495 0.000000
2.066000 0.737109 0.000000
2.067000 0.736765 0.000000
2.068000 0.736467 0.000000
2.069000 0.736230 0.000000
2.070000 0.736065 0.000000
2.071000 0.735978 0.000000
2.072000 0.735968 0.000000
2.073000 0.736034 0.000000
2.074000 0.736162 0.000000
2.075000 0.736327 0.000000
2.076000 0.736505 0.000000
2.077000 0.736673 0.000000
2.078000 0.736807 0.000000
2.079000 0.736883 0.000000
2.080000 0.736887 0.000000
2.081000 0.736810 0.000000
2.082000 0.736643 0.000000
2.083000 0.736377 0.000000
2.084000 0.736006 0.000000
2.085000 0.735519 0.000000
2.086000 0.734905 0.000000
2.087000 0.734146 0.000000
2.088000 0.733228 0.000000
2.089000 0.732153 0.000000
2.090000 0.730938 0.000000
2.091000 0.729597 0.000000
2.092000 0.728170 0.000000
2.093000 0.726710 0.000000
2.094000 0.725269 0.000000
2.095000 0.723872 0.000000
2.096000 0.722533 0.000000
2.097000 0.721265 0.000000
2.098000 0.720088 0.000000
2.099000 0.719024 0.000000
2.100000 0.718093 0.000000
2.101000 0.717282 0.000000
2.102000 0.716560 0.000000
2.103000 0.715895 0.000000
2.104000 0.715259 0.000000
2.105000 0.714623 0.000000
2.106000 0.713958 0.000000
2.107000 0.713211 0.000000
2.108000 0.712318 0.000000
2.109000 0.711217 0.000000
2.110000 0.709892 0.000000
2.111000 0.708351 0.000000
2.112000 0.706602 0.000000
2.113000 0.704620 0.000000
2.114000 0.702366 0.000000
2.115000 0.699799 0.000000
2.116000 0.696925 0.000000
2.117000 0.693771 0.000000
2.118000 0.690363 0.000000
2.119000 0.686732 0.000000
2.120000 0.682910 0.000000
2.121000 0.678923 0.000000
2.122000 0.674760 0.000000
2.123000 0.670390 0.000000
2.124000 0.665773 0.000000
2.125000 0.660825 0.000000
2.126000 0.655436 0.000000
2.127000 0.649490 0.000000
2.128000 0.642860 0.000000
2.129000 0.635405 0.000000
2.130000 0.627000 0.000000
2.131000 0.617623 0.000000
2.132000 0.607313 0.000000
2.133000 0.596127 0.000000
2.134000 0.584224 0.000000
2.135000 0.571823 0.000000
2.136000 0.559167 0.000000
2.137000 0.546589 0.000000
2.138000 0.534491 0.000000
2.139000 0.523262 0.000000
2.140000 0.513230 0.000000
2.141000 0.504672 0.000000
2.142000 0.497845 0.000000
2.143000 0.492812 0.000000
2.144000 0.489515 0.000000
2.145000 0.487878 0.000000
2.146000 0.487683 0.000000
2.147000 0.488623 0.000000
2.148000 0.490385 0.000000
2.149000 0.492601 0.000000
2.150000 0.494868 0.000000
2.151000 0.496799 0.000000
2.152000 0.498157 0.000000
2.153000 0.498792 0.000000
2.154000 0.498571 0.000000
2.155000 0.497494 0.000000
2.156000 0.495643 0.000000
2.157000 0.493110 0.000000
2.158000 0.490051 0.000000
2.159000 0.486666 0.000000
2.160000 0.483155 0.000000
2.161000 0.479703 0.000000
2.162000 0.476484 0.000000
2.163000 0.473673 0.000000
2.164000 0.471399 0.000000
2.165000 0.469768 0.000000
2.166000 0.468886 0.000000
2.167000 0.468864 0.000000
2.168000 0.469815 0.000000
2.169000 0.471837 0.000000
2.170000 0.474878 0.000000
2.171000 0.478801 0.000000
2.172000 0.483461 0.000000
2.173000 0.488645 0.000000
2.174000 0.494107 0.000000
2.175000 0.499599 0.000000
