[Federal Register Volume 85, Number 136 (Wednesday, July 15, 2020)]
[Rules and Regulations]
[Pages 42986-43039]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-14675]
[[Page 42985]]
Vol. 85
Wednesday,
No. 136
July 15, 2020
Part II
Department of Health and Human Services
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42 CFR Part 2
Confidentiality of Substance Use Disorder Patient Records; Final Rule
Federal Register / Vol. 85, No. 136 / Wednesday, July 15, 2020 /
Rules and Regulations
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of the Secretary
42 CFR Part 2
[SAMHSA-4162-20]
RIN 0930-AA32
Confidentiality of Substance Use Disorder Patient Records
AGENCY: Substance Abuse and Mental Health Services Administration
(SAMHSA), U.S. Department of Health and Human Services (HHS).
ACTION: Final rule.
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SUMMARY: This final rule makes changes to the Department of Health and
Human Services' (HHS) regulations governing the Confidentiality of
Substance Use Disorder Patient Records. These changes were prompted by
the need to continue aligning the regulations with advances in the U.S.
health care delivery system, while retaining important privacy
protections for individuals seeking treatment for substance use
disorders (SUDs). SAMHSA strives to facilitate information exchange for
safe and effective SUD care, while addressing the legitimate privacy
concerns of patients seeking treatment for a SUD. Within the
constraints of the authorizing statute, these changes are also an
effort to make the regulations more understandable and less burdensome.
DATES: This final rule is effective August 14, 2020.
FOR FURTHER INFORMATION CONTACT: Ms. Deepa Avula, (240) 276-2542.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Background
II. Summary of the Major Provisions
III. Overview of Public Comments
IV. Final Modifications to 42 CFR Part 2 and Discussion of Public
Comments
A. General Comments on the Proposed Rule
1. General Feedback on the Proposed Rule
a. General Support for the Proposed Rule
b. General Opposition for the Proposed Rule
c. General Request for Clarification and Guidance Related to
Part 2
2. General Comments on Realigning the Part 2 Rule to the HIPAA
Privacy Rule
B. Definitions (Sec. 2.11)
C. Applicability (Sec. 2.12)
D. Consent Requirements (Sec. 2.31)
E. Prohibition on Re-Disclosure (Sec. 2.32)
F. Disclosures Permitted With Written Consent (Sec. 2.33)
G. Disclosures To Prevent Multiple Enrollments (Sec. 2.34)
H. Disclosures to Prescription Drug Monitoring Programs (Sec.
2.36)
I. Medical Emergencies (Sec. 2.51)
J. Research (Sec. 2.52)
K. Audit and Evaluation (Sec. 2.53)
L. Orders Authorizing the Use of Undercover Agents and
Informants (Sec. 2.67)
V. Collection of Information Requirements
VI. Regulatory Impact Analysis
A. Statement of Need
B. Overall Impact
C. Alternatives Considered
D. Conclusion
Acronyms
ADAMHA Alcohol, Drug Abuse, and Mental Health Administration
CEHRT Certified Electronic Health Record Technology
CFR Code of Federal Regulations
DEA Drug Enforcement Agency
DOJ Department of Justice
DS4P Data Segmentation for Privacy
EHR Electronic Health Record
FAX Facsimile
FDA Food and Drug Administration
FEMA Federal Emergency Management Agency
FHIR Fast Healthcare Interoperability Resources
FR Federal Register
HHS Department of Health and Human Services
HIPAA Health Insurance Portability and Accountability Act of 1996
HIE Health Information Exchange
HIN Health Information Network
IHS Indian Health Service
MAT Medication-Assisted Treatment
NPRM Notice of Proposed Rulemaking
ONC Office of the National Coordinator for Health Information
Technology
OTP Opioid Treatment Program
OUD Opioid Use Disorder
PDMP Prescription Drug Monitoring Program
QIO Quality Improvement Organization
TPO Treatment, Payment, and Health Care Operations
SAMHSA Substance Abuse and Mental Health Services Administration
SNPRM Supplemental Notice of Proposed Rulemaking
SUD Substance Use Disorder
U.S.C. United States Code
I. Background
The Confidentiality of Substance Use Disorder Patient Records
regulations (42 CFR part 2) implement section 543 of the Public Health
Service Act, 42 U.S.C. 290dd-2. The regulations were originally issued
to ensure the confidentiality of patient records for the treatment of
substance use disorder, at a time when there was no broader privacy and
data security standard for protecting health care data. Under the
regulations, a ``substance use disorder'' is a defined term, which
refers to a cluster of cognitive, behavioral, and physiological
symptoms indicating that an individual continues using a substance,
despite significant substance-related problems such as impaired
control, social impairment, risky use, and pharmacological tolerance
and withdrawal. For the purposes of part 2, this definition does not
include tobacco or caffeine use.
The regulations were first promulgated as a final rule in 1975 (40
FR 27802) and amended thereafter in 1987 (52 FR 21796) and 1995 (60 FR
22296). On February 9, 2016, SAMHSA published a notice of proposed
rulemaking (NPRM) (81 FR 6988) (the ``2016 proposed rule''), inviting
comment on proposals to update the regulations, to reflect the
development of integrated health care models and the growing use of
electronic platforms to exchange patient information, as well as the
new laws and regulations implemented since 1975, that more broadly
protect patient data. At the same time, consistent with the authorizing
statute, we (note that throughout this final rule, ``we'' refers to
SAMHSA) wished to preserve the confidentiality protections that part 2
establishes for patient identifying information originating from
covered programs, because persons with SUDs may encounter significant
discrimination or experience other negative consequences if their
information is improperly disclosed.
In response to public comments, on January 18, 2017, SAMHSA
published a final rule (82 FR 6052) (the ``2017 final rule''),
providing for greater flexibility in disclosing patient identifying
information within the health care system, while continuing to protect
the confidentiality of SUD patient records. SAMHSA concurrently issued
a supplemental notice of proposed rulemaking (SNPRM) (82 FR 5485) (the
``2017 proposed rule'') to solicit public comment on additional
proposals. In response to public comments, SAMHSA subsequently
published a final rule on January 3, 2018 (83 FR 239) (the ``2018 final
rule'') that provided greater clarity regarding payment, health care
operations, and audit or evaluation-related disclosures, and provided
language for an abbreviated prohibition on re-disclosure notice.
In both the 2017 and 2018 final rules, SAMHSA signaled its intent
to continue to monitor implementation of 42 CFR part 2, and to explore
potential future rulemaking to better address the complexities of
health information technology, patient privacy, and interoperability,
within the constraints of the statute. The emergence of the opioid
crisis, with its catastrophic impact on individuals, families, and
caregivers, and corresponding clinical and safety challenges for
providers, has highlighted the need for thoughtful
[[Page 42987]]
updates to 42 CFR part 2. The laws and regulations governing the
confidentiality of substance abuse records were originally written out
of concern for the potential for misuse of those records against
patients in treatment for a SUD, thereby undermining trust and leading
individuals with SUDs not to seek treatment. As observed in the 1983
proposed rule, the purpose of 42 CFR part 2 is to ensure that patients
receiving treatment for a SUD in a part 2 program ``are not made more
vulnerable to investigation or prosecution because of their association
with a treatment program than they would be if they had not sought
treatment'' (48 FR 38763).
In recent years, the devastating consequences of the opioid crisis
have resulted in an unprecedented spike in overdose deaths related to
both prescription and illegal opioids including heroin and fentanyl,\1\
as well as correspondingly greater pressures on the SUD treatment
system, and heightened demand for SUD treatment services.\2\ On August
26, 2019, SAMHSA published a Notice of Proposed Rulemaking (NPRM) (84
FR 44568) that proposed changes to the part 2 regulations that SAMHSA
believed would better align with the needs of individuals with SUD and
of those who treat these patients in need, and help facilitate the
provision of well-coordinated care, while ensuring appropriate
confidentiality protection for persons in treatment through part 2
programs.
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\1\ Mortality statistics published by the Centers for Disease
Control and Prevention reflected a spike in the rate of opioid-
related overdose deaths during the period from 2013-2017. See
https://www.cdc.gov/mmwr/volumes/67/wr/mm675152e1.htm?s_cid=mm675152e1_w. More recent data from the State
Unintentional Drug Overdose Reporting System (SUDORS), showed that
opioid-involved overdose deaths in 25 states slightly decreased from
July-December 2017 to January-June 2018. However, even in that time
period, increases in illicitly-manufactured fentanyl overdose deaths
involving multiple drugs almost negated decreases in fentanyl analog
deaths and prescription opioid-involved overdose deaths. See https://www.cdc.gov/mmwr/volumes/68/wr/mm6834a2.htm).
\2\ With regard to heightened demand for, and pressures upon,
SUD treatment services in the opioid epidemic, see for example,
``HHS Acting Secretary Declares Public Health Emergency to Address
National Opioid Crisis,'' Department of Health and Human Services,
October 26, 2017 (at https://www.hhs.gov/about/news/2017/10/26/hhs-acting-secretary-declares-public-health-emergency-address-national-opioid-crisis.html); ``Today's Heroin Epidemic: More People at Risk,
More Drugs Abused,'' Centers for Disease Control and Prevention,
July 7, 2015 (at https://www.cdc.gov/vitalsigns/heroin/).
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SAMHSA requested public input of the proposed changes during a 60-
day public comment period.
After consideration of the public comments received in response to
the NPRM, SAMHSA is issuing this final rule substantially as proposed,
with one caveat. On March 27, 2020, President Trump signed the
Coronavirus Aid, Relief and Economic Security Act (``CARES Act'') into
law (Pub. L. 116-136). The CARES Act was enacted to provide emergency
assistance to individuals, families and businesses affected by the
COVID-19 pandemic; to support the U.S. health care system; and to make
emergency appropriations to the Executive Branch. Section 3221 of the
CARES Act, Confidentiality and Disclosure of Records Relating to
Substance Use Disorder, substantially amended several sections of the
part 2 authorizing statute; specifically, sections 42 U.S.C. 290dd-
2(b), (c) and (f), which specify requirements for patient consent,
restrict the use of records in legal proceedings, and set penalties for
violations of the statute, respectively.\3\ The CARES Act provides far
greater flexibility for patients and health care providers to share SUD
records than presently allowed under 42 U.S.C. 290dd-2. Most notably,
some sections in the new statute seek to align the part 2
confidentiality standards more closely with the Health Insurance
Portability and Accountability Act of 1996 (HIPAA). The CARES Act
requires HHS to update its regulations to implement these new statutory
changes; therefore, HHS intends to publish a new NPRM and subsequently
to issue a new final implementing rulemaking for the CARES Act in the
future. Because both Congress and SAMHSA have sought to address many of
the same barriers to information sharing by patients and among health
care providers, we expect that the CARES Act implementing regulations
will further modify several of the amendments adopted in this final
rule.
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\3\ Section 3221 of the CARES Act also added several new
provisions to the Part 2 authorizing statute, codified at 42 U.S.C.
290dd-2(i), (j), and (k), regarding antidiscrimination, notification
of breach and definitions, respectively.
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The statutory timeline in Sec. 3221 prevents the part 2-related
provisions of the CARES Act from taking effect before March 27, 2021.
In the interim, we believe that this final rule makes important changes
that can help safeguard the health and outcomes of individuals with
SUD, and specifically takes important first steps toward the greater
flexibility for information sharing envisioned by Congress in its
passage of Sec. 3221 of the CARES Act. Thus, several of the regulatory
amendments in this final rule will serve as interim and transitional
standards, until regulations conforming to the CARES Act legislation
can be promulgated.
II. Summary of the Major Provisions
Proposed modifications to 42 CFR part 2 were published as an NPRM
on August 26, 2019 (84 FR 44568). After consideration of the public
comments received in response to the NPRM, SAMHSA is issuing this final
rule as follows:
Definitions (Sec. 2.11) revises the definition of ``Records'' to
create an exception so that information conveyed orally by a part 2
program to a non-part 2 provider for treatment purposes with consent of
the patient does not become a record subject to part 2 regulations
merely because that part 2 information is reduced to writing by that
non-part 2 provider.
Applicability (Sec. 2.12) revises the regulatory text to state
that the recording of information about an SUD and its treatment by a
non-part 2 provider does not, by itself, render a medical record
subject to the restrictions of 42 CFR part 2, provided that the non-
part 2 provider segregates any specific SUD records received from a
part 2 program (either directly, or through another lawful holder).
Consent requirements (Sec. 2.31) revises consent requirements to
allow patients to consent to the disclosure of their information to a
wide range of entities without naming a specific individual to receive
this information on behalf of a given entity, and includes special
instructions applicable to consents for disclosure of information to
information exchanges and research institutions. The final rule
provides additional guidance, with regard to consent for disclosures
for the purpose of care coordination and case management.
Prohibition on redisclosure (Sec. 2.32) revises the prohibition on
redisclosure notices to clarify that non-part 2 providers do not need
to redact information in a non-part 2 record regarding SUD and allows
re-disclosure if expressly permitted by written consent of the patient
or permitted under part 2 regulations.
Disclosures permitted with written consent (Sec. 2.33) expressly
allows disclosure to specified entities and individuals for 18 types of
payment and health care operational activities, including the 17
proposed activities and the addition of disclosures for the purpose of
care coordination and case management.
Disclosures to prevent multiple enrollments (Sec. 2.34) revises
disclosure requirements to allow non-opioid
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treatment providers with a treating provider relationship to access
central registries.
Disclosures to Prescription Drug Monitoring Programs (Sec. 2.36)
creates new permissions to allow opioid treatment programs (OTPs) to
disclose dispensing and prescribing data, as required by applicable
state law, to prescription drug monitoring programs (PDMPs), subject to
patient consent.
Medical Emergencies (Sec. 2.51) authorizes disclosures of patient
information to another part 2 program or other SUD treatment provider
during State or Federally-declared natural and major disasters.
Research (Sec. 2.52) permits research disclosures of part 2
patient data by a HIPAA covered entity to individuals and organizations
who are neither HIPAA covered entities, nor subject to the Common Rule,
for the purpose of conducting scientific research. The revised Sec.
2.52 better aligns the requirements of part 2, the Common Rule, and the
Privacy Rule around the conduct of research on human subjects, and
seeks to streamline duplicative requirements for research disclosures
under part 2 and the Privacy Rule in some instances. This final rule
also revises Sec. 2.52 to permit research disclosures to recipients
who are covered by Food and Drug Administration (FDA) regulations for
the protection of human subjects in clinical investigations (at 21 CFR
parts 50 and 56).
Audit and evaluation (Sec. 2.53) clarifies that federal, state and
local governmental agencies and third-party payers may conduct audits
and evaluations to identify needed actions at the agency or payer level
to improve care; that audits and evaluations may include reviews of
appropriateness of medical care, medical necessity, and utilization of
services; and that auditors may include quality assurance organizations
as well as entities with direct administrative control over a part 2
program or lawful holder. Section 2.53 also updates language related to
quality improvement organizations (QIOs), and allows for patient
identifying information to be disclosed to federal, state, or local
government agencies, and to their contractors, subcontractors, and
legal representatives for audit and evaluations required by statute or
regulation.
Orders authorizing use of undercover agents and informants (Sec.
2.67) amends the period for court-ordered placement of an undercover
agent and informant within a part 2 program to 12 months and clarifies
that the 12-month time period starts when an undercover agent or
informant is placed in the part 2 program.
Use of Personal Devices and Accounts
This final rule preamble also provides guidance on how employees,
volunteers and trainees of part 2 facilities should handle
communications using personal devices and accounts, especially in
relation to Sec. 2.19 concerning disposition of records by
discontinued programs. In Sec. 2.11, the current regulation defines
``Records'' to include information relating to a patient that could
include email and texts. In Sec. 2.19, the regulation codifies the
requirements for disposition of records from a discontinued part 2
program. These requirements state that records which are electronic
must be ``sanitized'' within one year of the discontinuation of the
part 2 program. This sanitization must render the patient identifying
information non-retrievable in accordance with Sec. 2.16 (security for
records). Read together, current Sec. Sec. 2.11, 2.16, and 2.19 could
be interpreted to mean that, if an individual working in a part 2
program receives a text or email from a patient on his or her personal
phone which he or she does not use in the regular course of employment
in the part 2 program, and this part 2 program is discontinued, then
the personal device may need to be sanitized. Depending on the policies
and procedures of the part 2 program, this sanitization may render the
device no longer useable to that individual. SAMHSA clarifies that this
interpretation is not the intent of the regulations.
Although SAMHSA does not encourage patient communication through
personal email and cell phones, we recognize that patients may make
contact through the personal device or account of an employee (or
volunteer or trainee) of a part 2 program, even if the employee (or
volunteer or trainee) does not use such device or account in the
regular course of their employment in the part 2 program. In such
instances, SAMHSA wishes neither to convey that these devices become
part of the part 2 record, nor that, if the part 2 program is
discontinued, these devices must be sanitized. Instead, SAMHSA
clarifies that, in the case that patient contact is made through an
employee's (or volunteer's or trainee's) personal email or cell phone
account which he or she does not use in the regular course of business
for that part 2 program, the employee should immediately delete this
information from his or her personal account and only respond via an
authorized channel provided by the part 2 program, unless responding
directly from the employee's account is required in order to protect
the best interest of the patient.\4\ If the email or text contains
patient identifying information, the employee should forward this
information to such authorized channel and then delete the email or
text from any personal account. These authorized channels are then
subject to the normal standards of sanitization under Sec. Sec. 2.16
and 2.19 and any other applicable federal and state laws. SAMHSA
believes that this process will both protect the employee's personal
property and the confidentiality of the patient's records if the
patient makes such unauthorized contact.
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\4\ When the circumstances requiring a response from the
employee's account due to the best interest of the patient have
ended or otherwise permit, the messages should be forwarded to an
authorized channel (if containing patient identifying information)
and deleted.
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Following the proposed rule, SAMHSA received the following comments
on its guidance concerning how employees, volunteers and trainees of
part 2 facilities should handle communications using personal devices
and accounts.
Public Comments
Many commenters supported the clarification on sanitizing personal
devices. A few commenters noted that while this change will require
education and monitoring, the clarification is important and valuable
for part 2 programs to properly handle patient communication. Some
commenters also noted that this clarification reduces burden for
providers in rural areas where communication on authorized channels may
not always be available.
SAMHSA Response
We appreciate comments in support of this clarification.
Public Comments
Some commenters had additional questions regarding the use of
personal devices. One commenter requested guidance pertaining to the
sanitizing of any other devices synchronized (``synced'') to personal
accounts. A few commenters requested clarification as to whether
deleting content from a personal account contravenes any state record
retention requirements. One commenter requested clarification that this
guidance applies only to personal devices, not professional devices
from which EHRs are accessed. One commenter requested that
``incidental'' communication be defined more clearly. One commenter
suggested that the rise of personal devices and changing nature of
communication with patients may
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warrant greater consideration from SAMHSA in future rulemaking.
SAMHSA Response
We appreciate questions from commenters to further clarify the use
of personal devices. Providers should ensure that any patient
communication accessible from synced devices is deleted from each
device. Additionally, if a patient communication is contained solely on
a personal device, providers should ensure that the communication is
forwarded to and stored within an authorized channel prior to deleting
the communication from the personal device. Providers concerned about
state record retention requirements may include a note that the
information has been forwarded to and stored within an authorized
channel and deleted in compliance with 42 CFR part 2; however, this
rule does not preempt more restrictive state record retention
requirements Given that the definition of what constitutes incidental
communication varies for providers in different settings (e.g., rural),
we decline to further define the phrase at this time. We appreciate the
suggestion to further consider personal devices and will continue
monitoring the issue.
The other sections in 42 CFR part 2 that are not referenced above
are not addressed in this final rule nor were they discussed in the
NPRM because SAMHSA is maintaining their content substantively
unchanged from the 2017 and 2018 final rules.
III. Overview of Public Comments Received
SAMHSA received 684 public comment submissions on the proposed rule
from medical and behavioral health care providers; combined medical/
behavioral health care providers; third-party payers; privacy/consumer
advocates; medical health care provider associations; behavioral health
care provider associations; accrediting organizations; researchers;
individuals (with no stated affiliation); attorneys (with no stated
affiliation); health information technology (HIT) vendors; and state/
local governments. The comments ranged from general support or
opposition to the proposed provisions, to specific questions or
comments regarding the proposed rules.
Some comments were outside the scope of or inconsistent with
SAMHSA's legal authority regarding the confidentiality of SUD patient
records. Likewise, other comments did not pertain to specific proposals
made by SAMHSA in the NPRM. In some instances, commenters raised policy
or operational issues that are best addressed through sub-regulatory
guidance that SAMHSA will consider issuing subsequent to this final
rule. Consequently, SAMHSA did not address these comments in this final
rule.
IV. Final Modifications to 42 CFR Part 2 and Discussion of Public
Comments
In this section of the final rule, SAMHSA explains the finalized
revisions to the part 2 regulations and responds to public comments
received. If a 42 CFR part 2 section is not addressed below, it is
because SAMHSA did not propose changes to that part 2 provision and
this final rule maintains the existing language in that section.
A. General Comments on the Proposed Rule
1. General Feedback on the Proposed Rule
a. General Support for the Proposed Rule
Public Comments
Many commenters expressed general support for the proposed rule.
Among them, many believed that providers will be better able to offer a
fully integrated model of care as a result, thereby allowing SUD
services to be accessed more seamlessly, while increasing access to
critically-needed SUD treatment. Other commenters expressed general
support for the proposed rule because they saw it as protecting patient
privacy, while making electronic health information sharing less
burdensome and more efficient. Another set of commenters articulated
support for SAMHSA's efforts to balance privacy protections with
advances in the health care delivery system. Some commenters who
expressed broad support for the proposed rule also suggested that HHS
should carry out a comprehensive assessment of how well all the HHS
patient privacy rules are currently working. A few commenters who
expressed support for the proposed rule also expressed concern that it
might not be flexible enough to support the rapid pace of care
coordination that is needed to improve SUD patient care.
SAMHSA Response
SAMHSA appreciates the support for updating the part 2 regulations.
This final rule is intended to modernize part 2 by continuing to align
the regulations with advances in the U.S. health care delivery system.
In general, SAMHSA aims to facilitate information exchange for safe and
effective SUD care, while addressing the legitimate privacy concerns of
patients seeking treatment for a SUD. But in recent years, the
devastating consequences of the opioid crisis have resulted in an
unprecedented spike in overdose deaths related to both prescription and
illegal opioids, as well as correspondingly greater pressures on the
SUD treatment system, and heightened demand for SUD treatment services.
This final rule implements changes that SAMHSA believes will better
align the needs of individuals with SUD and of the providers who treat
them, thereby facilitating the coordination of care, while ensuring
appropriate confidentiality protection for patients. SAMHSA will
continue to monitor part 2 and its impact on both persons with SUD and
providers, and will likewise continue to consider opportunities for
further refinement of the rule in alignment with the provisions set
forth in the CARES Act.
b. General Opposition to the Proposed Rule
Public Comments
Many commenters opposed the proposed rule, either without stating a
specific reason, or else expressing that the proposed rule would
constitute an invasion of patient privacy generally, or of their own
personal privacy in particular. Many commenters opposed the rule on the
grounds that it would exacerbate the stigma of substance use disorder,
increase the potential for law enforcement access to patient records,
deter people from seeking SUD treatment, and/or result in harm to SUD
patients in several other ways, as through discrimination by health
insurers. A different group of commenters expressed a competing concern
about continuing administrative, financial and clinical barriers to
better SUD care, and more effective coordination of care, under the
proposed rule. Several of these commenters said that they believed the
barriers could continue to endanger the safety of patients.
SAMHSA Response
SAMHSA wants to ensure that persons with SUD will have access to
treatment services that include better coordination of care, and that
deliver better quality of care and enhanced patient safety, while
continuing to respect the legitimate privacy concerns of patients. The
current final rule is consistent with this aim, and with the intent of
the governing statute (42 U.S.C. 290dd-2) and regulations at 42 CFR
part 2, which is to facilitate entry into SUD care by protecting the
confidentiality of SUD patient records. SAMHSA believes that this final
rule reflects an appropriate balancing of interests
[[Page 42990]]
toward achieving these ends. SAMHSA does not believe that this final
rule will generally exacerbate stigma for persons with SUD, deter them
from seeking treatment, or lead to other broadly negative downstream
effects. SAMHSA will continue to consider opportunities for future
refinements to the part 2 regulations, consistent with the provisions
of the CARES Act.
c. General Request for Clarification and Guidance Related to Part 2
Public Comments
Several commenters broadly requested that SAMHSA provide
clarification and guidance, in connection with confusing language and
complexity in the proposed rule. Many other commenters said that
educational outreach and guidance should be targeted to providers, to
ensure that they understand the terms of the proposed rule.
SAMHSA Response
SAMHSA has provided further clarification through its responses to
public comments in several sections of the final rule. SAMHSA
recognizes the need for educational outreach both to persons with SUD
and to providers in connection with the final rule, and is considering
opportunities for further guidance and for carrying out related
educational outreach. SAMHSA will continue to monitor the response to
part 2 in the SUD treatment community, and will consider future
refinements and further clarification to the part 2 rules as needed.
2. General Comments on Realigning the Part 2 Rule to the HIPAA Privacy
Rule
Public Comments
Many commenters offered broad feedback that the privacy rules of 42
CFR part 2 are cumbersome and should be re-aligned with the HIPAA
privacy rule. The commenters asserted that doing so could strengthen
patient protections while allowing clinicians access to patient
information needed to ensure patient safety and provide quality care.
In a related vein, other commenters expressed support for legislation
already introduced in Congress, aimed at more fully aligning the
confidentiality standards of 42 CFR part 2 with the HIPAA privacy rule.
SAMHSA Response
SAMHSA noted the many comments that requested that SAMHSA align
part 2 provisions with HIPAA where possible. In some instances, SAMHSA
has attempted to do so in this final rule, to the extent that such
changes were permissible under 42 U.S.C. 290dd-2. At the same time,
part 2 and its governing statute are separate and distinct from HIPAA
and its implementing regulations. Because of its targeted population,
part 2 does establish more stringent federal protections than most
other health privacy laws, including HIPAA.
Consistent with general comments about alignment of this regulation
with HIPAA, SAMHSA has modified the definition of ``records'' (Sec.
2.11) and the applicability section (Sec. 2.12) to facilitate the
disclosure of records from part 2 programs to non-part 2 providers for
treatment purposes, while allowing the non-part 2 providers to engage
in their own clinical encounters and record-keeping without fear that
those activities will be subject to part 2. In addition, SAMHSA has
offered revised guidance concerning the part 2 consent requirements
(Sec. 2.31), in order to more explicitly allow patients to consent to
disclosure of their records for the purpose of care coordination. As
discussed below, SAMHSA is also modifying the regulatory text in Sec.
2.33(b), to include disclosures for the purpose of care coordination
and case management to the list of permitted activities. All these
revisions will have the effect of more closely aligning confidentiality
standards under part 2 with the HIPAA privacy rule.
As previously noted, on March 27, 2020, the President signed the
CARES Act into law, and Sec. 3221 of the CARES Act makes a significant
modification to the authorizing statute for part 2, with the aim of
realigning the part 2 rules more strongly with the HIPAA privacy rule.
HHS anticipates releasing a new proposed rule within the next 12 months
to implement Sec. 3221 of the CARES Act. In the meantime, several of
the regulatory amendments in this final rule will serve as transitional
standards, until regulations fully conforming to the CARES Act
legislation can be promulgated.
B. Definitions (Sec. 2.11)
SAMHSA is finalizing this section as proposed.
In the current regulation, ``Records'' is defined to mean ``any
information, whether recorded or not, created by, received, or acquired
by a part 2 program relating to a patient.'' In the 2017 final rule,
SAMHSA noted that some commenters expressed confusion regarding what is
considered unrecorded information (82 FR 6068); we, therefore, added
parenthetical examples in an effort to clarify. But with the exception
of these parenthetical examples, the basic definition for ``records''
under part 2 has remained the same since the 1987 final rule.
In section III.B. of the proposed rule [84 FR 44571] on
``Applicability'' (at Sec. 2.12), SAMHSA discussed a proposed change
to the restriction on disclosures under part 2, which would serve to
clarify some record-keeping activities of non-part 2 providers that
fall outside the scope of 42 CFR part 2. As explained in section
III.B., the change was needed to facilitate communication and
coordination between part 2 programs and non-part 2 providers, and to
ensure that appropriate communications were not hampered by fear among
non-part 2 providers of inadvertently violating part 2, as a result of
receiving and reading a protected SUD patient record and then providing
care to the patient.
SAMHSA proposed to make a conforming amendment to the Sec. 2.11
definition of ``records,'' [84 FR 44571] by adding, at the end of the
first sentence of the definition, the phrase, ``provided, however, that
information conveyed orally by a part 2 program to a non-part 2
provider for treatment purposes with the consent of the patient does
not become a record subject to this part in the possession of the non-
part 2 provider merely because that information is reduced to writing
by that non-part 2 provider. Records otherwise transmitted by a part 2
program to a non-part 2 provider retain their characteristic as a
``record'' subject to this part in the possession of the non-part 2
provider, but may be segregated by that provider.''
The effect of the proposed amendment was to incorporate a very
limited exception to the definition of ``records,'' such that a non-
part 2 provider who orally receives information from a protected SUD
record from a part 2 program may subsequently engage in an independent
conversation with her patient, informed by her discussion with the part
2 provider, and record SUD information received from the part 2 program
or the patient, without fear that her own records thereafter would
become covered by part 2. The intent of this change was to better
facilitate coordination of care between non-part 2 providers and part 2
programs, and to resolve lingering confusion among non-part 2 providers
about when and how they can capture SUD patient care information in
their own records, without fear of those records being subject to the
confidentiality requirements of part 2.
The comments we received on the proposed amendments to Sec. 2.11,
and our responses, are provided below.
[[Page 42991]]
Public Comments
Many commenters supported the proposed change to the definition of
records, saying that it would provide clarification as to which records
are subject to part 2 protections; enable providers to take account of
the entirety of a patient's health needs when determining a treatment
plan; improve care coordination, especially among those with multiple
medical concerns; better integrate primary and behavioral care for SUD
patients; enhance patient safety; and potentially incentivize
clinicians to treat patients with SUD. One commenter said the proposed
definition of a record may be the most beneficial proposal in the rule,
and noted that SAMHSA retains in its proposals the necessary
protections against redisclosure by downstream recipients of part 2
records absent explicit patient consent. Another commenter expressed a
desire to have more flexibility for care coordination across their
delivery system for SUD patients, and observed that any changes to the
definition of records requires balancing the need for increased
protection for SUD treatment information with the need for access to
care coordination.
SAMHSA Response
We thank the commenters for their support and reflections.
Public Comments
Several commenters supported the proposal but asked that SAMHSA
expand the proposal beyond information conveyed orally to cover other
forms of communications, including secure clinical messages (such as a
secure web portal), which are common ways for providers to share
information. One commenter said it would be confusing to allow orally
communicated information to be covered under HIPAA while the same
information conveyed via text would retain part 2 requirements. Other
commenters said that imparting the oral requirement fails to appreciate
workflow; that secure messaging is just as critical for patient safety;
and that if information is received through electronic means, such as a
Health Information Exchange, it should not become a record subject to
part 2 if the non-part 2 provider includes it in his/her record.
A few commenters recommended that SAMHSA remove the word ``orally''
altogether from the proposed definition of records, to enable non-part
2 providers to document critical information received from a program
regardless of the manner and mode in which it is provided. A few
commenters suggested that non-part 2 providers should be allowed to
document information such as medications if that information
constitutes redisclosure with other providers for treatment purposes,
without penalty hinging on whether the information is conveyed orally
or by other means.
Others encouraged SAMHSA to provide greater emphasis on the ways
that health information can be shared, used, and disclosed for the
benefit of individuals' treatment, payment processes, and health care
operations, and to further align definitions in the future such that
part 2 providers could share pertinent information with non-part 2
providers.
SAMHSA Response
Although the change to the definition of ``records'' under Sec.
2.11 applies to information disclosed orally by a part 2 program to a
non-part-2 provider, this change will not create a disconnect under
part 2 with regard to how other forms of communication by a part 2
program are treated. More specifically, the changes in Sec. 2.12 of
the rule on ``Applicability'' establish that records containing SUD
information about a patient created by a non-part 2 provider will not
be covered by part 2, unless any SUD record previously received from a
part 2 program is incorporated into such records. Under Sec. 2.12,
segregation of the received record can be used by non-part 2 providers
to ensure that their own created patient records can be distinguished
from the received record, and thus will not become covered by part 2.
Taken together, the effect of the revisions to Sec. Sec. 2.11 and
2.12 is to cause both oral and non-oral communications made by a part 2
program to a non-part 2 provider to be treated in the same way under
the regulations. In each instance, the intent is to allow the part 2
program to make a disclosure, with the patient's consent, to the
recipient non-part 2 provider. In turn, the non-part 2 provider can
then carry out her own encounter with the patient, and create her own
patient record, which will not fall under the coverage of part 2.
Again, segregation of any received SUD record may be used by a non-part
2 provider to ensure that her own created records can be distinguished,
and will therefore not become subject to part 2.
SAMHSA recognizes the importance of secure messaging and other
forms of electronic communication and record-keeping in SUD care.
SAMHSA nevertheless believes that the current revisions to Sec. Sec.
2.11 and 2.12 offer an appropriate fix for allowing a limited transfer
of information between part 2 programs and non-part 2 providers,
subject to patient consent, in order to facilitate better coordination
of care. SAMHSA will continue to consider opportunities for further re-
alignment of part 2 requirements for the disclosure of SUD records for
treatment, payment and health care operations in the future, to the
extent permissible under the part 2 enabling statute, and in alignment
with the provisions of Sec. 3221 of the CARES Act.
Public Comments
One commenter requested that SAMHSA revise the definition of
records to allow for oral communication between relevant entities
without obtaining patient consent. The commenter said that requiring
the consent of the patient in this instance is contrary to the stated
intent of facilitating care coordination, and that SAMHSA should
clarify that conversations between part 2 providers, non-part 2
providers and other appropriate third parties, including managed care
organizations, should not require patient consent if undertaken for the
purpose of treatment, payment or health operations, including care
coordination and case management. Another commenter recommended
exempting information about medications and laboratory results from the
definition of ``records,'' thereby making it possible for a part 2
program to disclose such information without patient consent. That
commenter asserted that such an exemption would help to enable a
patient's [non-part 2] treatment providers to monitor for abuse,
medication-seeking behavior, drug interactions, and possible diversion.
SAMHSA Response
SAMHSA believes that the current revisions to Sec. Sec. 2.11 and
2.12 offer an appropriate fix for allowing a limited transfer of
information between part 2 programs and non-part 2 providers, subject
to patient consent, in order to facilitate better coordination of care.
Other forms of communication between lawful holders of part 2 records
are also permitted under the part 2 regulations with patient consent,
consistent with the enabling statute. The revisions to Sec. Sec. 2.11
and 2.12 reflect a balance of interests between ensuring robust privacy
protection for part 2 program treatment records, while also pursuing
patient safety, reduction of adverse events, and better coordination of
care for persons with SUD. As discussed below, SAMHSA is also modifying
the
[[Page 42992]]
regulatory text in Sec. 2.33(b), to include disclosures for the
purpose of care coordination and case management to the list of
permitted activities. SAMHSA will continue to consider opportunities
for further re-alignment of part 2 requirements for the disclosure of
SUD records for treatment, payment and health care operations in the
future, to the extent permissible under the part 2 enabling statute and
in alignment with Sec. 3221 of the CARES Act.
Public Comments
One commenter urged SAMHSA to further update the definitions of
part 2 to make it clear that entities that are not directly delivering
SUD treatment services, such as health plans and insurers, are
explicitly not part 2 programs and are not non-part 2 providers. The
commenter believes that making this concept more explicit would clarify
confusion as to whether records created by health plans and insurers,
independent of information disclosed to the health plan or insurer by a
part 2 provider, are subject to part 2.
SAMHSA Response
SAMHSA appreciates this comment. Although outside the scope of the
current rulemaking, SAMHSA will consider further clarifications to the
definition of ``part 2 program'' in the future.
Public Comments
A few commenters expressed concern that the proposed revision to
Sec. 2.11 may create an-over-reliance upon oral communication and
transcription, which they believe is inherently less accurate than
electronic sharing of records; may further fragment patient records;
and may encourage providers to avoid using electronic health records,
especially for certain SUD information. Another commenter stated that
the proposed exception for oral communications will prove difficult for
part 2 programs and treating providers. The commenter said that
compliance, privacy, and legal advisors will be hesitant to permit part
2 program staff to communicate with other health care providers orally
due to concerns about misunderstandings or inaccurate transcriptions of
oral communications, especially if there is no written record. Several
commenters encouraged SAMHSA to recognize the need for accurate,
complete, and efficient electronic exchange of information, such as
through the new interoperable electronic health records that CMS and
ONC seek to promote with their recent rulemaking, and move away from
paper charts and manual faxing.
SAMHSA Response
Although the change to the definition of ``records'' under Sec.
2.11 applies to information communicated orally by a part 2 program to
a non-part-2 provider, this change will not result in a disconnect
under part 2 with regard to how other forms of disclosure by a part 2
program are treated. Rather than creating a new reliance on oral
communications over other methods of sharing records, SAMHSA believes
that the change in Sec. Sec. 2.11 and 2.12 will have the opposite
effect, by making it more clear how a non-part-2 provider can receive
and segregate an electronic or paper record from a part 2 program,
without incurring the risk that any subsequent patient records directly
created by the recipient provider will then become covered by part 2.
For example, in the context of receiving an electronic part 2 record,
such as a summary of care document, shared between interoperable EHR
systems that meet DS4P standards, ``segregation'' might be carried out
by segmenting the received SUD record so as to preserve the recipient's
ability not to disclose it based on the sensitivity of its content.
SAMHSA has been collaborating with both ONC and CMS in connection with
their rulemaking efforts on the interoperability of electronic
healthcare records, to ensure that health IT policies consider the
impacts for part 2 providers and vice versa.
Public Comments
One commenter recommended that SAMHSA devote resources toward
ensuring that patients understand the implications of the new policy.
The commenter stated that when a patient consents to the release of a
part 2 record to a non-part 2 provider, he or she must understand that
they are not simply consenting to use of the information for a one-time
conversation with the non-part 2 provider, but rather they are
consenting to the information potentially becoming a part of his or her
main medical record. The commenter believes that both the part 2
provider and the non-part 2 provider should make this clear, or else it
could have a significant chilling effect on patients seeking SUD
treatment, as those patients may believe that their right to
confidentiality has been removed.
SAMHSA Response
SAMHSA appreciates this comment. We are considering opportunities
for further guidance and patient and provider education, in connection
with the new part 2 rule.
Public Comments
Several commenters opposed the changes proposed in the revised
Sec. 2.11. Some commenters explicitly opposed excluding from the
definition of ``records'' any oral communication from a part 2 program
that is received and later reduced to writing by a non-part 2 provider.
These commenters said the ability to transmit SUD information orally
would circumvent part 2, because the information would thereby lose its
protection, and that patients who consent to sharing their records with
a non-part 2 provider will not understand that information shared
orally is not protected by part 2 in the recipient provider's records.
SAMHSA Response
Although the change to the definition of ``records'' under Sec.
2.11 does apply to information communicated orally by a part 2 program
to a non-part-2 provider, this change will serve to clarify, rather
than to modify, the application of part 2 to patient records created by
downstream non-part 2 providers. Neither the enabling statute, nor
older versions of the part 2 regulations going back to 1987, ever
intended the outcome that an oral communication made by a part 2
program to a non-part 2 provider, subject to patient consent, would
make all subsequent clinical recordkeeping by the non-part 2 provider
subject to the requirements of part 2.
The revisions to Sec. Sec. 2.11 and 2.12 will help to clarify the
longstanding balance of interests that part 2 requires, ensuring robust
privacy protection for part 2 program treatment records, while also
promoting patient safety, reduction of adverse events, and effective
coordination of care for persons with SUD. Meanwhile, SAMHSA does
acknowledge the importance of making sure that patients understand the
contours of their part 2 privacy rights under the revised rule. Again,
we are considering opportunities for further guidance and patient and
provider education, in connection with the new part 2 rule, as well as
in connection with other applicable laws, such as Jessie's Law, which
was enacted as section 7051 of the Substance Use-Disorder Prevention
that Promotes Opioid Recovery and Treatment for Patients and
Communities Act (SUPPORT Act) (Pub. L. 115-271). Jessie's Law calls for
best practice development and dissemination around the display of an
opioid use disorder diagnosis in health care records.
[[Page 42993]]
Public Comments
A few commenters said the proposed changes would allow sensitive
information about a patient's substance use diagnosis or treatment that
is included the general medical record to be shared much more broadly,
putting the patient at greater risk of legal prosecution and
discrimination. Commenters noted that while HIPAA may still protect the
information, it permits much greater access to patient records by law
enforcement, insurance companies, entities performing healthcare
operations and courts. One commenter said that HIPAA is not
sufficiently protective of health condition information that may be
highly stigmatized or criminalized. Another said that patients must be
able to access care for a SUD without fear of their highly sensitive
information being transferred into HIPAA records that offer less
protections. A few commenters said the changes will discourage people
from seeking help or staying in treatment, including individuals living
in areas that are already heavily policed. One commenter said that if
any program or activity related to SUD knows that oral communications
are no longer considered ``records'', then actions encompassing the
identity, diagnosis, prognosis or treatment of any patient acquired in
connection with the performance of that activity will be compromised,
which runs counter to SAMHSA's claim of wanting to promote better
quality of care for patients.
SAMHSA Response
SAMHSA believes that the revisions to Sec. Sec. 2.11 and 2.12
offer an appropriate transitional fix for allowing a limited transfer
of information between part 2 programs and non-part 2 providers,
subject to patient consent, in order to facilitate better coordination
of care. The revised provisions continue to require patient consent,
even with oral communications. SAMHSA does not believe that this rule
will create the downstream effects of substantially increased
discrimination and stigma, nor of substantially decreased patient
willingness to enter treatment.
Public Comments
A few commenters said the change to the definition of ``records''
under Sec. 2.11 would be confusing to patients and providers,
including one commenter who found the distinction between receiving an
oral disclosure versus a disclosure of paper or electronic records
unclear. The commenter noted that all of the part 2 protections cease
to apply once a patient begins sharing information through a patient
portal with a non-part 2 provider, since part 2 only applies to part 2
programs.
Several commenters said the proposed change would cause confusion
for patients and providers in non-part 2 settings, by requiring
different privacy standards for information disclosed orally versus in
writing, different layers of protection for the same information, and a
process to reconcile written records and oral communications in the
receiving provider's system. Another commenter questioned how EHRs will
distinguish among information received verbally, information received
electronically and scanned, and information received in writing and
then rewritten into the chart, which would presumably still enjoy part
2 protection.
SAMHSA Response
As discussed above, although the change to the definition of
``records'' under Sec. 2.11 applies to oral disclosures made by a part
2 program to a non-part-2 provider, this change will not create a
disconnect under part 2 with regard to how other forms of disclosure
are treated. Notably, there is no requirement for a recipient, non-part
2 provider to reconcile a received oral disclosure with her own written
records. More broadly, the revised Sec. Sec. 2.11 and 2.12 create no
new requirements for the use of EHRs, and no new risks for non-part 2
providers who are already using EHRs in the care of patients with SUDs.
Rather, Sec. Sec. 2.11 and 2.12 together make it clear that non-part 2
providers can create their own patient records, including SUD
information, without that activity becoming subject to part 2. Any
records previously received from a part 2 program may be segregated, in
order to distinguish them from the independent recordkeeping activity
of the non-part-2 provider recipient based on her own clinical
encounters. And these basic parameters apply equally, regardless of
what technology the non-part 2 provider is using to keep his or her own
records. SAMHSA does note that using an EHR that supports data tagging
and segmentation for privacy and consent management is one path by
which a non-part 2 provider could comply with the final rule,
particularly with regard to a received electronic record.