2.176000 0.504874 0.000000
2.177000 0.509693 0.000000
2.178000 0.513828 0.000000
2.179000 0.517191 0.000000
2.180000 0.519774 0.000000
2.181000 0.521588 0.000000
2.182000 0.522788 0.000000
2.183000 0.523616 0.000000
2.184000 0.524321 0.000000
2.185000 0.525197 0.000000
2.186000 0.526562 0.000000
2.187000 0.528722 0.000000
2.188000 0.531821 0.000000
2.189000 0.535907 0.000000
2.190000 0.541008 0.000000
2.191000 0.546983 0.000000
2.192000 0.553598 0.000000
2.193000 0.560621 0.000000
2.194000 0.567852 0.000000
2.195000 0.575113 0.000000
2.196000 0.582218 0.000000
2.197000 0.589004 0.000000
2.198000 0.595310 0.000000
2.199000 0.600992 0.000000
2.200000 0.606018 0.000000
2.201000 0.610405 0.000000
2.202000 0.614178 0.000000
2.203000 0.617370 0.000000
2.204000 0.620027 0.000000
2.205000 0.622196 0.000000
2.206000 0.623951 0.000000
2.207000 0.625379 0.000000
2.208000 0.626556 0.000000
2.209000 0.627500 0.000000
2.210000 0.628212 0.000000
2.211000 0.628702 0.000000
2.212000 0.629028 0.000000
2.213000 0.629262 0.000000
2.214000 0.629474 0.000000
2.215000 0.629723 0.000000
2.216000 0.630063 0.000000
2.217000 0.630544 0.000000
2.218000 0.631199 0.000000
2.219000 0.632050 0.000000
2.220000 0.633120 0.000000
2.221000 0.634411 0.000000
2.222000 0.635922 0.000000
2.223000 0.637636 0.000000
2.224000 0.639470 0.000000
2.225000 0.641331 0.000000
2.226000 0.643136 0.000000
2.227000 0.644857 0.000000
2.228000 0.646477 0.000000
2.229000 0.647979 0.000000
2.230000 0.649349 0.000000
2.231000 0.650570 0.000000
2.232000 0.651633 0.000000
2.233000 0.652535 0.000000
2.234000 0.653275 0.000000
2.235000 0.653851 0.000000
2.236000 0.654256 0.000000
2.237000 0.654483 0.000000
2.238000 0.654517 0.000000
2.239000 0.654325 0.000000
2.240000 0.653872 0.000000
2.241000 0.653140 0.000000
2.242000 0.652149 0.000000
2.243000 0.650928 0.000000
2.244000 0.649515 0.000000
2.245000 0.647982 0.000000
2.246000 0.646405 0.000000
2.247000 0.644849 0.000000
2.248000 0.643361 0.000000
2.249000 0.641982 0.000000
2.250000 0.640759 0.000000
2.251000 0.639737 0.000000
2.252000 0.638964 0.000000
2.253000 0.638449 0.000000
2.254000 0.638130 0.000000
2.255000 0.637940 0.000000
2.256000 0.637808 0.000000
2.257000 0.637658 0.000000
2.258000 0.637417 0.000000
2.259000 0.637028 0.000000
2.260000 0.636469 0.000000
2.261000 0.635719 0.000000
2.262000 0.634757 0.000000
2.263000 0.633566 0.000000
2.264000 0.632126 0.000000
2.265000 0.630439 0.000000
2.266000 0.628533 0.000000
2.267000 0.626433 0.000000
2.268000 0.624150 0.000000
2.269000 0.621673 0.000000
2.270000 0.618990 0.000000
2.271000 0.616115 0.000000
2.272000 0.613091 0.000000
2.273000 0.609963 0.000000
2.274000 0.606758 0.000000
2.275000 0.603482 0.000000
2.276000 0.600142 0.000000
2.277000 0.596737 0.000000
2.278000 0.593258 0.000000
2.279000 0.589698 0.000000
2.280000 0.586056 0.000000
2.281000 0.582334 0.000000
2.282000 0.578532 0.000000
2.283000 0.574653 0.000000
2.284000 0.570689 0.000000
2.285000 0.566637 0.000000