In order to address any confusion in the patient and provider
communities, SAMHSA is considering opportunities for guidance and
educational outreach, in connection with Sec. Sec. 2.11 and 2.12
specifically, and the new part 2 rule more broadly.
Public Comments
One commenter asked if a patient must give written consent to
``verbal'' disclosure as well as to ``written or electronic''
disclosures, and if they could do so by checking distinct boxes.
SAMHSA Response
In general, the part 2 requirements for patient consent to a
disclosure of his SUD treatment record by a part 2 program or lawful
holder apply regardless of the medium by which any such disclosure is
made. Under revisions in this final rule, a patient still must provide
written consent in order for a part 2 program to orally share his or
her part 2 information with a non-part 2 provider, unless an exception
provided for under this Part applies.
Public Comments
One commenter asked for clarification on the difference between the
terms, ``record,'' ``part 2 record,'' and ``part 2-covered record.''
The commenter said these terms are not defined. Likewise, another
commenter said confusion remains about what constitutes a part 2 record
and recommended that SAMHSA engage with stakeholders to inform future
guidance that clarifies ambiguity.
SAMHSA Response
SAMHSA appreciates these comments. Although the term ``records'' is
defined under Sec. 2.11, the expressions ``part 2 record'' and ``part
2-covered record'' are not defined in the regulation. Broadly speaking,
``part 2 record'' and ``part-2 covered record'' both refer to an SUD
patient record which is subject to the requirements of part 2, by
virtue of originating from a part 2 program. In order to address any
confusion in the patient and provider communities, SAMHSA is
considering guidance and opportunities for educational outreach, in
connection with Sec. Sec. 2.11 and 2.12 specifically and the new part
2 rule more broadly.
Public Comments
One commenter said it was not clear whether certain facilities,
like health centers, would benefit from the changes in Sec. Sec. 2.11
and 2.12.
SAMHSA Response
SAMHSA appreciates this comment. SAMHSA will monitor the
implementation of revised Sec. Sec. 2.11 and 2.12 in the field, and
will consider further guidance on the impact of the revisions to
Sec. Sec. 2.11 and 2.12, including with regard to disclosures by part
2 programs made to non-part 2 health centers.
[[Page 42994]]
Public Comments
One commenter appreciated the attempt to bring 42 CFR part 2 into
alignment with other privacy rules but said there is still more work to
be done to align with HIPAA and across agencies. The commenter said a
paper-based workflow point of view is outdated and runs counter to
burden-reduction efforts.
SAMHSA Response
SAMHSA appreciates these comments. SAMHSA will consider further
revisions to the part 2 regulations in the future, particularly to
implement Sec. 3221 of the CARES Act. Several of the related CARES Act
provisions will likely have the effect of more strongly aligning part 2
confidentiality standards with the HIPAA privacy rule.
Public Comments
A few commenters said that despite SAMHSA's statement that it does
not intend to permit wholesale transcription of the patient's part 2
records into the primary care record, the proposed change may lead to
that outcome, especially given the availability of text-to-speech
technology applications. One commenter said SAMHSA had provided no
parameters on what is permissible beyond the term ``clinical purpose,''
which could result in inappropriate and broad sharing of extensive and
potentially damaging information, exposing SUD patients to legal
prosecution and discrimination. Another commenter said that if SAMHSA
finalizes the proposed amendment to Sec. 2.11, it should include
limits on the quantity of information to be transcribed, a clear
prohibition on the use of text-to-speech technology for the purposes of
this provision, and a requirement that the primary care practitioner
counsel the patient on the privacy implications of consenting to such a
disclosure, including the ways that HIPAA is less protective of patient
privacy than part 2 or applicable state privacy laws.
One commenter applauded SAMHSA's inclusion of language in the
preamble addressing the possibility that a non-part 2 provider might
transcribe extensively from a part 2 record without having a clinical
purpose for doing so and the agency's explicit statement that this is
not the intent of the proposal. The commenter urged SAMHSA to
incorporate this concept into regulatory text so that non-part 2
providers and other lawful holders are on notice that the intent behind
SAMHSA's revised definition of ``records'' is to facilitate a treatment
discussion between a non-part 2 provider and a patient and not a
loophole to circumvent patient privacy and consent. The commenter urged
that both Sec. Sec. 2.11 and 2.12 reference this principle, and asked
that Sec. 2.11 specifically note that oral communications from part 2
providers to payers or other third parties are not to be used as the
basis of the creation of separate record streams for patients. The
commenter also said that SAMHSA should make clear in regulations that
its intent behind the revisions to Sec. Sec. 2.11 and 2.12 is to
promote a clinical purpose, such as to allow a treatment note based on
a direct clinical encounter with the patient. Short of this
clarification, the commenter said SAMHSA should not revise the
definition of records to exclude oral communications.
Another commenter suggested that SAMHSA provide sub-regulatory
guidance and narrative examples that illustrate acceptable practices
regarding the extent of transcription and/or documentation permitted
from this change.
SAMHSA Response
As we explained above, the effect of the revision in Sec. 2.11 is
to incorporate a very limited exception to the definition of
``records,'' such that a non-part 2 provider who orally receives a
protected SUD information from a part 2 program may subsequently engage
in an independent conversation with her patient, informed by her
discussion with the part 2 provider, and record SUD information
received from the part 2 program or the patient, without fear that her
own records for that patient thereafter would become covered by part 2.
This provision will not immunize the misconduct of a non-part 2
provider who engages in the wholesale transcription of a received SUD
patient record, without her own direct patient encounter and without
clinical purpose.
SAMHSA will consider issuing future guidance on acceptable
practices regarding the extent of transcription and/or documentation
permitted under Sec. Sec. 2.11 and 2.12 if we find it is necessary.
Public Comments
One commenter said the proposed revisions to the definition of
``records'' and ``applicability'' are vague and do not provide any
meaningful or clear guidance on what can be added to a medical record
without triggering the requirements of 42 CFR part 2. Another commenter
asked for clarification as to whether part 2 redisclosure limitations
apply when a treating non-part 2 provider reviews the part 2 program
record, transcribes information from that record which has been validly
shared pursuant to patient consent, and then inserts it into his or her
own treatment record. The commenter asked SAMHSA to confirm that doing
so would avoid application of part 2 to the treating provider's record
and to broaden the exception to permit portions, summaries, or other
extractions from the record to be redisclosed without consent.
SAMHSA Response
As discussed above, the preamble and revisions to Sec. Sec. 2.11
and 2.12 speak with specificity to the circumstances in which a non-
part 2 provider can receive and hold a treatment record from a part 2
program, while nevertheless being able to create her own patient
records without fear that these will become covered by part 2. Taken
together, the effect of the revisions to Sec. Sec. 2.11 and 2.12 is to
allow a part 2 program to make a disclosure, with the patient's
consent, to the recipient non-part 2 provider. In turn, the non-part 2
provider can then carry out her own encounter with the patient, and
create her own patient record, which will not fall under the coverage
of part 2. Again, segregation of any received SUD record may be used by
a non-part 2 provider to ensure that her own created records can be
distinguished and will therefore not become subject to part 2.
Consistent with the foregoing explanation, SAMHSA believes that the
revised Sec. Sec. 2.11 and 2.12 strike the appropriate balance in
describing how part 2 will apply in these situations.
Public Comments
One commenter asked whether patient SUD treatment information
obtained and then recorded by a part 2 program from a non-part 2
provider could be exempt or outside the definition for a part 2 record.
SAMHSA Response
No, that information would still receive part 2 protection. There
is nothing in the final rule that modifies the basic definition of
``records'' under Sec. 2.11, as this applies to a part 2 program.
Section 2.11 states, in pertinent part, that ``Records means any
information, whether recorded or not, created by, received, or acquired
by a part 2 program relating to a patient.''
C. Applicability (Sec. 2.12)
SAMHSA is finalizing this section as proposed.
[[Page 42995]]
In the 1987 final rule, SAMHSA broadly established that the
restrictions on disclosure under 42 CFR part 2 would apply to any
alcohol and drug abuse information obtained by a federally assisted
alcohol or drug abuse program. As explained in 1987, by limiting the
applicability of 42 CFR part 2 to specialized programs--that is, to
those programs that hold themselves out as providing and which actually
provide alcohol or drug abuse diagnosis, treatment, and referral for
treatment--the aim was to simplify the administration of the
regulations, but without significantly affecting the incentive to seek
treatment provided by the confidentiality protections. Limiting the
applicability of 42 CFR part 2 to specialized programs was intended to
lessen the adverse economic impact of the regulations on a substantial
number of facilities which provide SUD care only as incident to the
provision of general medical care. The exclusion of hospital emergency
departments and general medical or surgical wards from coverage was not
seen as a significant deterrent to patients seeking assistance for
alcohol and drug abuse. SAMHSA's experience in the more than 30 years
since 1987 has been consistent with this expectation.
The 2017 final rule elaborated on this policy, by establishing that
the disclosure restrictions on SUD patient records would extend to
individuals or entities who receive such records either from a part 2
program or from another lawful holder. See 42 CFR 2.12(d)(2)(i)(C). As
explained in the 2017 final rule, a ``lawful holder'' of patient
identifying information is an individual or entity who has received
such information as the result of a part 2-compliant patient consent,
or as a result of one of the exceptions to the consent requirements in
the statute or implementing regulations (82 FR 6068). Thus, the effect
of the 2017 rule was to expand the scope of application for part 2
confidentiality, by ensuring that records initially created by a part 2
program would remain protected under 42 CFR part 2 throughout a chain
of subsequent re-disclosures, even into the hands of a downstream
recipient not itself a part 2 program. The reason for the 2017 change
was, once again, to avoid any deterrent effect on patients seeking
specialized SUD care through part 2 treatment programs, by virtue of
the patient records from those programs losing their part 2
confidentiality protection following a disclosure downstream to other
``lawful holder'' recipients of those records (81 FR 6997).
Although that policy was established in the 2017 final rule,
specifically in Sec. 2.12(d)(2)(i)(C), there remains some confusion
within the provider community about what information collected by non-
part 2 entities is (or is not) covered by the part 2 restrictions on
re-disclosure. When SAMHSA expanded the reach of the Applicability
provision in 2017, the intent was not to change the policy established
in the 1987 rulemaking, nor to make the records of non-part 2 entities
(such as some primary care providers) directly subject to 42 CFR part
2, simply because information about SUD status and treatment might be
included in those records. Rather, the intent underlying the 2017
provision was to clarify the applicability of 42 CFR part 2 in a
targeted manner, so that records initially created under the protection
of part 2 would continue to be protected following disclosure to
downstream recipients. In doing so, SAMHSA sought to encourage
individuals to enter into SUD treatment through part 2 programs, by
strengthening the confidentiality protection for records that originate
from those programs. Implicit in SAMHSA rulemaking since 1987 has been
the pursuit of a balance of policy interests: On the one hand,
consistent with the Congressionally stated purpose of the drug abuse
confidentiality statute, to encourage entry into SUD treatment by
ensuring that the records of treatment through a part 2 program would
not be publicly disclosed, and on the other hand, to reduce the adverse
impact of part 2 burdens on general medical care providers and
facilities and on patient care.
In the wake of the nation's opioid epidemic and continuing trends
related to alcohol use disorder and cannabis use disorder, it has
become increasingly important for primary care providers and general
medical facilities not covered by 42 CFR part 2 to be able to carry out
treatment and health care operations that sometimes involve creating
new records that mention SUD status and care. Such records and
activities are not covered by 42 CFR part 2. However, coordination of
care between part 2 programs and non-part 2 providers would involve the
disclosure of SUD records and information by the former to the latter.
Under the current 42 CFR part 2 regulation, such disclosures of records
by a part 2 program to a non-part 2 provider do not render all
subsequent records on SUD caretaking activity undertaken by the non-
part 2 provider subject to the part 2 regulation. For example, when a
non-part 2 provider is directly treating her own patient, and creates a
record based on her own patient contact that includes SUD information,
then that record is not covered by part 2.
Nevertheless, SAMHSA recognizes that there may be significant
confusion or misunderstanding as to the applicability of part 2 rules
to non-part 2 providers. This results in increased burden on non-part 2
providers, and the potential for impaired coordination of care for
patients, which could be life threatening, for example, if an affected
patient has an opioid use disorder. Although the existing text of 42
CFR 2.12 (d)(2)(i)(C) on Applicability does not compel these results,
SAMHSA's experience in recent years has demonstrated the need for
clearer regulatory language, to better delineate the records of non-
part 2 entities which are not covered by the 42 CFR part 2 rules.
Based on the above considerations, SAMHSA proposed to add a new
Sec. 2.12(d)(2)(ii), to better clarify that a non-part 2 treating
provider's act of recording information about a SUD and its treatment
would not make that record subject to 42 CFR part 2. SUD records
received by that non-part 2 entity from a part 2 program are subject to
part 2 restrictions on redisclosure of part 2 information by lawful
holders, including redisclosures by non-part 2 providers. However, the
records created by the non-part 2 provider in its direct patient
encounter(s) would not be subject to part 2, unless the records
received from the part 2 program are incorporated into such records.
Segregation or segmentation of any part 2 records previously received
from a part 2 program can be used to ensure that new records (e.g., a
treatment note based on a direct clinical encounter with the patient)
created by non-part 2 providers during their own patient encounters
would not become subject to the part 2 rules.
SAMHSA believed that this addition will further clarify the 2017
revisions, by affirming that the independent record-keeping activities
of non-part 2-covered entities remain outside the coverage of 42 CFR
part 2, despite such providers' (segregated) possession, as lawful
holders, of part 2-covered records. The part 2 disclosure restrictions
only apply to SUD patient records originating with part 2 providers.
Such part 2 originating records are subject to the part 2 limitations
on use and disclosure as they move through the hands of other ``lawful
holders'' and part 2 programs. Even where part 2 does not apply to a
patient record created by a non-part 2 provider following a direct
patient encounter, that record will nevertheless be subject to the
HIPAA Privacy Rule.
[[Page 42996]]
One means by which non-part 2 treating providers could benefit from
the above proposal would be through the segregated storage of part 2-
covered SUD records received from a part 2 program or other lawful
holder. In the context of a paper record received from a part 2
program, the proposed requirement could be met by the ``segregation''
or ``holding apart'' of these records; in the context of electronic
records from a part 2 program, the proposed requirement could be met by
logical ``segmentation'' of the record in the electronic health record
(EHR) system in which it is held. As under the current rule, when a
non-part 2 entity receives a protected SUD record from a part 2 program
or other lawful holder, the received record is subject to the
heightened confidentiality requirements under part 2. ``Segregating''
the received record, whether by segmenting it or otherwise labeling or
holding it apart, would allow the recipient entity to identify and keep
track of a record that requires heightened protection.
Under both the proposed and the current text of part 2, the lawful
holder recipient entity remains subject to part 2 re-disclosure
restrictions with regard to the part 2 record, whether or not the
recipient entity is able to segregate it. But ``segregating'' allows
the recipient entity both to keep track of the part 2 records, and
readily distinguish them from all the other patient records that the
entity holds which are not subject to part 2 protection. As mentioned
above, ``segregating'' the part 2 record may involve physically holding
apart any part 2-covered records from the recipient's other records,
which would be quite feasible in the case of a received paper record or
an email attachment containing such data. Alternately, ``segregating''
can involve electronic solutions, such as segmenting an electronic SUD
patient record received from a part 2 program by use of electronic
privacy and security tags such as those in an EHR platform leveraging
the HL7 Data Segmentation for Privacy (DS4P) standard, in which
segmentation is carried out electronically based on the standards of
DS4P architecture (discussed further below). Either of these methods
for ``segregating'' part 2 covered records is a satisfactory way for
the recipient entity to keep track of them, and to distinguish them
from all the other patient records that the entity holds which are not
subject to part 2 protection. We note that ``segregating'' a received
part 2 record does not require the use of a separate server for holding
the received part 2 records. We do not intend this rule to result in
the creation of separate servers or health IT systems for part 2
documents. Our policy is intended to be consistent with existing
technical workflows for data aggregation, storage, and exchange.
One concern that the proposed provision raises is the possibility
that a non-part 2 provider might transcribe extensively from a part 2
record without having a clinical purpose for doing so. This, however,
is not the intent of the provision. Briefly, the intent is to allow a
non-part 2 provider to receive SUD information about a patient from a
part 2 program, and then to engage in a treatment discussion with that
patient, informed by that information, and then be able to create her
own treatment records including SUD content, without the latter
becoming covered by part 2. This level of flexibility is needed in
order to improve coordination of care efforts, and to save lives. It is
not SAMHSA's intent to encourage a non-part 2 provider to abuse the
rules, by transcribing extensively from a conversation with a part 2
program or from a received part 2 record when creating her own records,
without having a clinical purpose for doing so. Our intent is to
expressly permit an avenue of communication, with patient consent,
between a part 2 program and non-part 2 provider to facilitate better
coordination of care, without automatically triggering application of
the rule to the independent records of non-part 2 providers.
In the 2017 final rule, SAMHSA responded to several public comments
about data segmentation issues connected to 42 CFR part 2. We
acknowledged then that although significant challenges exist for data
segmentation of SUD records within some current EHR systems, SAMHSA has
led the development of use-case discussions related to the technical
implementation of the DS4P standard and recently contributed to the
development of the Fast Healthcare Interoperability Resources (FHIR)
implementation guide for Consent2Share.\5\ We believe that the existing
health IT standards which enable data tagging and data segmentation and
which support the SAMHSA Consent2Share tool are important to help
advance the needs of part 2 providers and providers across the care
continuum. SAMHSA recognizes and encourages the further development of
DS4P standards, and the adoption by developers and vendors of EHR
systems that meet those standards. The final revisions at Sec. 2.12 do
not, however, impose on non-part 2 entities any new requirement for
data segmentation as a practice, nor do they establish any new
standards or requirements for EHR technology. SAMHSA considered
including, in the proposed rule, the policy option of defining
``segmented'' and ``segmentation'' under 42 CFR part 2, in order to
offer greater clarity about what these terms mean under the rule.
Segmentation involves technical capabilities and implementation for
tagging and consent management, as well as technical specifications to
accurately effect disclosure or non-disclosure of data based on
federal, state, and local jurisdictions privacy restrictions and
patient consent. This requires both technical specifications as well as
supporting policies and governance for the treatment of sensitive data
that is tagged. The latter is essential for effective segmentation, and
segmentation is not achievable solely via adoption of a specific
standard, nor is part 2 the only applicable use case for segmentation.
For these reasons, we decided not to define segmentation for the
purposes of this rulemaking, as such a definition might have unforeseen
technical ramifications for EHR and HIE systems implementation in the
future. In addition, SAMHSA believes this policy should be flexible, to
allow providers with different operational standards and capabilities
to implement the policy with regard to segregation or segmentation in
the least burdensome way to their practices, while still maintaining
confidentiality of patient records subject to part 2. Nevertheless,
using health IT to support data tagging and data segmentation for
privacy and consent management is one path that a provider could use to
support their effort to meet part 2 requirements, including those
described in the proposed rule.
---------------------------------------------------------------------------
\5\ ``Consent2Share FHIR Profile Design.docx'' can be accessed
at https://gforge.hl7.org/gf/project/cbcc/frs/.
---------------------------------------------------------------------------
In addition to the proposed revision to 42 CFR 2.12(d) above,
SAMHSA proposed conforming changes to the regulatory text of several
other sections of 42 CFR 2.12, to provide further clarification of the
applicability of part 2 restrictions on patient records.
In Sec. 2.12(a), SAMHSA proposed to change the text to reflect
that the restrictions on disclosure apply to ``any records,'' rather
than to ``any information, whether recorded or not.'' We also proposed
a conforming change to Sec. 2.12(a)(ii), to indicate that the
restrictions of this part apply to any records which ``contain drug
abuse information obtained . . .'' or ``contain
[[Page 42997]]
alcohol abuse information obtained . . . .'' Taken together, these
changes are congruent with the amendment to Sec. 2.12(d) and help to
make it clear that part 2 applies to ``records'' (as defined under
Sec. 2.11).
In Sec. 2.12(e)(3), SAMHSA proposed to change the text to reflect
that the restrictions on disclosure apply to the recipients ``of part
2-covered records,'' rather than to the recipients ``of information.''
This proposed change is congruent with the proposed amendment to Sec.
2.12(d) and would help to make explicit that downstream restrictions on
re-disclosure by non-Part 2 entities are tied to protected records
which originate from a part 2 program in the first instance. SAMHSA
believes that this proposed conforming change is important, because it
would further establish that the re-disclosure burden for non-part 2
entities as lawful holders ties specifically to the protected records
that they receive from a part 2 program, and not to any other records
that the non-part 2 entity creates by itself, regardless of whether the
latter might include some SUD-related content.
In Sec. 2.12(e)(4), SAMHSA likewise proposed a conforming change
to the text, by adding language to reflect that a diagnosis prepared by
a part 2 program for a patient who is neither treated by nor admitted
to that program, nor referred for care elsewhere, is nevertheless
covered by the regulations in this part. The change to the regulatory
text is for clarity, to ensure that this section could not be misread
as applying directly to the activities of a non-part 2 entity or
provider.
Similarly, and congruent with the above conforming changes, SAMHSA
also proposed to modify the definition of ``Records'' in Sec. 2.11 as
discussed in Section III.A. above and to modify and streamline the
language in Sec. 2.32 as discussed in Section III.D. below. Readers
are referred to those sections of the proposed rule for specifics on
those proposals and the rationales for such proposed policies.
The comments we received on the proposed amendments to Sec. 2.12,
and our responses, are provided below.