2.286000 0.562515 0.000000
2.287000 0.558358 0.000000
2.288000 0.554204 0.000000
2.289000 0.550076 0.000000
2.290000 0.545997 0.000000
2.291000 0.541985 0.000000
2.292000 0.538062 0.000000
2.293000 0.534258 0.000000
2.294000 0.530598 0.000000
2.295000 0.527100 0.000000
2.296000 0.523779 0.000000
2.297000 0.520649 0.000000
2.298000 0.517724 0.000000
2.299000 0.515015 0.000000
2.300000 0.512538 0.000000
2.301000 0.510320 0.000000
2.302000 0.508394 0.000000
2.303000 0.506796 0.000000
2.304000 0.505568 0.000000
2.305000 0.504760 0.000000
2.306000 0.504422 0.000000
2.307000 0.504601 0.000000
2.308000 0.505346 0.000000
2.309000 0.506701 0.000000
2.310000 0.508659 0.000000
2.311000 0.511193 0.000000
2.312000 0.514264 0.000000
2.313000 0.517762 0.000000
2.314000 0.521547 0.000000
2.315000 0.525479 0.000000
2.316000 0.529422 0.000000
2.317000 0.533244 0.000000
2.318000 0.536813 0.000000
2.319000 0.539998 0.000000
2.320000 0.542668 0.000000
2.321000 0.544710 0.000000
2.322000 0.546090 0.000000
2.323000 0.546805 0.000000
2.324000 0.546857 0.000000
2.325000 0.546274 0.000000
2.326000 0.545094 0.000000
2.327000 0.543353 0.000000
2.328000 0.541088 0.000000
2.329000 0.538334 0.000000
2.330000 0.535133 0.000000
2.331000 0.531549 0.000000
2.332000 0.527648 0.000000
2.333000 0.523498 0.000000
2.334000 0.519136 0.000000
2.335000 0.514597 0.000000
2.336000 0.509918 0.000000
2.337000 0.505129 0.000000
2.338000 0.500262 0.000000
2.339000 0.495350 0.000000
2.340000 0.490441 0.000000
2.341000 0.485580 0.000000
2.342000 0.480816 0.000000
2.343000 0.476192 0.000000
2.344000 0.471752 0.000000
2.345000 0.467541 0.000000
2.346000 0.463617 0.000000
2.347000 0.460039 0.000000
2.348000 0.456861 0.000000
2.349000 0.454123 0.000000
2.350000 0.451857 0.000000
2.351000 0.450089 0.000000
2.352000 0.448810 0.000000
2.353000 0.448002 0.000000
2.354000 0.447637 0.000000
2.355000 0.447645 0.000000
2.356000 0.447944 0.000000
2.357000 0.448459 0.000000
2.358000 0.449151 0.000000
2.359000 0.449989 0.000000
2.360000 0.450936 0.000000
2.361000 0.451932 0.000000
2.362000 0.452913 0.000000
2.363000 0.453820 0.000000
2.364000 0.454616 0.000000
2.365000 0.455270 0.000000
2.366000 0.455764 0.000000
2.367000 0.456134 0.000000
2.368000 0.456427 0.000000
2.369000 0.456692 0.000000
2.370000 0.456965 0.000000
2.371000 0.457285 0.000000
2.372000 0.457687 0.000000
2.373000 0.458200 0.000000
2.374000 0.458853 0.000000
2.375000 0.459674 0.000000
2.376000 0.460686 0.000000
2.377000 0.461913 0.000000
2.378000 0.463372 0.000000
2.379000 0.465058 0.000000
2.380000 0.466962 0.000000
2.381000 0.469063 0.000000
2.382000 0.471307 0.000000
2.383000 0.473627 0.000000
2.384000 0.475962 0.000000
2.385000 0.478261 0.000000
2.386000 0.480476 0.000000
2.387000 0.482569 0.000000
2.388000 0.484543 0.000000
2.389000 0.486414 0.000000
2.390000 0.488196 0.000000
2.391000 0.489914 0.000000
2.392000 0.491597 0.000000
2.393000 0.493263 0.000000
2.394000 0.494907 0.000000
2.395000 0.496515 0.000000