Public Comments
Many commenters supported our proposal to clarify that a non-part 2
treating provider's act of recording information about a SUD and its
treatment would not make that record subject to 42 CFR part 2, stating
that, since the information disclosed to non-part 2 providers will
still be governed and protected by HIPAA, the proposal strikes the
appropriate balance between allowing for coordination of care and
encouraging patients to seek treatment for a SUD by ensuring patient
records remain confidential. Another commenter said SAMHSA's proposal
to allow non-part 2 treating providers to record information about a
SUD and its treatment during direct patient encounters without
subjecting the information and the record to part 2 would reduce
confusion and burden on providers. Several commenters also stated that
the policy could help facilitate meaningful communication between part
2 programs and non-part 2 providers. One commenter specifically noted
that patients are often surprised when they find out that their records
cannot be shared between providers, and this policy may alleviate that
concern. Another commenter specifically noted that this proposal is
necessary because the schema of DS4P and specifically the Consent to
Share tool that SAMHSA proposed in the 2017 Final Rule does not work
within a shared electronic health record, but this proposal could.
SAMHSA Response
We thank the commenters for their support.
Public Comments
One commenter, while supporting the proposal, asked for further
clarification and guidance on the implementation of the proposed
changes so that providers can assure compliance with the regulations.
SAMHSA Response
SAMHSA thanks the commenter for this support. SAMHSA will consider
issuing implementation guidance for providers in connection with this
rule.
Public Comments
Several commenters opposed our proposal to clarify that a non-part
2 treating provider's act of recording information about a SUD and its
treatment would not make that record subject to 42 CFR part 2, stating
that confidentiality is imperative for building trust, establishing
rapport, and creating a therapeutic environment in which individuals
are able to explore their mental health needs and substance use
history. Some commenters argued that this proposal would deter
treatment, infringe the patient-provider relationship, increase stigma,
and lead to criminalization. One commenter specifically noted that
recent research suggests that healthcare providers perceive patients
with documented substance use more negatively than patients with other
documented health conditions, and widely sharing records could lead to
negative impacts on care.
SAMHSA Response
SAMHSA believes that the revisions to Sec. Sec. 2.11 and 2.12
offer an appropriate transitional fix for allowing a limited transfer
of information between part 2 programs and non-part 2 providers,
subject to patient consent, in order to facilitate better coordination
of care. The revised provisions continue to require patient consent for
disclosure of a patient record by a part 2 program for the purpose of
treatment, even in the case of oral disclosures. SAMHSA does not
believe that these regulations will create downstream effects of
substantially increased discrimination and stigma, or of substantially
decreased patient willingness to enter into treatment.
Public Comments
One commenter opposed the proposal because of the belief that it
made a problematic and stigmatizing assumption that patients have not
disclosed their treatment information to their providers.
Alternatively, another commenter stated that the proposal would not fix
the existing challenges for patient safety, because providers may not
be aware of a patient's history of opioid use disorder when treating
the patient for other conditions, even if those other conditions are
related to the SUD.
SAMHSA Response
SAMHSA believes that the revisions to Sec. Sec. 2.11 and 2.12 will
help to improve the coordination of care between part 2 programs and
non-part 2 providers, as well as by non-part 2 providers who receive an
SUD patient record disclosed to them by a part 2 program. Rather than
making a stigmatizing assumption that patients have not disclosed their
SUD treatment information to their [non-part 2] providers, the
revisions to Sec. Sec. 2.11 and 2.12 are intended to facilitate both
patients and providers in carrying out exactly those disclosures.
Although SAMHSA anticipates that these revisions will help to enhance
quality of care efforts and to improve patient safety, it is unlikely
that any single policy reform under part 2 will fully resolve the
adverse events and safety problems associated with the opioid epidemic.
SAMHSA will continue to consider a range of other policies and
interventions to address the public health impact of the opioid
epidemic in the future.
[[Page 42998]]
Public Comments
Several commenters asked for clarification regarding the recording
of part 2 information by a non-part 2 provider in a patient's record.
One commenter stated that the proposal was too vague and did not
provide any meaningful or clear guidance on what can be added to a
medical record without triggering the requirements of 42 CFR part 2.
Another commenter asked if the proposal would result in the entire
record being enveloped in part 2. A few commenters asked us to clarify
whether a non-part 2 provider's act of copying and pasting relevant
information from a patient's part 2 program record into a non-part 2
record would constitute the ``recording'' of SUD information and thus
preclude the application of part 2 to the non-part 2 record. Commenters
requested detailed guidance to ensure part 2 programs and treating
providers are aware of the permissible means to transfer SUD
information. One commenter specifically requested guidance on the
nature and extent of data that can arise from treatment discussions
informed by part 2 data or clinically relevant transcription and
whether data segmentation/tagging of such a non-part 2 record is
required. The commenter also urged more evaluation and real-world
implementation testing with respect to the implementation, standards,
and technology issues associated with both clarifications.
SAMHSA Response
As discussed above, we believe both the preamble and revisions to
Sec. Sec. 2.11 and 2.12 speak with specificity to the circumstances in
which a non-part-2 provider can receive and hold a treatment record
from a part 2 program, while nevertheless being able to create her own
subsequent patient records without fear that these will become covered
by part 2. Notably, there is nothing in the final rule that would cause
an entire record to be ``enveloped in part 2,'' any more so than is the
case now. Again, the effect of the revisions to Sec. Sec. 2.11 and
2.12 is to allow the part 2 program to make a disclosure, with the
patient's consent, to the recipient non-part 2 provider. In turn, the
non-part 2 provider can then carry out her own encounter with the
patient, and create her own patient record, which will not fall under
the coverage of part 2. Segregation of any received SUD record may be
used by a non-part 2 provider to ensure that her own created records
can be distinguished, and will therefore not become subject to part 2.
Taken together, SAMHSA believes that the revised Sec. Sec. 2.11
and 2.12 strike the appropriate balance in describing how part 2 will
apply in these situations. SAMHSA is considering future guidance to
clarify the requirements of Sec. Sec. 2.11 and 2.12 for providers, and
SAMHSA will continue to collaborate with other federal agencies in
regard to technology implementation and standard-setting that touches
on part 2 records.
Public Comments
One commenter stated opposition to any limitations on how, when or
how much SUD information the non-part 2 provider can document within
its own record, even when that information is transcribed from a
received record from a part 2 program. This commenter stated that the
preamble implies that, in order for part 2 not to apply, the non-part 2
provider needs to document the SUD information as part of a direct
clinical patient encounter and upon reviewing it with the patient
first, as opposed to directly copying from a record received from a
part 2 program. The commenter stated that for appropriate care, non-
part 2 providers should be able to document SUD information for safe
patient care without the information becoming subject to 42 CFR part 2,
regardless of how a part 2 program originally provides the information,
or whether information is independently discussed with the patient
during a visit.
SAMHSA Response
SAMHSA believes that the revisions to Sec. Sec. 2.11 and 2.12
offer the appropriate fix for allowing a limited transfer of
information between part 2 programs and non-part 2 providers, subject
to patient consent, in order to facilitate better coordination of care.
As discussed below, SAMHSA is also modifying the regulatory text in
Sec. 2.33(b), to add disclosures for the purpose of care coordination
and case management to the list of permitted activities. Other forms of
communication between lawful holders of part 2 records are also
permitted under the part 2 regulations with patient consent, consistent
with the enabling statute. The revisions to Sec. Sec. 2.11 and 2.12
reflect a balance of interests between ensuring robust privacy
protection for part 2 program treatment records, while also pursuing
patient safety, reduction of adverse events, and better coordination of
care for persons with SUD. SAMHSA will continue to consider
opportunities for further re-alignment of part 2 requirements for the
disclosure of SUD records for treatment, payment and health care
operations in the future, to the extent permissible under the part 2
enabling statute and consistent with Sec. 3221 of the CARES Act.
Public Comments
One commenter asked if the process of using the capabilities of
certified electronic health record technology (CEHRT) to electronically
``copy'' a medication item, a problem or a medication allergy from the
received part 2 document as an external list to the internal list
maintained by the non-part 2 provider's CEHRT is considered
``transcription.'' This commenter asked that we include an example
discussing a form of transcription that is permitted that does not
violate the handling of a part 2 record received by a non-part 2
provider.
Likewise, another commenter specifically recommended that we revise
the proposed regulations to allow health systems/providers using an
integrated EHR to include the following in the patient's EHR without
the patient's consent: Part 2 SUD in the integrated common problem
list; Part 2 SUD treatment/post treatment medications on the integrated
common medications list; medication allergies found during Part 2 SUD
treatment/post treatment encounters on the integrated common medication
allergy list; and an exception to obtaining a patient's consent to
share this information for health systems/providers who use an
integrated EHR.
SAMHSA Response
Currently, a part 2 program may make a disclosure with the
patient's consent to a non-part 2 provider. Taken together, the effect
of the revisions to Sec. Sec. 2.11 and 2.12 is to clarify that the
non-part 2 provider can then discuss that information in her own
encounter with the patient, and create her own patient record that
includes SUD information which will not be subject to part 2. The
recipient non-part 2 provider is permitted but not required to
segregate the received part 2 record (in whatever medium is relevant),
as a way to ensure that her own subsequent record-keeping activity can
be distinguished. These general principles continue to apply,
regardless of whether the recipient non-part 2 provider is using a
CEHRT [certified electronic health record technology ]or whether the
recipient non-part 2 provider and the part 2 program exchange their
communications through a common, integrated EHR platform.
SAMHSA believes that revised Sec. Sec. 2.11 and 2.12 strike the
right balance of interests between ensuring robust privacy protection
for part 2 program
[[Page 42999]]
treatment records, while also promoting patient safety, reduction of
adverse events, and better coordination of care for persons with SUD.
SAMHSA will continue to consider future guidance and refinement to the
part 2 rules, and will continue to work with ONC to support and
implement health IT policies consistent with the part 2 rules.
Public Comments
Many commenters asked for further clarification from SAMHSA in
determining which records and providers are subject to part 2
requirements. Commenters specifically asked for definitions as to what
``holding oneself out as providing'' entails. Other commenters noted
that, in the current healthcare environment and its emphasis on
integrated care, providers are likely to apply the Part 2 requirements
to more treatment settings and providers than required, creating excess
compliance burden. Some commenters also noted that it is hard to
imagine a scenario in which part 2 would prevent a specialist for any
other chronic disease from supporting a treatment team without
subjecting the entire team to unwieldy regulations. Commenters also
stated that further clarification of the definition of a part 2 program
could help patients choose which type of providers--and, consequently,
confidentiality protections--they should seek.
One commenter recommended that SAMHSA clarify that Medication-
Assisted Treatment (MAT) services and their associated workflows
provided as part of a general medical facility do not meet the
definition of a part 2 program, as long as the providers rendering the
MAT services do not do so as their primary function within the
facility. This commenter also recommended that SAMHSA clarify that any
education or outreach (including posting notices, advertising and
informing patients) about the availability of MAT services at a general
medical facility, including Indian Health Service (IHS) and tribal
facilities, would not change its status as a non-part 2 provider.
SAMHSA Response
SAMHSA appreciates these comments. Although outside the scope of
the current rulemaking, SAMHSA will consider issuing guidance in the
future to further clarify when a general medical facility is subject to
the part 2 regulations.
Public Comments
A few commenters asked us to provide further guidance to clarify
how health plans may similarly communicate with non-part 2 providers
without subjecting their own records to part 2. Commenters asked if the
proposed change applies to other lawful holders, specifically health
plans.
SAMHSA Response
The revisions in Sec. 2.12 establish that SUD treatment records
created by a non-part 2 provider will not be covered by part 2, unless
any SUD record previously received from a part 2 program is
incorporated into such records. Under Sec. 2.12, segregation of the
received record can be used by non-part 2 providers to ensure that
their own created patient records can be distinguished from the
received record, and thus will not become covered by part 2.
The revisions in Sec. 2.12 do not address the direct disclosure
made by a health plan to a non-part 2 provider. In general, the broader
part 2 framework concerning disclosures made by health plans as
``lawful holders'' continue to apply. SAMHSA will consider issuing
future guidance to clarify the application of part 2 to disclosures of
SUD records by health plans.
Public Comments
One commenter suggested that rather than modifying Sec. 2.12 in
order to facilitate disclosures by part 2 programs to non-part 2
providers in support of care coordination, it would instead be more
effective under Sec. 2.33 to add care coordination to the list of
payment and operations activities for which a disclosure may be made
with patient consent.
SAMHSA Response
SAMHSA believes that the current revisions to Sec. 2.12 create an
appropriate and limited pathway for part 2 programs to disclose SUD
records to non-part 2 providers, and then to allow non-part 2 providers
to create their own treatment records based on subsequent clinical
encounters with their patients. However, as we explain below under
Sec. 2.33, SAMHSA has decided to modify the regulatory text in Sec.
2.33(b), by adding disclosures for the purpose of care coordination and
case management to the list of permitted activities under that section.
Public Comments
One commenter specifically recommended that SAMHSA clarify that
systems that permit secure communication between patients, their
permitted designates and non-part 2 caregivers may be used by part 2
caregivers that are employed by the same healthcare organization, or
that use the same implementation of the secure communications system.
This commenter also asked us to exempt communications between part 2
providers and non-part 2 healthcare providers that are actively engaged
in the care of the same patient, but are not employed by the same
healthcare organization. This commenter also asked that we specify that
part 2 providers performing hospital consultation work may communicate
with non-part 2 providers within the same organization without
generating a part 2 covered record.
SAMHSA Response
Communications between patients, part 2 programs, and non-part 2
providers through patient portals and integrated EHR platforms can
present an array of challenges and scenarios for patient consent under
part 2. The current rulemaking does not attempt to address or resolve
all such situations, nor does it change the status quo of how part 2
applies in many such situations.
SAMHSA will consider future guidance with regard to the application
of part 2 to integrated EHR platforms, and particularly within
integrated healthcare systems that include both part 2 programs and
non-part 2 providers within the same system.
Public Comments
One commenter noted that SAMHSA did not make any proposals related
to ``Jessie's Law.'' The commenter explained that Jessie's Law requires
HHS to develop best practices for prominently displaying information
relating to a patient's history of substance use in his or her
treatment records when the patient makes a request for such disclosure.
SAMHSA Response
We will continue to work within HHS to ensure that we are complying
with any applicable legal requirements stemming from Jessie's Law.
Public Comments
Several commenters noted support for our description of segregating
records, specifically appreciating that we did not impose any new
requirement for data segmentation as a practice or establish new
standards for EHR technology. Commenters stated that this segregation
policy should be flexible to allow providers with different operational
capabilities to implement the policy in the least burdensome way and to
offer an opportunity for the health IT industry to continue to work
with stakeholders in the development of standards to meet patient
privacy
[[Page 43000]]
expectations. One commenter stated the proposal would not incur
significant additional burden on vendors because segmenting part 2 data
has become an industry norm with the implementation of the Data
Segmentation for Privacy standard, as well as the recent FHIR
implementation guide for Consent2Share.
SAMHSA Response
We thank the commenters for their support.
Public Comments
A few commenters expressed clinical concerns with segmenting
records, stating that to do so erodes the reliability of those records
to support the delivery of safe care and may discourage the use of EHRs
for specific types of SUD information. One commenter noted that this
concern is especially important because FDA medical device guidance
requires visibility into how IT systems arrive at their
recommendations, which may not be possible in a world of segmented
data. One commenter cautioned us, for these reasons, to only use data
segmentation and separation in a limited way.
SAMHSA Response
The revisions in Sec. 2.12 do not impose any requirements for non-
part 2 providers to segment their electronic health records. Neither do
the current revisions in Sec. 2.12 impose any standards for segmenting
electronic health records more generally. We believe it is important
that providers include clinically relevant information within their
records, while still respecting confidentiality requirements.
SAMHSA is sensitive to concerns about segmentation standards for
EHRs. However, SAMHSA is not introducing new segmentation requirements
or standards under this rule-making.
Public Comments
Some commenters supported the policy of segregating records under
Sec. 2.12, but said it is not a practical or best solution to promote
the effective handling of SUD information to permit treatment and care
coordination, noting that that the proposed changes still do not allow
the exchange of information for these purposes without the written
consent of the patient. These commenters argued that the policy would
be burdensome and costly, and, because of the multitude of different
operational standards and capabilities, part 2 programs will find
themselves in an economically burdensome and legally questionable
position as legal holders of information disclosed to them by patients
seeking care. A few of these commenters also noted, however, that these
burdens could not be overcome without statutory changes.
SAMHSA Response
We appreciate these comments. The revised Sec. 2.12 does continue
to require patient consent for the disclosure of a patient SUD record
by a part 2 program to a non-part 2 provider. The revised Sec. 2.12
reflects a balance of interests between ensuring robust privacy
protection for part 2 program treatment records, while also promoting
patient safety, reducing adverse events, and facilitating better
coordination of care for persons with SUD.
SAMHSA does not believe that the revised Sec. 2.12 will place part
2 programs under any greater operational or legal burden than they
currently face, with regard to making disclosures to non-part 2
providers. Meanwhile, it would go considerably beyond the current
rulemaking, and the current authorizing statute, to permit the
disclosure of a patient record by a part 2 program to a non-part 2
provider, without the consent of the patient, except as otherwise
permitted under Part 2.
Public Comments
A few commenters asked us to clarify the scenario in which one
entity has Part 2 and non-Part 2 providers utilizing the same EHR that
automatically populates diagnosis and prescription information.
Commenters requested SAMHSA expand its proposal to clarify that if a
general medical facility includes both Part 2 and non-Part 2 providers,
then basic information that prepopulates, such as diagnosis and
prescription information, is not subject to Part 2 requirements.
Commenters further explained that some providers are unable to
segregate records with any degree of confidence in their current
workflows, and noted that many health systems either use separate EHRs
or consider all providers in the system Part 2 providers due to burden
and cost, which makes the referral of SUD and non-SUD patients and
their health records more complicated. Other commenters similarly noted
that they must treat all possible Part 2 information as if it were
subject to the rule, and that requiring segmentation of part 2-
protected patient records to prevent unauthorized redisclosure may be
strictly interpreted by the non-part 2 recipients, causing the
information to be inaccessible for care coordination or other purposes
beneficial for the patient.
SAMHSA Response
Taken together, the effect of the revisions to Sec. Sec. 2.11 and
2.12 is to allow the part 2 program to make a disclosure, with the
patient's consent, to the recipient non-part 2 provider. In turn, the
non-part 2 provider can then carry out her own encounter with the
patient, and create her own patient record, which will not fall under
the coverage of part 2. The recipient non-part 2 provider is permitted,
but not required, to segregate the received part 2 record (in whatever
medium is relevant), as a way to ensure that her own subsequent record-
keeping activity can be distinguished. These general principles
continue to apply, regardless of whether the recipient non-part 2
provider and the part 2 program exchange their communications through a
shared, integrated EHR platform.
SAMHSA believes that revised Sec. Sec. 2.11 and 2.12 strike the
right balance of interests between ensuring robust privacy protection
for part 2 program treatment records, while also promoting patient
safety, reduction of adverse events, and better coordination of care
for persons with SUD. SAMHSA will consider future guidance with regard
to the application of part 2 to integrated EHR platforms, and
particularly within integrated healthcare systems that include both
part 2 programs and non-part 2 providers within the same system.
Public Comments
One commenter specifically noted concerns for IHS or tribal
facilities still using the full Resource and Patient Management System
(RPMS) EHR system. This commenter stated that, while non-part 2 IHS or
tribal facilities could segregate a paper record fairly easily, the
RPMS system does not allow for the segregation of electronic records.
For this reason, the commenter recommended that IHS and tribal
facilities using RPMS be exempted as to compliance with part 2 until
IHS modernizes its EHR system. This commenter also asked that SAMHSA
conduct tribal consultation to negotiate with tribes on part 2
compliance as to IHS and tribal facilities.
SAMHSA Response
It is beyond the scope of the current rulemaking for SAMHSA to
address specific operational challenges for IHS or tribal facilities
associated with part 2. SAMHSA notes, however, that there is no new
requirement under Sec. 2.12 for a non-part 2 provider to segregate any
SUD records received from a part 2 program. There is also no
requirement
[[Page 43001]]
under the revised Sec. 2.12 for record-keeping practice at IHS or
tribal facilities to change. Segregating a received part 2 record under
Sec. 2.12 is entirely at the option of the recipient provider.
Regardless, SAMHSA will consider conducting future tribal
consultations and outreach around the revised part 2 rule, as an input
to future guidance on implementation and compliance.
Public Comments
Several commenters stated what is meant by requiring the records to
be ``segregated'' or ``segmented'' is unclear and unrealistic, and may
mean creating an entirely separate EHR or resorting to paper medical
records. One commenter suggested that SAMHSA should propose alternate
solutions to segmentation by non-part 2 providers of records received
from part 2 programs, which could ease provider burden. Commenters
specifically noted concerns with technological barriers to segmenting
non-Part 2 covered patient data, because current EHR technology does
not allow for a provider to share just the non-Part 2 covered patient
information with other providers, and asked SAMHSA to offer guidance.
Commenters noted that, currently, there are no federal requirements for
EHRs to include DS4P standards, and that, absent a requirement imposed
on electronic medical record vendors to adopt DS4P and requirements for
receiving providers to have a consent management system, this situation
is unlikely to improve. Commenters also questioned whether it is
feasible to require DS4P standards in all EHRs and urged SAMHSA to
pursue additional testing of the DS4P standards and to work with
developers and ONC on a solution. One commenter said that expecting
programs to adopt compliant medical records could be expensive,
disruptive to patient care, and problematic for many programs. As an
alternative, this commenter suggested establishing minimum requirements
for all EHRs through the appropriate EHR regulations.
SAMHSA Response
There is no requirement under revised Sec. 2.12 for a non-part 2
provider to segregate or segment an SUD treatment record received from
a part 2 program. It is beyond the scope of the current rulemaking to
address a wide range of technical concerns about support for
segmentation under specific EHR technologies; or concerns about the
development or refinement of future DS4P standards; or concerns about
the cost or burden to providers of adopting EHR systems in the future.
None of these concerns detracts from the central premise of Sec. 2.12,
which is to establish that a patient record created by a non-part 2
provider will not become subject to part 2, simply because SUD
information may be included within that record.
Nevertheless, SAMHSA remains broadly sensitive to concerns about
segmentation, DS4P standards, and EHRs. SAMHSA will continue to
collaborate with ONC and CMS on efforts that relate more directly to
interoperability and standard-setting for EHRs.
Public Comments
Although some commenters appreciated that SAMHSA did not
prescriptively state a requirement for use of the electronic data
segmentation approaches, they similarly noted that DS4P and FHIR
standards are still unsettled topics. Commenters explained that, while
policies have been adopted and are being further proposed to ``tag''
sensitive health information in various ways, no progress has been made
to provide support to identification of ``what'' is sensitive in a way
that is semantically interoperable or at a meaningful level of data
granularity. To make data segmentation a reality that is not
burdensome, these commenters stated that many stakeholders must decide
how sensitive health information can be ``tagged.'' Even with this
consensus, some commenters expressed concern that tags are not
persistent through transfer because DS4P does not detail how recipient
systems should handle tagged data, and the scenarios under which it is
appropriate to use/disclose data tagged as sensitive.
Commenters noted that these technical aspects will require a
significant investment in time and resources to ensure the alignment of
technical infrastructure and policy approaches for both EHRs and health
information exchanges, requiring policy responses as well as the
upgrade and maintenance of data dictionaries and technology components.
Therefore, commenters urged SAMHSA to continue working with ONC on
these issues. One commenter strongly urged SAMHSA to demonstrate
commitment to greater interoperability and privacy protections by
prioritizing data segmentation in development, testing, and
policymaking, specifically noting the need for data segmentation to be
made accessible and affordable to physicians.
SAMHSA Response
SAMHSA acknowledges that many technical issues and standards with
regard to data segmentation and tagging practices remain unresolved,
and are continuing to evolve rapidly. SAMHSA will monitor the field and
continue to work with ONC on these issues, and will likewise
collaborate with ONC and CMS on efforts that relate more directly to
interoperability and standard-setting for EHRs. Regardless, SAMHSA
continues to believe that EHRs that support tagging and segmentation
offer one approach for implementing part 2 compliant clinical
workflows.
Public Comments
A few commenters asked us to clarify if ``segregation'' or
``holding apart'' applies to claims data, which may hold information
about a patient's diagnosis and treatment. One commenter asked that we
work with ONC to clarify how treatment of SUD data by non-Part 2
providers will work under information blocking and TEFCA and
administrative transaction policies.
SAMHSA Response
Under Sec. 2.12, it is contemplated that a part 2 program may
disclose a treatment record to a non-part 2 provider with the consent
of the patient, in support of better coordination of care. In turn, the
non-part 2 provider may then carry out her own clinical encounter with
the patient, and create her own patient record that includes SUD
information, without that record being subject to part 2. The non-part
2 provider may segregate any record previously received from the part 2
program as a way to distinguish this from her own clinical records.
Note that all of the foregoing assumes an initial disclosure of a
clinical record or information for treatment purposes, rather than a
disclosure of claims data, by the part 2 program to the non-part 2
provider. A disclosure involving a claim would typically involve a
health plan as a recipient, which is beyond the scope of the current
revision of Sec. 2.12 to address.
SAMHSA will continue to collaborate within the department on any
potential future guidance as may involve health IT.
Public Comments
One commenter noted support of our proposal to clarify the language
of Sec. 2.12 from the use of ``any information'' to ``any records,''
and agrees that it better illustrates the intent SAMHSA describes in
the preamble.
[[Page 43002]]
SAMHSA Response
We thank the commenter for its support.
Public Comments
One commenter asked for clarification on whether there is a
distinction (or conversely, an ambiguity) between what constitutes the
legally recognized medical record, versus shared information that is
structured and record-like. In other words, at what threshold of
structure and formality of conveyance does ``information'' become
``record?''
SAMHSA Response
SAMHSA does not draw any distinction between ``records'' as defined
under Sec. 2.11, versus ``shared information that is structured and
record-like.'' Per the regulatory text of Sec. 2.11, a ``record'' is
defined as ``any information, whether recorded or not, created by,
received, or acquired by a part 2 program relating to a patient.''
D. Consent Requirements (Sec. 2.31)
SAMHSA is finalizing this section as proposed, and adding further
guidance concerning the application of Sec. 2.31 to disclosures for
the coordination of care, as outlined below.
In the 2017 final rule, SAMHSA made several changes to the consent
requirements at Sec. 2.31, to facilitate the sharing of information
within the health care context, while ensuring the patient is fully
informed and the necessary confidentiality protections are in place.
Among those changes, SAMHSA amended the written consent requirements
regarding identification of the individuals and entities to whom
disclosures of protected information may be made (82 FR 6077).
Specifically, SAMHSA adopted a framework for disclosures to entities
that made several distinctions between recipients that have a treating
provider relationship with the patient and recipients that do not.
Under the current rules at Sec. 2.31(a)(4), if the recipient entity
does not have a treating provider relationship with the patient whose
information is being disclosed and is not a third-party payer, such as
an entity that facilitates the exchange of health care information or
research institutions, the written consent must include the name of the
entity and one of the following: The name(s) of an individual
participant(s); the name(s) of an entity participant(s) that has a
treating provider relationship with the patient whose information is
being disclosed; or a general designation of an individual or entity
participant(s) or class of participants that must be limited to a
participant(s) who has a treating provider relationship with the
patient whose information is being disclosed. As stated in the 2017
final rule, SAMHSA wants to ensure that patient identifying information
is only disclosed to those individuals and entities on the health care
team with a need to know this sensitive information (82 FR 6084).
SAMHSA, accordingly, limited the ability to use a general designation
in the `to whom' section of the consent requirements to those
individuals or entities with a treating provider relationship to the
patient at issue.
Since the 2017 final rule was published, SAMHSA has learned that
some patients with SUDs would like part 2 programs to disclose their
protected information to entities for reasons including eligibility
determinations and seeking non-medical services or benefits from
governmental and non-governmental entities (e.g., social security
benefits, local sober living or halfway house programs). Because these
entities lack a treating provider relationship with the patient, the
current rules preclude them from being designated by name to receive
the information, unless they are third-party payers, or the patient
knows the identity of the specific individual who would receive the
information on behalf of the benefit program or service provider. In
addition, many of these entities may not be able to identify a specific
employee to receive application information, and instead are likely to
encourage patients to contact them or apply online, such that
information is submitted to the organization rather than to a specific
person. SAMHSA has heard that many patients have encountered
frustration and delays in applying for and receiving services and
benefits from, and in authorizing part 2 providers to release their
information to, entities providing such services and benefits, by
virtue of the inability to designate these entities by organization
name only on the written consent for disclosure of part 2 information.
We also understand that the requirement to include an individual's
name could make it more burdensome for part 2 programs or lawful
holders to facilitate a patient's specific consent to share their
information with a contractor or subcontractor that performs care
coordination or case management activities on behalf of the program or
lawful holder. It is not SAMHSA's intent to limit patients' ability to
consent to the disclosure of their own information or create barriers
to care coordination. We wish, rather, to empower patients to consent
to the release and use of their health information in whatever way they
choose, consistent with statutory and regulatory protections designed
to ensure the integrity of the consent process.
Therefore, in this final rule, SAMHSA is amending the current
regulations to clarify when patients may consent to disclosures of part
2 information to organizations without a treating provider
relationship. In particular, SAMHSA has amended Sec. 2.31(a)(4)(i),
which previously required a written consent to include the names of
individual(s) to whom a disclosure is to be made. The amended section
inserts the words ``or the name(s) of the entity(-ies)'' to that
section, so that a written consent must include the name(s) of the
individual(s) or entity(-ies) to whom or to which a disclosure is to be
made. SAMHSA believes that this language aligns more closely with the
wording of the regulation before the January 2017 final rule changes,
and would alleviate problems caused by the inability to designate by
name an individual recipient at an entity. For example, if a patient
wants a part 2 program to disclose impairment information to the Social
Security Administration for a determination of benefits, such patient
would only need to authorize this agency on the ``to whom'' section of
the consent form, rather than identify a specific individual at the
agency to receive such information. In addition, in response to the
many comments requesting that SAMHSA provide more flexibility
throughout the rule to facilitate care coordination and case
management, the change at Sec. 42 CFR 2.31(a)(4)(i) will also make it
easier for patients to consent to the disclosure of their information
for the purposes of care coordination and case management, including to
contracted organizations of lawful holders, by naming such
organizations on the consent form.
SAMHSA has removed old Sec. 2.31(a)(4)(ii) and (iii)(A), and
redesignated old Sec. 2.31(a)(4)(iii)(B) as Sec. 2.31(a)(4)(ii) in
the final rule. SAMHSA has also amended the newly redesignated Sec.
2.31(a)(4)(ii), so that it applies only to entities that facilitate the
exchange of health information (e.g., health information exchanges
(HIEs)) or research institutions. The section establishes that, if the
recipient entity is an entity that facilitates the exchange of health
information or is a research institution, the consent must include the
name of the entity and one of the following: (1) The name(s) of an
individual or entity participant(s); or (2) a general designation of an
individual or entity participant(s) or class of participants, limited
to a participant(s)
[[Page 43003]]
who has a treating provider relationship with the patient whose
information is being disclosed. We have also made conforming amendments
to Sec. Sec. 2.12(d)(2)(a) and 2.13(d). The revised language of
2.31(a)(4) does continue to permit patient consent to disclosures to
third-party payers based on naming the recipient entity, without
specifying an individual recipient at that entity.
The comments we received on this proposal and our responses are
provided below.
Public Comments
Many commenters supported our proposal to allow patients to consent
to disclosure to entities without a treating provider relationship
without naming the specific individual receiving the information. These
commenters stated that this proposal would break down barriers for
patients and remove delays in seeking and receiving often life-saving
services or benefits from entities, allowing integrated information
exchange between all necessary services, including collaborative non-
treatment services related to substance use. Commenters believed that
this proposal would empower patients to determine whether it is in
their interest to share their own protected SUD information with health
and social service entities, putting ``patients over paperwork.''
Commenters also noted that this proposed change would align with the
modern innovations of complex, fluid teams that meet individual patient
needs and ``whole person'' care models, many of which may address
underlying social determinants that can affect a patient's health
status. Commenters also noted the proposal would significantly enhance
efforts at interoperability and getting information where and when it
is needed at the point of care. Finally, commenters applauded this
change because is more closely aligns with HIPAA standards.
SAMHSA Response
We thank the commenters for their support.
Public Comments
Several commenters opposed this proposal, fearing that information
would be given to interconnected health care systems, unknown future
entities, and vendors with one general consent and signature. One
commenter asked that the consent continue to include the specific
information to be shared, with whom specifically, and the time
constraints of the release of information. A few commenters stated that
the proposal raised trust, privacy, and confidentiality concerns and
would deter treatment. One commenter asked that this consent be an
``option'' rather than ``preferred.''
SAMHSA Response
As noted above, SAMHSA has learned that some patients with SUDs may
want part 2 programs to disclose protected information to entities for
reasons including eligibility determinations and seeking nonmedical
services or benefits from governmental and non-governmental entities
(e.g., social security benefits, local sober living or halfway house
programs). However, the old rule precluded patients from designating an
entity's name by itself on the consent form, unless the entity was a
third-party payer. To alleviate frustration and delays in applying for
and receiving services and benefits, SAMHSA amended the regulations to
clarify that patients may consent to disclosures of part 2 information
to organizations without a treating provider relationship. We note that
Sec. 2.31(a)(5) requires the consent form to include the purpose of
the disclosure, which must be limited to that information which is
necessary to carry out the stated purpose. Under Sec. 2.31(a)(7), the
consent form must include the date, event, or condition upon which the
consent will expire if not revoked before. This date, event, or
condition must ensure that the consent will last no longer than
reasonably necessary to serve the purpose for which it is provided. We
believe that these safeguards will alleviate any concerns that the
consent may be too broad, while appropriately allowing the patient to
choose to whom their records are disclosed.
Public Comments
Many commenters asked us to further expand the proposal to allow
broader consent. A few commenters recommended that we make additional
revisions which would permit generalized consents, authorizing both
disclosures and re-disclosures of Part 2 records for treatment,
payment, and health care operations (TPO) purposes among HIPAA
``covered entities,'' Part 2 programs, and HIPAA ``business
associates'' to receive their full medical records, noting this global
consent would result in better care coordination and avoid delays.
Another commenter recommended adding regulatory language to specify
that patients may consent to permit both their Part 2 facility and
health information exchange networks of their choosing to disclose
their health information to past, present, and future treating
providers. Another commenter requested that we allow consent for
information to be disclosed to categories or types of organizations.
Similarly, a few commenters requested that we clarify that
organizations like accountable care organizations and health homes can
be considered to have a ``treating provider relationship'' with a
patient. Likewise, a few commenters asked us to clarify whether the
proposed changes apply to entities that receive information from Part 2
providers for non-treatment purposes such as health plans, business
associates, healthcare clearinghouses, and third-party payers. These
commenters claimed that there is little to no legal distinction between
broadening the To Whom requirement for non-treatment and treatment
purposes under Part 2, and that broadening in this way could help to
streamline Part 2 and HIPAA.
SAMHSA Response
As noted above, under Sec. 2.31, patients control to whom and for
what purposes they consent to disclosure of information. Under this
proposal, SAMHSA is amending the regulations to clarify that patients
may consent to disclosures of part 2 information to organizations
without a treating provider relationship. We believe that this policy
appropriately balances patients' empowerment with confidentiality
concerns.
However, the change we are making will make it easier for patients
to consent to share their records for the purposes of care coordination
and case management. Patients may consent to share their information
with a contractor or subcontractor that performs care coordination or
case management on behalf of a part 2 program or lawful holder, if the
consent form specifies the contracted organization name in the ``to
whom'' section, describes the specific types of activities to be
undertaken in the ``purpose'' section; and meets all other required
elements outlined in Sec. 2.31. Similarly, a patient may consent to
share their records for the purpose of care coordination with his or
her treating provider organization or health insurer, if the provider
organization or health plan is named in the ``to whom'' section and the
specific types of care coordination or case management activities are
described in the purpose section of the consent form.
SAMHSA will consider making further revisions to the consent
requirements under Sec. 2.31 in the future, particularly as needed to
implement Sec. 3221 of the CARES Act.
[[Page 43004]]
Public Comments
One commenter requested clarification regarding the proposed
changes to Sec. 2.31 (a)(4)(ii)(B), specifically asking about a
scenario in which a part 2 program includes a statement on a consent
form to share part 2 information with a PDMP, and must, upon request,
provide the patient with a list of entities to which their information
has been disclosed pursuant to the general designation in Sec.
2.13(d). The commenter inquired about the level of specificity that is
required for the ``list of entities.'' This commenter noted that a
state may only have the ability to disclose that a patient's
information was accessed by another state's PDMP, but may not have
access to the records for individual end-users in that state's PDMP.
SAMHSA Response
Under Sec. 2.36, disclosures to PDMPs will be accomplished by
direct consent and not using a general designation to which the List of
Disclosures requirement in Sec. 2.13(d) applies. As a result, a
patient would not be able to request a list of entities under Sec.
2.13(d) to which the PDMP made disclosures.
Public Comments
One commenter argued that there should be an option for a ``general
designation'' that encompasses all providers within an organization,
not just those who already have a treatment relationship with the
patient. This commenter asked that we add the following language to the
regulation: ``A general designation of an individual or entity
participant(s) or class of participants that must be limited to a
participant(s) who has a treating provider relationship with the
patient whose information is being disclosed or who has in place a
written contract or comparable legal instrument with the individual or
entity that requires the participant(s) to be fully bound by the
provisions of Part 2 upon receipt of patient identifying information.''
SAMHSA Response
As stated in the January 2017 final rule (82 FR 6084), for entities
that facilitate the exchange of health information or are research
institutions, SAMHSA wants to ensure that patient identifying
information is only disclosed to those individuals and entities on the
health care team with a need to know this sensitive information.
Therefore, in instances where information is disclosed to entities that
facilitate the exchange of health information or research institutions,
SAMHSA will continue to limit the ability to use a general designation
(e.g., ``all my treating providers'') in the ``to whom'' section of the
consent requirements to those individuals or entities with a treating
provider relationship.
Public Comments
A few commenters supported our proposal, but asked us to provide
additional examples and definitions of ``entity'' in the final rule.
Commenters noted that this clarification would help providers comply
with the provision. One commenter asked that we clarify the
applicability of Sec. 2.31(a)(4)(i) to third-party administrators and/
or representatives that operate on behalf of a governmental and/or
nongovernmental entity. The commenter also asked us to clarify under
the proposed rule the applicability of Sec. 2.31(a)(4)(i) in instances
in which the requirements of Sec. 2.15(a)(1) have been met and a
patient's guardian or personal representative authorized under state
law may act on behalf of the patient. A few commenters asked us to
carefully define ``entity'' to specify an individual or entity that has
a direct treating provider or clinical relationship with the patient.
SAMHSA Response
SAMHSA is amending Sec. 2.31 to enable patients to broadly consent
to disclose their records to any entity of their choosing, without
naming an individual recipient within such entity. A patient may choose
to disclose their records to an entity with which they do not have a
treating provider relationship, except in situations where a general
designation is used to disclose information to entities that facilitate
the exchange of health information or to research institutions. In that
case, a general designation of an individual or entity participant(s)
or class of participants must be limited to a participant(s) with a
treating provider relationship with the patient whose information is
being disclosed. Given our desire to ensure patients may consent to any
entity or its representatives as they so choose, SAMHSA does not
believe that further defining the term ``entity'' is necessary. Section
2.15(a) states that in the case where a patient has been adjudicated as
lacking the capacity, for any reason other than insufficient age, to
manage their own affairs, any consent that is required under the
regulations in this part may be given by the guardian or other
individual authorized under state law to act in the patient's behalf.
Public Comments
A few commenters asked us to include anti-discrimination
protections in the regulations that forbid the use of any information
disclosed for the purposes of limiting access to health, life, or
disability insurance coverage; limiting access to protections under the
ADA; limiting access to health care; criminal or civil investigation or
prosecution; sharing information with the patient's employer; sharing
information with child welfare agencies or family courts; or limiting
or denying the patient's rights or benefits in any way.
SAMHSA Response
As we have previously indicated, promulgating rules that address
discriminatory action is outside the scope of SAMHSA's current legal
authority (see 83 FR 248). However, we refer the commenter to Sec.
2.13(a), which states that patient records subject to the Part 2
regulations may be disclosed or used only as permitted by the
regulations and may not otherwise be disclosed or used in any civil,
criminal, administrative, or legislative proceedings conducted by any
federal, state, or local authority. Further, Sec. Sec. 2.64 and 2.65
describe required procedures and criteria for orders authorizing
disclosures for criminal investigations of patients and for non-
criminal purposes (such as a civil action), which provide safeguards
for patients. Finally, we note that Sec. 3221(g) of the CARES Act does
include antidiscrimination language, and we anticipate implementing
that provision in future rulemaking.
Public Comments
One commenter requested clarification as to how the proposal would
apply to a medical entity such as a clinic. The commenter asked if all
providers dealing with the patient in a clinic would have access to the
disclosed information. The commenter stated that it is their
understanding that some treatment records can be marked as confidential
in certain electronic health records, but that medications and
diagnoses typically are not.
SAMHSA Response
Although SAMHSA has amended the current regulations to clarify that
a patient may consent to the disclosure of part 2 information to an
entity without naming a specific individual as the recipient, current
rules already allow consent to an entity with a treating provider
relationship, and this consent flows to entity staff with a need to
access the Part 2-covered information.
[[Page 43005]]
We note that Sec. 2.31(a)(5) of the regulations continues to require
the consent form to include the purpose of the disclosure. The
disclosure of patient identifying information must be limited to that
information which is necessary to carry out the stated purpose. Thus, a
clinic receiving the disclosed information may only share the patient's
information in order to meet the purpose of the disclosure as described
on the consent form.
Public Comments
One commenter recommended that a tribally operated or American
Indian part 2 program be authorized to share a patient's SUD treatment
information with IHS, tribal, or urban Indian health primary care
providers for treatment purposes without patient consent, stating that
this change is needed to facilitate care within the Indian health
system.
SAMHSA Response
We appreciate the comment and concern for ensuring patients within
the Indian Health Service receive effective care. SAMHSA does not have
the authority to exempt patients within the IHS from the part 2 consent
requirements. However, we note that the changes we are finalizing in
this final rule to promote care coordination between part 2 programs
and primary care doctors would similarly apply to IHS providers and
patients.
Public Comments
One commenter asked us to develop template consent forms that meet
the requirements of the final rules for ease and convenience of
patients and providers.
SAMHSA Response
We thank the commenter for the suggestion and will consider issuing
guidance related to the consent form requirements in the future.
Public Comments
A few commenters asked that we allow for an ``opt-out'' consent
process similar to that under HIPAA, in which patient information would
be permitted to be used and disclosed for treatment, payment, and
health care operations unless the patient opts-out.
SAMHSA Response
The authorizing statute for the part 2 rules expressly requires
written consent for most uses and disclosures of SUD patient records.
We believe that this policy appropriately balances patients'
empowerment with confidentiality concerns. We further note, however,
that Sec. 3221 of the CARES Act contemplates modifying the parameters
for consent to the disclosure of a patient record for the purpose of
treatment, payment and health care operations. We anticipate making
further revisions to part 2 in the future, in order to implement the
relevant provisions of the CARES Act.
Public Comments
One commenter encouraged us to expand the list of safe harbors for
those acting in good faith who are trying to help an individual obtain
housing, health care, or other necessary services. The commenter also
asked us to align with the HHS Office for Civil Rights (OCR) on future
regulations and guidance specifically discussing these scenarios and
the ability to share health information for critical individual needs.
SAMHSA Response
We thank the commenter for the suggestions and will consider them
in the future.
Public Comment
One commenter requested clarification on how patient
confidentiality will be assured under this proposal.