2.396000 0.498070 0.000000
2.397000 0.499547 0.000000
2.398000 0.500915 0.000000
2.399000 0.502145 0.000000
2.400000 0.503207 0.000000
2.401000 0.504070 0.000000
2.402000 0.504714 0.000000
2.403000 0.505159 0.000000
2.404000 0.505436 0.000000
2.405000 0.505571 0.000000
2.406000 0.505587 0.000000
2.407000 0.505502 0.000000
2.408000 0.505322 0.000000
2.409000 0.505010 0.000000
2.410000 0.504515 0.000000
2.411000 0.503800 0.000000
2.412000 0.502875 0.000000
2.413000 0.501765 0.000000
2.414000 0.500487 0.000000
2.415000 0.499044 0.000000
2.416000 0.497435 0.000000
2.417000 0.495661 0.000000
2.418000 0.493741 0.000000
2.419000 0.491696 0.000000
2.420000 0.489553 0.000000
2.421000 0.487355 0.000000
2.422000 0.485147 0.000000
2.423000 0.482968 0.000000
2.424000 0.480818 0.000000
2.425000 0.478689 0.000000
2.426000 0.476580 0.000000
2.427000 0.474510 0.000000
2.428000 0.472503 0.000000
2.429000 0.470575 0.000000
2.430000 0.468721 0.000000
2.431000 0.466925 0.000000
2.432000 0.465172 0.000000
2.433000 0.463439 0.000000
2.434000 0.461702 0.000000
2.435000 0.459934 0.000000
2.436000 0.458096 0.000000
2.437000 0.456143 0.000000
2.438000 0.454035 0.000000
2.439000 0.451741 0.000000
2.440000 0.449236 0.000000
2.441000 0.446495 0.000000
2.442000 0.443500 0.000000
2.443000 0.440238 0.000000
2.444000 0.436688 0.000000
2.445000 0.432824 0.000000
2.446000 0.428615 0.000000
2.447000 0.424038 0.000000
2.448000 0.419103 0.000000
2.449000 0.413826 0.000000
2.450000 0.408231 0.000000
2.451000 0.402350 0.000000
2.452000 0.396221 0.000000
2.453000 0.389890 0.000000
2.454000 0.383427 0.000000
2.455000 0.376904 0.000000
2.456000 0.370400 0.000000
2.457000 0.363996 0.000000
2.458000 0.357770 0.000000
2.459000 0.351810 0.000000
2.460000 0.346228 0.000000
2.461000 0.341142 0.000000
2.462000 0.336644 0.000000
2.463000 0.332733 0.000000
2.464000 0.329383 0.000000
2.465000 0.326562 0.000000
2.466000 0.324216 0.000000
2.467000 0.322288 0.000000
2.468000 0.320719 0.000000
2.469000 0.319457 0.000000
2.470000 0.318449 0.000000
2.471000 0.317669 0.000000
2.472000 0.317202 0.000000
2.473000 0.317159 0.000000
2.474000 0.317632 0.000000
2.475000 0.318648 0.000000
2.476000 0.320215 0.000000
2.477000 0.322349 0.000000
2.478000 0.325097 0.000000
2.479000 0.328513 0.000000
2.480000 0.332670 0.000000
2.481000 0.337722 0.000000
2.482000 0.343847 0.000000
2.483000 0.351141 0.000000
2.484000 0.359402 0.000000
2.485000 0.368357 0.000000
2.486000 0.377735 0.000000
2.487000 0.387317 0.000000
2.488000 0.396895 0.000000
2.489000 0.406271 0.000000
2.490000 0.415285 0.000000
2.491000 0.423792 0.000000
2.492000 0.431615 0.000000
2.493000 0.438448 0.000000
2.494000 0.443961 0.000000
2.495000 0.447990 0.000000
2.496000 0.451055 0.000000
2.497000 0.453846 0.000000
2.498000 0.456916 0.000000
2.499000 0.460265 0.000000
2.500000 0.463751 0.000000
|
en
|
Subsets and Splits
No community queries yet
The top public SQL queries from the community will appear here once available.