SAMHSA Response
As noted above, records are only disclosed at the patient's request
and after consent under this section; therefore, the patient remains in
control of his/her records and with whom and for what purposes these
records are shared. Records disclosed under this section will retain
their status as protected part 2 records in the hands of downstream
recipients. We refer the commenter to Sec. 2.32, which describes the
notice that must be provided to recipients of part 2 records disclosed
under Sec. 2.31. The notice prohibits redisclosure of the records
unless expressly permitted by the written consent of the individual
whose information is being disclosed or, otherwise permitted by 42 CFR
part 2.
Public Comments
One commenter stated that the rule change needed to be clarified
across the regulation to ensure that individuals do not need to be
listed to consent to an entity.
SAMHSA Response
SAMHSA believes that clarifying this change in the regulatory text
of Sec. 2.31 is sufficient to ensure that individuals do not need to
be listed when a patient consents to sharing his or her records with an
entity.
Public Comments
One commenter, although supporting our proposal, noted the
importance of the safeguards inherent in the general designation that
allow the individual to request a list of entities to which their
information has been disclosed.
SAMHSA Response
We appreciate feedback regarding the importance of safeguards that
allow an individual to request a list of entities to which their
information has been disclosed under the general designation option.
Public Comments
A few commenters requested that we allow individuals to consent to
disclosure to entities without listing an individual as the recipient,
in instances where information is disclosed to entities that facilitate
the exchange of health information or research institutions. These
commenters stated that patients are not aware of the information
sharing happening at the provider level by Health Information Networks
(HINs) and HIEs, most of which is done to coordinate care and benefit a
patient's care. Without this change, commenters said that Part 2
information sharing that is happening at the HIN and HIE level could be
halted, and burden to providers may increase. Commenters also argued
that this change is also not legally different than adopting the same
position with respect to treatment purposes and this change would align
with the CMS and ONC interoperability goals.
SAMHSA Response
Newly finalized language in Sec. 2.31(a)(4)(ii) continues to allow
patients to use a general designation in consenting to disclose their
records to organizations that facilitate the exchange of health
information. Specifically, if a recipient entity facilitates the
exchange of health information or is a research institution, a written
consent must include the name(s) of the entity and either the name of
the individual or entity participants, or a general designation of an
individual or entity participant(s) or class of participants that must
be limited to a participant(s) who has a treating provider relationship
with the patient whose information is being disclosed (e.g., ``my
treating providers'').
Public Comments
One commenter noted that SAMHSA did not provide a definition in the
[[Page 43006]]
proposed rule on what constitutes an HIE, and asked us to define what
types of organizations qualify as HIEs.
SAMHSA Response
On May 1, 2020, ONC published its final rule on interoperability
under the 21st Century Cures Act (85 FR 25642). As a part of the final
interoperability rule, ONC did provide a definition for what
constitutes an HIE (to be codified at 45 CFR 171.102). SAMHSA is hereby
incorporating that definition by reference, for the purpose of this
rule.
Public Comments
One commenter noted the tension between the functionality of an HIE
and protecting patient privacy. This commenter encouraged us to
carefully explore the relationship between part 2 data and HIEs in
future guidance, in order to identify solutions that can allow for
rapid data transfer while protecting patient privacy.
SAMHSA Response
We thank the commenter for this suggestion and will consider
issuing additional guidance related to HIEs in the future. SAMHSA will
also consider other educational activities, such as trainings and
webinars, should SAMHSA determine the need during implementation of the
final rule.
Public Comments
One commenter noted that the exclusion of HIEs is overbroad,
stating that if SAMHSA wants to ensure that organizations that access a
patient's information under a general designation only do so for
purposes of caring for the patient, it could adopt a provision that
simply says an HIE can only use a general designation on its consent
form if it has policies to ensure that participants obtain information
under the general designation only for limited purposes, such as
treatment, payment, or health care operations as defined under HIPAA.
SAMHSA Response
At this time, we do not believe this exclusion to be overbroad. As
stated above, newly finalized language in Sec. 2.31(a)(4)(ii)
continues to allow patients to use a general designation in consenting
to disclose their records to organizations that facilitate the exchange
of health information. Specifically, if a recipient entity facilitates
the exchange of health information or is a research institution, a
written consent must include the name(s) of the entity and either the
name of the individual or entity participants, or a general designation
of an individual or entity participant(s) or class of participants that
must be limited to a participant(s) who has a treating provider
relationship with the patient whose information is being disclosed
(e.g., ``my treating providers''). We will, however, consider this
suggestion in the future if we find the current language to be limiting
to patients.
E. Prohibition on Re-Disclosure (Sec. 2.32)
SAMHSA is finalizing this section as proposed.
In the 2017 final rule, SAMHSA clarified that the disclosure
restrictions on SUD patient records would extend to individuals or
entities who receive such records either from a part 2 program or from
another lawful holder. We further emphasized this clarification in the
notice requirements in Sec. 2.32 in the 2017 final rule. Under Sec.
2.32, each disclosure made with a patient's consent must contain a
written statement notifying the recipient of the applicability of 42
CFR part 2 to any re-disclosure of the protected record. In the 2017
final rule, SAMHSA noted that the prohibition on redisclosure provision
only applied to information from the record that would identify,
directly or indirectly, an individual as having been diagnosed,
treated, or referred for treatment for a SUD by a part 2-covered
provider. The prohibition still allowed other health-related
information shared by the part 2 program to be re-disclosed, if
permissible under the applicable law (82 FR 6089).
SAMHSA has since heard from the provider community that this
section of the regulation prompted downstream, non-part 2 providers to
manually redact portions of their disclosure data files that identify a
patient as having or having had a SUD. This activity is operationally
burdensome and not the intent of the 2017 final rule. As noted in
Section IV.C. above, SAMHSA has proposed to modify Sec. 2.12 to
clarify that the recording of information about an SUD and its
treatment by a non-part 2 provider is permitted and not subject to part
2, and that the non-part 2 provider may segregate or segment any
patient record previously received from a part 2 program to ensure that
she can distinguish them from her own patient records created following
clinical encounters. Therefore, a downstream non-part 2 provider would
not need to redact SUD information in its own records in an effort to
comply with part 2, provided that any outside patient record previously
received from a part 2 program or other lawful holder is segregated or
segmented.
To ensure that downstream non-part 2 providers are aware that they
do not need to redact information in their files if they have means of
identifying the part 2-covered data (e.g., by segregating or segmenting
the files received from the part 2 program), SAMHSA proposed to modify
and streamline the notice language in Sec. 2.32(a)(1) to remove the
superfluous language that has contributed to confusion regarding the
restrictions on re-disclosures (84 FR 44574). Specifically, we proposed
to remove ``information in'' and ``that identifies a patient as having
or having had a SUD either directly, by reference to publicly available
information, or through verification of such identification by another
person,'' from the current notice language established in the
regulation. Additionally, SAMHSA added language to specifically state
that only the part 2 record is subject to the prohibition on re-
disclosure in Sec. 2.32, unless further disclosure either is expressly
permitted by written consent of the individual whose information is
being disclosed in the record or is otherwise permitted by 42 CFR part
2 (84 FR 44574).
The comments we received on the proposed amendments to Sec. 2.32
and our responses are provided below.
Public Comments
Several commenters supported our proposal to streamline the
redisclosure language in Sec. 2.32, stating that the change would
reduce counterproductive provider burden, decrease confusion, and would
also support enhanced, whole-person care coordination for the benefit
of the patient. One commenter specifically noted that because of the
way the provision was previously worded, providers would redact
critical patient information for fear of violating Part 2, leading to
gaps in care. One commenter, while supporting the proposal, noted that
the need to revise this language may be limited, because of the ability
to use an alternative short form of the notice which was implemented in
the 2018 final rule. Some commenters, while supporting the proposal,
requested additional clarification on how patient confidentiality will
be assured.
SAMHSA Response
We thank the commenters for their support. As noted above, part 2
records will continue to be protected by part 2: The changes in Sec.
2.32 of the final rule merely provide clarity so that non-part 2
providers will better understand that they do not need to redact
patient information from their own clinical records that are not
protected by part 2.
[[Page 43007]]
Thus, we believe that patient confidentiality will still be
appropriately maintained under this proposal.
Public Comments
Some commenters opposed our proposal to streamline the redisclosure
language in Sec. 2.32, noting confidentiality concerns and potential
negative impacts to clinical decision-making. One commenter
specifically stated that patients would be reluctant to sign a consent
for disclosure of their records for legitimate reasons, knowing that
once the medical records are sent out, they can be disseminated without
the patient's consent.
SAMHSA Response
SAMHSA does not believe that the final rule on Sec. 2.32 changes
the basic consent requirements in the regulations. Instead, as stated
above, the change in Sec. 2.32 simply streamlines the required
``Notice'' language, to ensure that non-part 2 providers are not
burdensomely seeking to redact large amounts of text from a patient's
general medical record that is not protected under Part 2. In addition,
SAMHSA does not anticipate any adverse impact from the final rule on
Sec. 2.32 on clinical decision making. In fact, the more information
received by a downstream clinician in a record that is not redacted,
the better informed that clinician will be, thereby facilitating better
informed patient-clinician decisions.
Public Comments
A few commenters specifically stated that they did not support this
proposal because of the corresponding changes being proposed to Sec.
2.11. These commenters asserted that information conveyed from a part 2
program to a non-part 2 provider for treatment purposes with the
consent of the patient would no longer be protected by the Part 2 rules
and only subject to HIPAA, which has fewer protections and could lead
to medical care discrimination and increased legal prosecution.
SAMHSA Response
As stated above, under this rule, any record disclosed by a part 2
program to a non-part 2 provider will still be subject to part 2, and
the recipient's own clinical record might also become subject to part 2
if the received record is wholly incorporated into the non-part 2
provider's own patient record. Thus, Sec. 2.33 would continue to apply
to records in these instances.
Public Comments
A few commenters, although supporting the intent of the proposal,
noted difficulties in operationalizing the provision with EHRs. These
commenters recommended that future regulations clarify the re-
disclosure requirements, and recognize the existing challenges within
both paper and electronic environments. The commenters encouraged
SAMHSA to provide better examples and guidance for successfully
implementing the redisclosure requirements. One commenter specifically
asked SAMHSA to engage in pilot testing and evaluation of relevant
standards and technologies and suggested establishing a temporary safe
harbor for enforcement while the technical issues are studied. This
commenter also asked that, given the difficulty of distinguishing part
2 records from general medical information, SAMHSA consider lesser
penalties for ``good faith'' errors in contrast to malicious or other
intentionally wrongful disclosures.
SAMHSA Response
In the 2018 final rule, SAMHSA explicitly adopted an abbreviated
notice that is 80 characters long to fit in standard free-text space
within health care electronic systems (83 FR 240). SAMHSA has not
proposed any change to this abbreviated notice language in Sec. 2.32;
thus, stakeholders may continue using this language in their EHR
systems. As we previously noted in the 2018 final rule, SAMHSA
acknowledges that there may be technical issues connected to compliance
with Sec. 2.32 which will require future guidance to resolve.
Nevertheless, SAMHSA believes that the current final rule on Sec. 2.32
involves an appropriate balance of interests at present. SAMHSA will
continue to work with stakeholders, as needed, to provide guidance in
the future.
Public Comments
One commenter stated that the proposal will need to be enforced to
be effective, citing examples of third parties re-disclosing records,
even though all the pages are stamped with the non-re disclosure
statement.
SAMHSA Response
We also believe enforcing part 2 is important to protect
confidentiality of patients. We will continue to pursue enforcement of
this and other provisions under part 2.
Public Comments
A few commenters asked us to take the proposal further, by
completely eliminating the redisclosure prohibition, stating that the
statute does not require it. Commenters noted that downstream
redisclosures would fall under HIPAA protections, which are robust in
nature and familiar to those entities and individuals who would be
engaging in the redisclosures.
SAMHSA Response
As stated in the 2017 final rule, while the statute may not be
explicit with regard to all provisions in 42 CFR part 2, the statute
directs the Secretary to provide for such safeguards and procedures as,
in the judgment of the Secretary, are necessary or proper to effectuate
the purposes of this statute, to prevent circumvention or evasion
thereof, or to facilitate compliance therewith (82 FR 6089). At this
time, SAMHSA believes that Sec. 2.32 is still necessary, on balance,
to appropriately protect the confidentiality of patients.
We do anticipate making further revisions to part 2 in the future,
in order to implement the relevant provisions of the CARES Act, and we
will review the status of Sec. 2.32 in any future rulemaking.
Public Comments
One commenter recommended that SAMHSA add notice language to Sec.
2.32, to reinforce that the non-part 2 provider/entity has received the
part 2-protected SUD information for the permissible purpose of
improving service delivery for the patient, and that although
unauthorized redisclosure of part 2-protected information is
prohibited, this information should be used as intended for the
permissible purpose.
SAMHSA Response
The final rule at Sec. 2.32 does not specify particular purposes
for which part 2 protected records must be used, once the patient
consents to such use. We believe it is best to empower patients to
specify the terms for a limited disclosure, rather than adding
compulsory requirements for the use of disclosed records, which might
be confusing and could cause providers to limit the disclosure of
important information intended to be conveyed by the patient.
F. Disclosures Permitted With Written Consent (Sec. 2.33)
In response to comments received on the proposed rule and the CARES
Act provision incorporating into 42 U.S.C. 290dd-2 the HIPAA Privacy
Rule definition of health care operations, which includes care
coordination and case management activities, SAMHSA is
[[Page 43008]]
modifying this section of the rule from what was proposed, to add care
coordination and case management as an example of an activity for which
a lawful holder may make a further disclosure to its contractors,
subcontractors and/or legal representatives, in support of health care
payment or operations. In order to avoid confusion about the extent of
Sec. 2.33(b), SAMHSA has also deleted from the regulatory text the
statement that ``Disclosures to contractors, subcontractors, and legal
representatives to carry out other purposes such as substance use
disorder patient diagnosis, treatment, or referral for treatment are
not permitted under this section.''
While we did not specifically propose to include care coordination
and case management in the list of activities under Sec. 2.33(b), the
NPRM addressed the issue of how to facilitate these types of services,
and we received public comments on this point. More recently, Congress
passed the CARES Act, which expressly permits disclosure of Part 2
information for these very purposes. To the extent that there may be a
concern that we did not formally and specifically solicit public
comment on listing care coordination and case management in Sec.
2.33(b), we believe that further notice and comment on this matter is
unnecessary. The Department's statements in the NPRM elicited comments
on this issue, and the subsequent passage of the CARES Act would
otherwise effectuate Sec. 2.33(b) of this final rule starting March
27, 2021. Additionally, permitting disclosures under Sec. 2.33(b) for
case management and care coordination services in this final rule will
have the effect of granting providers, part 2 programs and lawful
holders more time in which to establish processes for carrying out
these essential services in accordance with the requirements of this
final rule and the CARES Act provisions. Therefore, the Department
finds good cause to forego notice and comment on whether care
coordination and case management activities should be included in the
illustrative list of permissible payment and health care operations
activities under 2.33(b). 5 U.S.C. 553(b)(B)(an agency is exempt from
the notice and comment requirements of the Administrative Procedure Act
if the agency ``for good cause finds . . . notice and public procedure
thereon are impracticable, unnecessary, or contrary to the public
interest'').
In the 2018 final rule (83 FR 241), SAMHSA clarified at Sec.
2.33(b), the scope and requirements for permitted disclosures by a
lawful holder to contractors, subcontractors, and legal
representatives, for the purpose of payment and certain health care
operations. In the 2017 proposed rule, SAMHSA proposed to include in
the regulatory text a list of 17 specific types of permitted categories
of payment and health care operations (82 FR 5487).
Based on the numerous comments received requesting additions or
clarifications to the list, as well as concerns that the changes
occurring in the health care payment and delivery system could rapidly
render any list of activities included in the regulatory text outdated,
SAMHSA decided not to include the list of 17 activities in the
regulation text in the 2018 final rule, and, instead, decided to
include a list of the types of permitted activities in the preamble of
the 2018 final rule. SAMHSA stated in the 2018 final rule that we
included this list of activities in the preamble in order to make clear
that it is an illustrative rather than exhaustive list of the types of
payment and health care operations activities that would be acceptable
to SAMHSA (83 FR 241). By removing the list from the regulatory text,
SAMHSA intended for other appropriate payment and health care
operations activities to be permitted under Sec. 2.33 as the health
care system continues to evolve.
Since the 2018 final rule was published, SAMHSA has learned that
including an illustrative list of permissible activities in the
preamble rather than in the text of the regulation did not fully
clarify the circumstances under which part 2 information could be
further disclosed under Sec. 2.33. Specifically, stakeholders may have
believed that a particular activity was not permissible unless
explicitly identified within the regulatory text. Therefore, to clear
up any remaining confusion, SAMHSA proposed to amend Sec. 2.33(b) to
expressly include the illustrative list of permissible activities that
was contained in the preamble of the 2018 final rule (83 FR 243). It is
important to note, as was noted in the preamble to the 2018 final rule,
that this list is illustrative rather than exhaustive.
Specifically, SAMHSA proposed to add the following examples of
permissible activities that SAMHSA considers to be payment and health
care operations activities to Sec. 2.33(b):
Billing, claims management, collections activities,
obtaining payment under a contract for reinsurance, claims filing and
related health care data processing;
Clinical professional support services (e.g., quality
assessment and improvement initiatives; utilization review and
management services);
Patient safety activities;
Activities pertaining to:
[cir] The training of student trainees and health care
professionals;
[cir] The assessment of practitioner competencies;
[cir] The assessment of provider and/or health plan performance;
and/or
[cir] Training of non-health care professionals;
Accreditation, certification, licensing, or credentialing
activities;
Underwriting, enrollment, premium rating, and other
activities related to the creation, renewal, or replacement of a
contract of health insurance or health benefits, and/or ceding,
securing, or placing a contract for reinsurance of risk relating to
claims for health care;
Third-party liability coverage;
Activities related to addressing fraud, waste and/or
abuse; Conducting or arranging for medical review, legal services, and/
or auditing functions;
Business planning and development, such as conducting cost
management and planning-related analyses related to managing and
operating, including formulary development and administration,
development or improvement of methods of payment or coverage policies;
Business management and/or general administrative
activities, including management activities relating to implementation
of and compliance with the requirements of this or other statutes or
regulations;
Customer services, including the provision of data
analyses for policy holders, plan sponsors, or other customers;
Resolution of internal grievances;
The sale, transfer, merger, consolidation, or dissolution
of an organization;
Determinations of eligibility or coverage (e.g.,
coordination of benefit services or the determination of cost sharing
amounts), and adjudication or subrogation of health benefit claims;
Risk adjusting amounts due based on enrollee health status
and demographic characteristics; and
Review of health care services with respect to medical
necessity, coverage under a health plan, appropriateness of care, or
justification of charges.
To further clarify that the list is not exhaustive, SAMHSA also
proposed to add ``other payment/health care operations activities not
expressly prohibited'' in this provision to the end of the list. SAMHSA
also again clarified in the preamble to the proposed rule (84 FR 44575)
that Sec. 2.33(b) was not intended to cover disclosures to
contractors, subcontractors, and legal
[[Page 43009]]
representatives for the purposes of care coordination or case
management, and disclosures to carry out such purposes were not
permitted under this section. We noted that this policy differs from
the HIPAA Privacy Rule, under which `health care operations'
encompasses such activities as case management and care coordination.
SAMHSA previously emphasized the importance of maintaining patient
choice in disclosing information to health care providers with whom
they will have direct contact (83 FR 243). We stated in the proposed
rule that although Sec. 2.33(b) does not cover disclosures for the
purpose of care coordination or case management, such disclosures may
nevertheless be made under other provisions of Sec. Sec. 2.31 and
2.33. Additionally, we noted that several of the proposals to revise
other sections of part 2 in this rulemaking would help to facilitate
coordination of care, as under Sec. 2.12 (Applicability). However, as
discussed above, due to recent CARES Act amendments as well as public
comments, SAMHSA has decided to include care coordination and case
management in the illustrative list of examples of payment and health
care operations activities for which disclosures may be made under
Sec. 2.33(b).
At this time, we note that this rule provides transitional
regulations until such time as implementing regulations for Sec. 3221
of the CARES Act come into effect. In future rulemaking, we will
consider further revisions to Sec. 2.33, as needed to implement
relevant provisions under the CARES Act.
The comments we received on the proposed amendments to Sec. 2.33
and our responses are provided below.
Public Comments
Several commenters expressed support for the proposed changes,
saying that moving the list to the regulatory text reduces confusion;
appropriately acknowledges the modern health care landscape and the
role of third-party entities in facilitating access to SUD treatment
services; and provides a helpful guide as to what information may be
shared and for what purposes. One commenter said that SAMHSA is trying
to do what it can to enable appropriate disclosures for the sake of
part 2 program operations and coordination of care and still reasonably
protect the privacy of the part 2 patient. Another appreciated the
addition of the 18th item, ``other payment/health care operations
activities not expressly prohibited,'' to clarify that the list is not
exhaustive. One commenter supported the changes but said that adding
these fairly numerous exceptions will add greater complexity to a
regulation with which providers and payers already struggle. Other
commenters supported the change but requested that SAMHSA include care
coordination and case management in the list of permitted activities,
as discussed further below.
SAMHSA Response
We thank the commenters for their support and insights about the
change. We address in a subsequent answer below public comments
requesting the addition of care coordination and case management to the
list of permitted activities in Sec. 2.33(b).
Public Comments
One commenter supported the changes to Sec. 2.33 but requested
additional clarification on how patient confidentiality will be
assured.
SAMHSA Response
We refer the commenter to Sec. 2.33(c), which outlines contract
provisions for disclosures made under Sec. 2.33(b), ensuring that that
contractors, subcontractors or voluntary legal representatives who
receive information pursuant to this section are fully bound by the
part 2 regulations, among other requirements. We also refer the
commenter to Sec. 2.13(a), which states that any disclosures made
under the regulations must be limited to that information that is
necessary to carry out the purposes of the disclosure. As we have
previously stated, to comply with Sec. 2.13, lawful holders should
ensure that the purpose section of the consent form is consistent with
the role of or services provided by the contractor or subcontractor
(e.g. ``payment and health care operations'') (83 FR 244).
Public Comments
One commenter requested additional clarification that a qualified
service organization (QSO) under Sec. 2.11 can provide the same health
care operation services that will now be codified in Sec. 2.33 for
contractors of non-part 2 programs.
SAMHSA Response
A QSO is an individual or entity who provides services to a part 2
program consistent with a qualified service organization agreement
(QSOA). Examples of services provided by QSOs include data processing,
bill collecting, dosage preparation, laboratory analyses, or legal,
accounting, population health management, medical staffing, or other
professional services, or services to prevent or treat child abuse or
neglect, including training on nutrition and child care and individual
and group therapy. We believe many of these activities would overlap
with those articulated in Sec. 2.33(b) related to information
disclosures to a lawful holder's contractors, subcontractors and legal
representatives for the purposes of payment and/or health care
operations.
Public Comments
One commenter recommended that SAMHSA clarify the term
``information which is necessary to carry out the stated purpose'' in
regard to activities related to training of student trainees and
healthcare professionals; business planning and development;
management; and customer services. Alternatively, the commenter
suggested that the regulations could require that these individuals use
the part 2 information in a manner that is compliant with the HIPAA
privacy regulations.
SAMHSA Response
Under Sec. 2.33(b), disclosures to a lawful holder's contractors,
subcontractors and legal representatives for payment and health care
operations must be limited to that information which is necessary to
carry out the stated purpose of the disclosure. This provision helps to
ensure that information is not shared more broadly than the purposes
for which the patient consents. Thus, disclosures for any of the
activities under Sec. 2.33(b) must be limited to that minimal amount
of information that is truly necessary to carry out the purpose of the
specific health care and payment operations activity intended.
Likewise, under Sec. 2.13(a), information disclosed under the part 2
regulations must be limited to that information which is necessary to
carry out the purpose of the disclosure. To comply with Sec. 2.13, we
have previously stated that part 2 programs and lawful holders
disclosing information under Sec. 2.33(b) should ensure that the
purpose section of the consent form is consistent with the role of or
services provided by the contractor or subcontractor (e.g. ``payment
and health care operations'') (83 FR 244).
At this time, we note that this rule provides transitional
regulations until such time as implementing regulations for Sec. 3221
of the CARES Act come into effect. In future rulemaking, we will
consider making further revisions to Sec. 2.33, consistent with the
CARES Act.
Public Comments
A few commenters requested additional clarity on the types of
activities that are permitted. Commenters suggested expanding the list
and providing examples of
[[Page 43010]]
permitted activities, as well as describing expectations for activities
that are not on the list. One commenter suggested that, rather than
listing the 17 activities, the language ``unless explicitly
prohibited'' would provide more clarity. A few commenters said SAMHSA
should be clearer that the list is not all-inclusive.
One commenter asked that several items on the list of permitted
activities be clarified to include specific activities. The commenter
asked that the second item on the list, clinical professional support
services (e.g., quality assessment and improvement initiatives,
utilization review and management services), be further clarified to
include the calculation of quality measures and creation of appropriate
benchmarks; that the third item on the list, patient safety activities,
be further clarified to include determination of drug-drug interaction
and notification of a prescriber and pharmacy provider if a medication
is being prescribed that would be contraindicated for an individual
receiving MAT; that the fourth item on the list, activities pertaining
to training, practitioner assessment and practitioner plan performance,
and training of non-health care professionals, be clarified to permit
health plans and their contractors to make site visits and review
records of a part 2 program provider as part of the accreditation
process and reaccreditation process; and that the 13th item on the
list, business planning and development, including the development or
improvement of methods of payment or coverage policies, include
activities related to the development and implementation of delivery
system and payment reform. One commenter asked SAMHSA to clarify that
this section would allow part 2 claims information to be utilized to
evaluate whether an individual is an appropriate candidate for a
prescriber or pharmacy restriction program.
SAMHSA Response
SAMHSA is finalizing in regulatory text under Sec. 2.33(b) an
illustrative and lengthy set of categories of activities for which
lawful holders would be allowed to further disclose the minimal
information necessary to contractors, subcontractors, or legal
representatives for payment and health care operations. SAMHSA expects
that this list will provide needed direction and guidance to
stakeholders about the reasons for which information may be disclosed
under this section, and its broad language should also provide
flexibility for stakeholders to carry out necessary activities within
each category to provide part 2 patients with quality care. SAMHSA
believes the categories are largely self-explanatory, and we decline to
list examples of all the potential activities that fit within each
category, given the variation in and the evolving nature of the health
care delivery system. SAMHSA does expect that additional payment and
health care operations activities beyond those explicitly named would
be permitted under Sec. 2.33, and thus we are finalizing our proposal
to add a final item to the list, indicating that other payment and
health care operations activities not expressly prohibited are also
allowed. The final item is intended to help ensure that stakeholders
understand the list is not exclusive.
Public Comments
A commenter asked if activities described in Sec. 2.33(b)(1)-(3)
are only permissible with written patient consent, and if any of these
activities fall under Sec. 2.12(c)(3). The commenter believed a part 2
program needs consent before it shares information for operational
activities such as supervision, training, quality assurance, peer
review, etc. with an entity having direct administrative control over
it.
SAMHSA Response
The activities listed in Sec. 2.33(b) require a patient's consent
to disclose his or her information for payment and health care
operations. However, the part 2 regulations provide leeway for part 2
programs to share information within their larger health care
organizations. Section 2.12(c)(3) states that, ``The restrictions on
disclosure in the regulations in this part do not apply to
communications of information between or among personnel having a need
for the information in connection with their duties that arise out of
the provision of diagnosis, treatment, or referral for treatment of
patients with SUDs if the communications are: (i) Within a part 2
program; or (ii) Between a part 2 program and an entity that has direct
administrative control over the program.'' The phrase ``direct
administrative control'' refers to the situation in which a substance
use disorder unit is a component of a larger behavioral health program
or of a general health program.'' Additionally, under Sec. 2.53(a)(2),
part 2 programs may determine that individuals or entities within their
health care organizations are qualified to conduct audits and
evaluations and may share information pursuant to such reviews.
Further, information may be shared for audit and evaluation purposes
under new Sec. 2.53(a)(1)(iii) and (b)(2)(iii) with entities that have
direct administrative control over part 2 programs.
Public Comments
Several commenters opposed the change, stating that it has the
potential for strong negative impacts to patients who may not fully
understand to what they are consenting; would greatly expand the number
of redisclosures without consent, including to entities that are not
involved in direct patient care; and make it more difficult to respond
to emerging practices that threaten patient privacy. One commenter said
that aside from treatment purposes and a business associate-styled
exception (with protections) for EMR and HIE vendors, disclosures
should generally require written consent of the patient. Another said
that the proposed change would permit disclosure without consent so
broadly as to undercut the idea of protections and make the rules
unenforceable as injured parties would not be able to identify who
violated the rules. One commenter said it may be more appropriate for
the agency to provide the illustrative list of activities that fall
under ``payment and health care operations'' as regulatory guidance
instead of including it in the regulation itself, as publishing the
list as guidance may enable providers to feel more comfortable
participating in activities not explicitly listed, but important to
providing coordinated patient care.
SAMHSA Response
SAMHSA recognizes that lawful holders of part 2 information have
legitimate needs to disclose that information to contractors,
subcontractors and legal representatives, which play an integral role
in the management, delivery and payment of health care services. The
list of permitted activities was initially finalized as guidance in the
2018 final rule preamble. SAMHSA has learned that including an
illustrative list of permissible activities in the preamble rather than
in the text of the regulation did not fully clarify the circumstances
under which part 2 information could be further disclosed under Sec.
2.33. Specifically, stakeholders may believe that a particular activity
is not permissible unless it is explicitly identified within the
regulatory text. SAMHSA is now codifying the list in the regulatory
text for added clarity. SAMHSA believes it has struck the correct
balance between protecting patient confidentiality and ensuring that
lawful holders involved in providing and paying for SUD treatment can
reasonably function in today's complex
[[Page 43011]]
health care delivery framework. While Sec. 2.33(b) allows for
disclosures to contractors, subcontractors and legal representatives
for health care payment and operational activities, SAMHSA has also
placed limits on disclosures of part 2 information to such entities for
such purposes. Specifically, Sec. 2.33(c) outlines contract provisions
for disclosures made under Sec. 2.33(b) ensuring that that
contractors, subcontractors or voluntary legal representatives are
fully bound by part 2, among other requirements.
Public Comments
A few commenters said that the activities included in the term
``health care operations'' are so wide-ranging that they could be
interpreted as permitting activities that could harm SUD patients by
potentially allowing protected SUD information to be disclosed to
employers. Commenters recommended the inclusion of anti-discrimination
protection language in this section.
SAMHSA Response
As we have previously indicated, promulgating rules that address
discriminatory action is outside the scope of SAMHSA's legal authority
(83 FR 248). However, we refer the commenter to Sec. 2.13(a), which
states that patient records subject to the part 2 regulations may be
disclosed or used only as permitted by the regulations and may not
otherwise be disclosed or used in any civil, criminal, administrative,
or legislative proceedings conducted by any federal, state, or local
authority. Further, Sec. Sec. 2.64 and 2.65 describe required
procedures and criteria for orders authorizing disclosures for criminal
investigations of patients and for non-criminal purposes (such as a
civil action).
Public Comments
One commenter said that although this section does not cover care
coordination or case management, other clarifications in the proposed
rule address those questions sufficiently.
SAMHSA Response
We appreciate this comment, but we also refer to our response below
with regard to the addition of care coordination and case management to
the list of permitted activities under Sec. 2.33(b).
Public Comments
Many commenters objected to the exclusion of care coordination and
case management under Sec. 2.33(b) and asked SAMHSA to align its
policy with the HIPAA privacy rule by including these activities in the
definition of health care operations, or to otherwise allow care
coordination and case management to be included in the list of
permitted activities. A few commenters specifically noted that SAMHSA
has the authority under 42 U.S.C. 290dd-2 to enact this change. One
commenter suggested these activities be reclassified as health coaching
or other legitimate health plan operational activities in order to
ensure the appropriate coordination of care, while another urged SAMHSA
to adopt a specific care coordination exception to the consent
requirement.
Commenters gave many reasons for objecting to the exclusion of care
coordination and case management from the list of permitted activities.
Some commenters said the current policy is harmful to individuals with
SUDs because it increases the risk of negative drug interactions,
medical errors, overdose, or death; creates delays in care or in the
receipt of MAT; and maintains and reinforces the stigma of SUD. Other
commenters stated that disallowing care coordination and case
management from the list of permitted activities is inconsistent with
best practices and incompatible with the way health care is delivered
today, hindering the ability to provide comprehensive, integrated,
coordinated care that decreases emergency room and inpatient services.
Commenters emphasized that optimal, safe care requires access to a
patient's entire treatment history and current medications. Some
commenters said that the current policy prevents insurers, Medicaid
agencies, administrators, peer support organizations, and providers
from making a more meaningful personal care impact and creates more
difficulty in helping patients obtain better health outcomes.
A few commenters said the current rule causes confusion and
administrative burden for providers as well as health plans that have
difficulty obtaining written consent from enrollees, patients who must
sign multiple consent forms, and other parties involved with the
provision of health care. A few commenters also emphasized that the
current policy is misaligned with HIPAA and that allowing for care
coordination and case management under Sec. 2.33(b) would ease
administrative burden for entities subject to both part 2 and HIPAA.
Another commenter said it would avoid the ``slippery slope'' of
possibly expanding the proposed part 2 applicability changes to other
non-part 2 lawful holders and for purposes beyond TPO. A few commenters
also said that established definitions of ``care coordination'' and
``case management'' do not refer to treatment, diagnosis and referral,
but instead refer to more operational, or management-based activities.
Several commenters emphasized potential benefits of including care
coordination and case management in the list of permitted activities,
such as increasing access to integrated, whole-person care; improving
treatment adherence and outcomes; enabling managed care organizations
to more easily provide valuable supports to their beneficiaries with
SUD; avoiding duplicative prescriptions; facilitating communication
with appropriate community-based organizations; alleviating complex
consent requirements; and lowering overall health care costs. Another
commenter said that recovery should be coordinated to address self-care
practices, family, housing, employment, transportation, education,
clinical treatment for mental disorders and SUDs, services and
supports, primary healthcare, dental care, complementary and
alternative services, faith, spirituality, creativity, social networks,
and community participation.
One commenter said that SAMHSA has offered no legal or policy basis
for this unique definition and handling of care coordination and case
management for SUDs. A few commenters felt that part 2 limits or
prohibits sharing of SUD records for critical care coordination
activities while allowing it for less essential payment and health care
operations. One commenter emphasized that SUD treatment providers must
be treated equally--or with parity--to other health care providers.
Others observed that changing the current policy would be consistent
with the proposal's goals of improving appropriate information flow and
integrated care and is philosophically aligned with CMS' and HHS'
broader efforts to create a more integrated and efficient care delivery
system.
SAMHSA Response
SAMHSA understands and acknowledges the commenters' concerns.
SAMHSA recognizes that care coordination activities have numerous
benefits described by the commenters, including the ability to protect
patient safety, improve quality of care, and lower costs. SAMHSA also
recognizes, consistent with commenter feedback, that many activities
involving care coordination and case management are operational in
nature, and distinguishable from the direct
[[Page 43012]]
disclosure of a treatment record from one provider (e.g., a part 2
program) to another (e.g., a non-part 2 primary care physician) for the
purpose of treatment and diagnosis.
Because of the public comments that SAMHSA received on this issue
in the proposed rule and the CARES Act amendments incorporating into 42
U.S.C. 290dd-2 provisions permitting disclosure of part 2 information
for care coordination and case management activities, SAMHSA has
decided to add care coordination and case management to the list of
examples of permissible activities under the heading of payment and
health care operations in Sec. 2.33(b) in the regulatory text of the
final rule. Under the final provision, a lawful holder who receives an
SUD record subject to a patient's written consent may further disclose
that record to its contractors, subcontractors, and/or legal
representatives, for the purpose of carrying out care coordination or
case management services in support of health care payment or
operations. In order to avoid confusion about the extent of Sec.
2.33(b), SAMHSA has also deleted from the regulatory text the statement
that ``Disclosures to contractors, subcontractors, and legal
representatives to carry out other purposes such as substance use
disorder patient diagnosis, treatment, or referral for treatment are
not permitted under this section.'' The revised, final rule language of
Sec. 2.33(b), taken on its face, applies to a patient's consent to a
disclosure of his records for the purpose of payment and/or health care
operations.
With regard to the revised, final rule language of Sec. 2.33(b),
we also note that the passage of the CARES Act by Congress will result
in a major change to the authorizing statute, and will provide far
greater flexibility for patients and health care providers to share SUD
records than currently allowed under 42 U.S.C. 290dd-2. The revised,
final rule language of Sec. 2.33(b) represents an interim and
transitional step towards more flexibility in consented-to disclosures
for purposes of care coordination and case management, consistent with
the realignment to the HIPAA privacy rule that is required by several
provisions under the CARES Act. Again, HHS intends to publish a new
NPRM and subsequently to issue final implementing regulations for the
CARES Act in the future.
In the interim, note also that several other sections of this final
rule, particularly at Sec. 2.11 and Sec. 2.12, separately will help
to facilitate instances in which a care coordination activity is
intermediated by a disclosure directly from a part 2 program to a non-
part 2 provider for the purpose of treatment.
Public Comments
A few commenters said it is unclear whether care coordinators can
be considered to have a treating provider relationship with the patient
for purposes of the general designation option, and/or that they should
be recognized as having a treating provider relationship for the
purposes of part 2. One commenter said that this ambiguity is
particularly challenging for accountable care organizations (ACOs), as
patients may be passively attributed to the ACO and may not recognize
the ACO's role in coordinating his or her care. The commenter requested
that SAMHSA clarify under what circumstances an ACO can use disclosed
part 2 information when the patient often is unaware that he/she is
participating in the ACO due to passive attribution.
SAMHSA Response
As SAMHSA has previously indicated, individuals and entities that
meet the definition of having a treating provider relationship with the
patient are considered treating providers. The determination is fact-
specific. (82 FR 6082). SAMHSA declines to explicitly broaden the term
``treating provider relationship'' to include all persons and entities
that engage in any form of care coordination activity in this final
rule. However, SAMHSA also has noted previously (82 FR 6085) that the
definition of ``treating provider relationship'' is sufficiently broad
to cover the necessary components of a patient's care team. SAMHSA may
provide further sub-regulatory guidance in the future with regard to
ACOs, if further clarification is needed.
Public Comments
A few commenters suggested that SAMHSA allow part 2 records to be
disclosed for the purposes of care coordination with specific written
patient consent that is clear and understandable. A few commenters said
that SAMHSA could permit the use of a one-time, generalized consent
that would allow for the disclosures and redisclosures for treatment,
payment, and health care operations purposes to HIPAA-covered entities
and part 2 programs. Similarly, a commenter emphasized that allowing
general consent to share SUD information with caregivers for ``other
treatment'' purposes, including placement and care coordination, would
reduce the significant administrative burden associated with generating
a specific consent prior to each instance that this information is
shared with caregivers. Another commenter recommended that SAMHSA
revise 42 CFR 2.33(b) to allow lawful holders that receive part 2
records pursuant to a patient's consent to disclose such information to
their contractors, subcontractors, and legal representative for ``all
purposes authorized by the patient.'' One commenter urged SAMHSA to
adhere to the American Academy of Family Physicians' (AAFP's) policy on
Patient/Physician Confidentiality regarding the privacy of medical
information, and specifically that third-party payer and self-insured
employer policies and contracts should explicitly describe the patient
information that may be released, the purpose of the information
release, the party who will receive the information, and the time
period limit for release.
SAMHSA Response
As explained above, SAMHSA has made a change to the regulatory text
of Sec. 2.33(b), to add care coordination and case management to the
list of examples of permissible disclosures under the heading of
payment and operations. Under the final provision, a lawful holder who
receives an SUD record subject to a patient's written consent may
further disclose that record to its contractors, subcontractors, and/or
legal representatives, for the purpose of carrying out care
coordination or case management services in support of health care
payment or operations. SAMHSA believes that this revision to Sec.
2.33(b) will strike the appropriate balance in facilitating disclosures
with patient consent, for the purpose of operational care coordination
and case management activities. SAMHSA believes that it is beyond the
scope of the current rule-making to address AAFP's policy, with regard
to instituting new requirements for third-party payer and self-insured
employer policies and contracts, and thereby describing and limiting
any corresponding release of information from patient records.
Public Comments
One commenter expressed concern that SAMHSA has also continued to
exclude diagnosis, treatment, and referral to treatment from the
proposed rule's definition of health care operations, and urged SAMHSA
to further revise the rule to include these critical activities in its
definition of health care operations.
[[Page 43013]]
SAMHSA Response
SAMHSA is making a change to Sec. 2.33(b) in the final rule
addressing these issues, as described above.
Public Comments
A few commenters advocated that 42 CFR part 2 be brought into full
alignment with HIPAA, saying it would streamline consents; reduce
barriers to data sharing, care coordination and treatment; and maintain
appropriate privacy protections. Commenters emphasized that full
alignment with HIPAA would better reflect current health care
operations as well as legal and social healthcare policy. One commenter
said that the HIPAA privacy framework includes protections for
healthcare records, conversations with providers about care decisions
or treatment, and personal information, such as billing information.
Another commenter noted that providers have years of experience with
the HIPAA framework, have processes in place to ensure that coverage
and treatment information is protected, and face the risk of
enforcement penalties under HIPAA. A few commenters urged SAMHSA to
allow part 2 records to be shared without re-disclosure restrictions as
long as any re-disclosures are for similar treatment, payment and
health care operations purposes, or alternatively that SAMHSA include
the sharing of medical records from part 2 providers with HIPAA-covered
providers, health plans and care coordination entities without patient
consent, including the exchange of that information through Health
Information Exchanges. Another commenter recommended that if such
streamlining cannot be accomplished, SAMHSA provide further guidance to
industry regarding ways in which important patient care objectives can
still be achieved despite the restrictions.
SAMHSA Response
Due to its targeted population, part 2 provides more stringent
federal protections than most other health privacy rules, including
HIPAA. In light of the part 2 authorizing statute and its intent,
SAMHSA is unable to create the alignment suggested by the commenters.
However, in this final rule, SAMHSA does make numerous revisions to the
part 2 regulations that will improve information sharing among a
patient's treating providers, which should enhance the ability to
coordinate care and better serve patients receiving treatment from part
2 programs. In this regard, we also note that the current rule provides
a transitional standard until such time as implementing regulations for
Sec. 3221 of the CARES Act come into effect. In future rulemaking, we
will consider making additional revisions to Sec. 2.33, as needed to
implement relevant provisions under the CARES Act.
Public Comments
One commenter suggested clarifying that a patient does not need to
complete the ``purpose'' section of a 42 CFR part 2-compliant consent
form for it to be a valid authorization. The commenter said that
denying a patient-directed release of information because the patient
has failed to complete this section is not appropriate or consistent
with SAMHSA's commitment to ``patient choice in disclosing
information.''
SAMHSA Response
We disagree with the commenter. Section 2.31(a)(5) requires the
consent to include the purpose of the disclosure. Section 2.31(b)
states that a disclosure may not be made on the basis of a consent
which on its face substantially fails to conform to any of the
requirements set forth in Sec. 2.31(a).
Public Comments
Several commenters offered ideas for topics that future regulations
or guidance could address, including phone screenings; new care models;
the use of digitized voice consent; and a templated, plain language
part 2 record consent form that could be used to better standardize
disclosures, provided in an electronic format that would allow
populated data to be easily integrated into information management
systems.
SAMHSA Response
We thank the commenters for their suggestions and will consider
these ideas for future guidance.
G. Disclosures To Prevent Multiple Enrollments (Sec. 2.34)
SAMHSA is finalizing this section as proposed.
In the 2017 final rule, SAMHSA modernized Sec. 2.34 by updating
terminology and revising corresponding definitions. Section 2.34
permits, with consent, disclosure of patient records to a withdrawal
management or maintenance treatment program within 200 miles of a part
2 program. After considering comments, we retained the specificity of
``200 miles'' to prevent multiple enrollments that could result in
patients receiving multiple streams of SUD treatment medications, which
in turn may increase the likelihood of an adverse event or of diversion
(82 FR 6094).
Central registries, defined in Sec. 2.11, do not exist in all
states, and the defining parameters for the operation of the registries
vary somewhat across states and across part 2 programs. However, in the
context of the opioid epidemic, recent experience has demonstrated that
it is important for all providers who work with SUD patients, including
non-opioid treatment program (non-OTP) providers, to have access to the
information in the central registries, for the purpose of helping
prevent duplicative patient enrollment for opioid use disorder
treatment. Access to central registry information is also needed by
non-OTP providers to fully inform their decisions when considering
appropriate prescription drugs, including opioids, for their patients.
Methadone is a long-acting opioid used to treat opioid use
disorders and for pain that, when used at levels higher than
recommended for an individual patient, can lead to low blood pressure,
decreased pulse, decreased respiration, seizures, coma, or even death.
When used as a part of a supervised MAT program, methadone is a safe
and effective treatment for SUD, including opioid use disorder (OUD).
Methadone is a long-acting opioid, subject to accumulation when its
metabolism is inhibited. Its effects may be potentiated by certain
other drugs with which it may have pharmacodynamic interactions, so the
medication is specifically tailored to each individual patient and must
be used exactly as prescribed. Exceeding the specific dosing can lead
to dangerous side effects and potential overdose. Other medications,
including other SUD treatments, such as buprenorphine, as well as other
medication including other opioids, benzodiazepines, HIV medications,
certain antipsychotics and anti-depressants, also have the potential to
interact dangerously with methadone.
Buprenorphine products are also long-acting opioid formulations
approved by FDA for treatment of opioid use disorder, subject to
limitations, which can be dispensed at OTPs, and in outpatient
settings. While buprenorphine is demonstrated to exhibit a ceiling
effect on respiratory depression in persons with opioid tolerance, it
has significant opioid effects in those without tolerance which can
contribute to adverse events including opioid overdose. Both of these
long acting opioids (methadone and buprenorphine) have potential drug
interactions with other medications that could lead to adverse events,
including drug toxicity and opioid overdose.
These realities underscore the reason it is important for a
prescriber to check
[[Page 43014]]
central registries, when possible, to assure that it is appropriate to
prescribe the contemplated opioid therapies for a particular
individual. The ability to query a central registry regarding any
duplicative enrollment in similar treatment can also be crucial to
effective care, and to ensuring patient safety. Similarly, to avoid
opioid-related adverse events, it is imperative that prescribing
clinicians be aware of any opioid therapy that may be in current use by
a patient prior to making further medication prescribing decisions.
Under the current language of Sec. 2.34(a), a part 2 program may
seek a written patient consent in order to disclose treatment records
to a central registry. In turn, the recipient central registry may only
disclose patient contact information for the purpose of preventing
multiple enrollments under Sec. 2.34(b). Currently, under Sec.
2.34(c), the central registry may only disclose when asked by a
``member program'' whether an identified patient is enrolled in another
member program.
SAMHSA proposed to expand the scope of Sec. 2.34 to make non-OTP
providers with a treating provider relationship with the patient
eligible to query a central registry to determine whether the specific
patient is already receiving opioid treatment through a member program
to prevent duplicative enrollments and prescriptions for excessive
opioids, as well as to prevent any adverse effects that may occur as a
result of drug interactions with other needed medications.
Specifically, SAMHSA proposed to amend Sec. 2.34(b) to include the use
of central registry information to coordinate care with a non-part 2
program. In addition, we proposed to add a new subsection (d) to
specifically permit non-member treating providers to access the central
registries. Previous subsection (d) would be re-designated as
subsection (e).
SAMHSA believes that disclosures by central registries to non-OTP
treating providers will help to ensure patient safety, and to prevent
duplicative treatment plans and medications or medication doses that
could place a patient receiving SUD treatment at risk.
The comments we received on the proposed amendments to Sec. 2.34
and our responses are provided below.
Public Comments
Many commenters believed the proposed changes will prevent
duplicative prescriptions, avoid adverse drug events, ensure patient
safety, foster care coordination, and improve care quality.
SAMHSA Response
SAMHSA appreciates the comments and agrees that the finalized
changes will give all providers with a treating relationship important
information for treating patients with SUD, thereby increasing
coordination and quality of care and improving patient safety.
Public Comments
A few commenters expressed concern that the proposed changes, if
finalized, would reduce patient privacy and increase stigma and harm.
Some commenters drew a distinction between changes proposed in Sec.
2.36 and changes proposed in this section, noting that sharing
information from central registries would infringe upon patient privacy
protections in a way that contravenes 42 CFR part 2. One commenter
expressed concern that the proposed changes are unnecessary and that
medication information can be gathered through drug screens.
SAMHSA Response
SAMHSA is committed to improving the lives of people living with
SUD, and individuals with SUD face real stigma. We believe that
allowing medical professionals with a treating provider relationship
access to central registries will improve the quality and safety of
care for these individuals. We also believe that increasing care
coordination and information access within an individual's care team
will reduce stigma by giving providers accurate and comprehensive
information about a patient's medical needs. We appreciate commenters'
concerns regarding patient privacy and remain dedicated to protecting
information for individuals with SUD. SAMHSA believes that privacy
cannot come at the cost of patient care and safety, and the proposed
changes seek to balance the critical importance of patient
confidentiality with the vital information required for medical
professionals to provide the highest quality care to individuals with
SUD. We also note that central registries already exist as defined in
Sec. 2.11 and the proposed changes in this rule would not create new
registries. SAMHSA acknowledges that some information can be obtained
from patient drug screens. However, accurate dosing and frequency of
medications cannot be obtained from drug screens and these types of
screens do not offer a reliable substitute for the proposed changes.
Public Comments
A few commenters in Sec. Sec. 2.34 and 2.36 expressed concern
about the concept of central registries, and noted that they were
opposed to requiring patients with SUD to be listed on a registry.
Several commenters requested clarification on the process to obtain
consent for the proposed changes. Other commenters requested
clarification on how the proposed changes would or would not compel
corresponding changes in state law to permit access to central
registries.
A few commenters requested clarification on the privacy protections
afforded to information obtained by non-OTP providers from central
registries if the information in the non-OTP record is not segmented.
Some of these commenters also asked if the access to central registries
was limited to physicians or open to other health care professionals
with a treating provider relationship such as physician assistants or
nurse practitioners.
SAMHSA Response
As noted earlier, SAMHSA understands the concerns of these
commenters and would like to clarify that central registries as defined
under Sec. 2.11 already exist within OTPs and are used solely for the
purpose of maintaining health care information. The proposals within
this section would not create new requirements that compel patients
with SUD to register on any lists.
SAMHSA anticipates that OTPs may update existing consent forms to
include new language regarding information shared with non-OTP treating
providers, or create new consent forms for this purpose. It is SAMHSA's
understanding that while many state laws do not inherently prevent
access to central registries, some states may consider legal updates to
ensure that non-OTP providers are not expressly prohibited from such
access.
We appreciate commenter questions regarding the privacy protections
afforded to information shared with non-OTP providers. Central registry
information consists primarily of basic patient contact information and
medication and dosage information limited to any treatment an
individual is receiving from that OTP. Any information recorded by a
non-OTP provider in her own practice's patient record originating from
a central registry query would be similarly limited. We anticipate that
a non-OTP provider would discuss a patient's SUD treatment history at a
specific OTP prior to querying that OTP's central registry. Therefore,
any information obtained from the central registry query will
supplement information provided by the patient in that encounter with
the non-OTP provider. While SAMHSA
[[Page 43015]]
does not limit central registry queries to physicians, any non-OTP
providers including physicians and non-physician (i.e. nurse
practitioners, physician assistants) must demonstrate a treating
provider relationship in accordance with relevant state law prior to
querying a central registry.
Public Comments
A few commenters noted that while they are supportive of the
proposed changes to permit non-OTP providers access to central
registries, they would prefer the language in Sec. 2.34 to require
central registries to report to non-OTP treating providers. A few
commenters expressed a preference for requiring such reporting without
patient consent to ensure information accuracy, noting that permitting
such reporting does not go far enough to protect patient safety. One
commenter suggested that Part 2 programs be required to undertake such
reporting in addition to central registries.
SAMHSA Response
We appreciate these comments and understand concerns that these
proposed changes offer maximum impact for patient safety and
information accuracy. Central registries vary widely. Some states may
operate robust central registries while others may have more limited
capabilities or may not operate a central registry at all. Given this
variation, it is infeasible to require central registries or part 2
programs to report to external non-part 2 providers. Furthermore,
SAMHSA has no authority under 42 U.S.C. 290dd-2 to impose such a
requirement and declines to do so at this time.
Public Comments
One commenter recommended that SAMHSA utilize existing health
information exchanges or networks to coordinate queries to central
registries.
A few commenters recommended that SAMHSA establish minimum
standards for central registries and require OTP participation in a
central registry. These commenters noted that while the proposed
changes will improve care coordination and patient safety, the lack of
standardization and wide variation across central registries creates
challenges for all providers treating patients with SUD. Some of these
commenters stated that they were not aware of any central registries in
their area even though they were aware of OTPs providing SUD services
and requested that SAMHSA reconsider the role of central registries.
SAMHSA Response
We will consider these suggestions and continue to assess
opportunities to improve the operational efficiency and efficacy of
central registries.
H. Disclosures to Prescription Drug Monitoring Programs (Sec. 2.36)
SAMHSA is finalizing this section as proposed.
A prescription drug monitoring program (PDMP) is a statewide
electronic database that collects, analyzes, and makes available
prescription data on controlled substances prescribed by practitioners
and non-hospital pharmacies.\6\ Forty-nine states, St. Louis County,
Missouri \7\ and the District of Columbia have legislatively mandated
the creation of PDMPs. Most states had developed their own PDMP prior
to the current opioid crisis; however, few prescribers accessed
them.\8\ As opioid use disorder rates, overdoses and deaths increased
significantly since 1999, the majority of states began requiring health
professionals to check the state's PDMP \9\ before prescribing
controlled substances to patients. Currently, 41 states require
physicians to use their state's PDMP to analyze prescription history
prior to writing a prescription for opioids or other controlled
substances.\10\ Studies have shown that states that have implemented
such a requirement have seen declines in overall opioid prescribing,
drug-related hospitalizations, and overdose deaths.\11\
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\6\ SAMHSA's Center for the Application of Prevention
Technologies; Using Prescription Drug Monitoring Program Data to
Support Prevention Planning. Available at: https://www.samhsa.gov/capt/sites/default/files/resources/pdmp-overview.pdf.
\7\ Former Missouri Gov. Greitens ordered the creation of a
statewide PDMP in July 2017, but state lawmakers have not yet
authorized funding for the program. St. Louis County started its own
PDMP in April 2017, which covers nearly 80 percent (28 counties and
6 cities) of Missouri physicians and pharmacists.
\8\ Brandeis University Prescription Drug Monitoring Program
Training and Technical Assistance Center. Available at: http://www.pdmpassist.org/pdf/Resources/Briefing_on_mandates_3rd_revision_A.pdf.
\9\ Pew Charitable Trusts and National Alliance for State Model
Drug Laws. Available at: https://www.pewtrusts.org/en/research-and-analysis/blogs/stateline/2017/12/29/in-opioid-epidemic-states-intensify-prescription-drug-monitoring.
\10\ Pew Charitable Trusts. When are Prescribers Required to Use
Prescription Drug Monitoring Programs? January 24, 2018. Available
at: https://www.pewtrusts.org/en/research-and-analysis/datavisualizations/2018/when-are-prescribers-required-to-use-prescription-drug-monitoring-programs.
\11\ Brandeis University Prescription Drug Monitoring Program
Training and Technical Assistance Center. Available at: http://www.pdmpassist.org/pdf/Resources/Briefing_on_mandates_3rd_revision_A.pdf.
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Most PDMPs track prescription drug information on Schedule II-V
controlled medications. Pharmacies must submit the prescription data
required by their state's PDMP, depending on the state's statutory
requirements. More robust PDMP programs have been associated with
greater reductions in prescription opioid overdoses.\12\ As noted
above, this data allows providers to ensure that a patient is not
receiving multiple prescriptions and to enhance patient care and
patient safety.
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\12\ Pew Charitable Trusts. When are Prescribers Required to Use
Prescription Drug Monitoring Programs? January 24, 2018. Available
at: Available at: https://www.pewtrusts.org/en/research-and-analysis/datavisualizations/2018/when-are-prescribers-requiredd-to-use-prescription-drug-monitoring-programs.
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Presently, OTPs are not required to report methadone or
buprenorphine dispensing to their states' PDMP. In our 2011 guidance
letter, SAMHSA encouraged OTP staff to access PDMPs, but stated that
OTPs could not disclose patient identifying information to a PDMP
unless an exception applies, consistent with the federal
confidentiality requirements.\13\ SAMHSA no longer believes this policy
is advisable in light of the current public health crisis arising from
opioid use, misuse, and abuse. In the past 10 years, there has been a
substantial increase in prescription drug misuse, admissions to
substance use facilities, emergency department visits and opioid-
related deaths.\14\ The omission of OTP data from a PDMP can lead to
potentially dangerous adverse events for patients who may receive
duplicate or potentially contraindicated prescriptions as part of
medical care outside of an OTP, thereby placing them at risk for
adverse events, including possible overdose or even fatal drug
interactions.
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\13\ Clark HW. Dear Colleague letter. September 27, 2011.
Available at: https://www.samhsa.gov/sites/default/files/programs_campaigns/medication_assisted/dear_colleague_letters/2011-colleague-letter-state-prescription-drug-monitoring-programs.pdf.
\14\ SAMHSA. In Brief: Prescription Drug Monitoring Programs: A
Guide For Healthcare Providers. Volume 10, Issue 1 (Winter 2017).
Available at: https://store.samhsa.gov/system/files/sma16-4997.pdf.
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SAMHSA believes that permitting part 2 programs, including OTPs,
and lawful holders to enroll in PDMPs and submit the dispensing data
for controlled substances required by states currently for other
prescribed, controlled substances would allow for greater patient
safety, better patient treatment, and better care coordination among
the patient's providers. Therefore, SAMHSA proposed to add a new
section Sec. 2.36, permitting part 2
[[Page 43016]]
programs, OTPs and other lawful holders to report the required data to
their respective state PDMPs when dispensing medications with written
consent from the patient whose identifying information will be
disclosed prior to making such reports. This update is consistent with
the proposal under Sec. 2.34(c) to allow non-OTPs to query central
registries to prevent duplicate enrollment.
SAMHSA acknowledges that the proposed provision may raise concerns
about law enforcement access to PDMPs, particularly in those states in
which PDMPs are operated by a law enforcement agency. However,
individuals are not limited to OTPs when seeking OUD treatment.
Prescriptions written for OUD opioid pharmacotherapy by non-OTP
providers are already recorded in the state PDMP. By implication, PDMPs
operated by law enforcement agencies are already receiving some patient
data related to SUD treatment. Although the current proposal might
expand that practice, it would not create it. And because the
disclosure of SUD patient records by OTPs would be made contingent on
written patient consent, any negative impact on patient confidentiality
seems likely to be small. By contrast, the omission from PDMPs of
dispensing and prescribing data from OTPs presents serious safety risks
for SUD patients. While the reporting of patient data to a PDMP by an
OTP would make it possible for law enforcement, prescribers, and
pharmacies with access to a PDMP to determine that a specific patient
had received services at a specific OTP, law enforcement would still
require a court order meeting the requirements of Sec. 2.65 to access
the covered records of that patient or any other patient served at the
OTP. SAMHSA believes that allowing for OTP reporting to PDMPs further
enhances PDMPs as a tool to help prevent prescription drug misuse and
opioid overdose, while providing more complete and accurate data. In
turn, more robust PDMP data is imperative for prescribers and providers
to make better and more accurate patient care decisions while
increasing patient safety and assuring appropriate care.
We note that, under Sec. 3221(k) of the CARES Act, it is the sense
of Congress that any person treating a patient through a program or
activity with respect to which 42 CFR part 2 protections apply is
encouraged to access the applicable PDMP when clinically appropriate.
In future rulemaking, we will consider the possibility of making
revisions to Sec. 2.36, as needed to implement relevant provisions
under the CARES Act. The comments we received on the proposed new
provision of Sec. 2.36 and our responses are provided below.
Public Comments
Many commenters supported the proposed changes, noting that PDMPs
are an important tool for improving care coordination and safety for
patients with SUD and that completeness of information is critical for
all providers treating patients with SUD. Several commenters believed
that this proposal will reduce deaths from adverse drug interactions. A
few other commenters noted that many physicians and health care
professionals are not aware that PDMPs do not currently contain
comprehensive information on patient medications and they believed that
this proposal is essential for improving patient care and safety,
particularly for individuals receiving MAT.
SAMHSA Response
We appreciate the supportive comments and agree that the proposal
will improve the quality and safety of care for individuals with SUD.
Public Comments
Many commenters opposed the proposed changes and expressed concerns
about the potential breach of privacy patients may face and noted
specific concerns regarding stigma, discrimination, and decreased
likelihood of seeking treatment as a result of the proposed changes.
SAMHSA Response
As stated previously, SAMHSA is committed to improving the lives of
people living with SUD, and individuals with SUD face real stigma. We
believe that increasing care coordination and information access within
an individual's care team will reduce stigma by giving providers
accurate and comprehensive information about a patient's medical needs.
Public Comments
One commenter expressed concern about PDMP data being utilized for
pre-employment physical examinations and Department of Transportation
medical examinations and requested clarification on the appropriateness
of PDMP data for occupational health purposes.
One commenter questioned the language in the proposed changes that
includes medications prescribed and dispensed, noting that providers
report only dispensed medications and not prescribed medications.
Several commenters requested SAMHSA to provide further
clarification to states to legally permit OTPs to enroll in PDMPs in
instances where doing so may currently contravene state PDMP laws or
where state PDMP laws do not currently support OTP reporting.
Some of these commenters noted that state PDMP capabilities vary
and some systems have more robust information than others. These
commenters encouraged SAMHSA to work with states to facilitate PDMPs
that can accommodate the proposed changes.
A couple commenters requested clarification on the patient consent
process given the changing nature of PDMP capabilities. One commenter
expressed concern that a patient's willingness to consent may change if
the components or capabilities of a PDMP also change, and this should
be taken into consideration in the proposed changes.
One commenter requested clarification for states as they work to
modernize PDMPs, and expressed concern about unfunded costs to states
to operationalize PDMPs for the type of reporting in the proposed
changes.
A few commenters requested clarification on whether consent to
disclose to PDMPs would be a separate consent or if it could be added
to existing patient consent documentation. Some of these commenters
also requested clarification on the level of specificity required if a
patient requests a list of entities per Sec. 2.31. A couple of
commenters requested clarification as to whether additional consent is
required regarding redisclosure and the sharing of part 2 information
to each PDMP registered end user. One commenter requested clarification
on the decision to support OTP disclosures to PDMPs but not for the
purposes of care coordination or case management under Sec. 2.33.
SAMHSA Response
SAMHSA acknowledges concerns about the use of PDMP data for
occupational health decisions. It is not the intention of SAMHSA to
permit the use of SUD information in pre-employment occupational health
examinations, although SAMHSA does not have the statutory authority to
control how states choose to utilize the data captured within their
PDMPs. We note, however, that pursuant to Sec. 2.13(a), patient
records subject to the part 2 regulations may be disclosed or used only
as permitted by the regulations and may not otherwise be disclosed or
used in any civil, criminal, administrative, or legislative
[[Page 43017]]
proceedings conducted by any federal, state, or local authority. While
many state PDMPs require information solely upon dispensing, some state
PDMP laws require prescribers to enter information at the point of
prescribing and our language reflects the variation in these laws.
SAMHSA appreciates comments regarding PDMP capabilities and
variations across states. Because PDMPs are operated by each state, it
will be up to each state to update PDMP laws in a way that permits OTPs
to enroll in PDMPs and maintain systems that accommodate the needs of
registered users.
We understand commenter concern regarding the consent process.
PDMPs are updated to provide maximum usability and information
accuracy. Inherent in a patient's consent is the understanding that a
PDMP database is continuously updated with current prescribing and
dispensing information. Part 2 programs may consider periodic updates
to their consent forms to reflect any substantial changes to their
state PDMP.
SAMHSA appreciates the costs to states as they modernize and update
PDMPs. While the proposed changes may require some state PDMPs to adapt
or adopt new capabilities, we note that the goal of PDMPs is to provide
accurate, timely information on prescribing and dispensing. The
evolving nature of medical and pharmaceutical care requires routine
maintenance and updates and we do not believe these proposed changes
exceed those obligations. SAMHSA anticipates that OTPs may update
existing consent forms to include new language regarding information
shared with non-OTP treating providers, or create new consent forms for
this purpose. We do not expect the proposed changes to require
additional consent for redisclosure to each registered PDMP end-user.
Changes proposed under Sec. 2.36 require that the patient
specifically consent to the disclosure to a PDMP. This is distinct from
disclosures for care coordination under Sec. 2.33, which require only
that the patient generally consent to the part 2 program making a
disclosure for payment and/or health care operations activities.
Public Comments
Several commenters requested that patient consent not be required
because of the potential adverse effects on safety if an individual
declines treatment due to the PDMP consent requirement and/or provides
incomplete or inaccurate information as a result of the consent
requirement. A few commenters requested that OTPs be required to report
to PDMPs to provide the most complete information and to fill in gaps
that may be created by varied PDMP usability and/or inconsistent
standards and availability of central registry data.
SAMHSA Response
As stated previously, we appreciate these comments and understand
concerns that these proposed changes offer maximum impact for patient
safety and information accuracy. State operation of PDMPs and part 2
program operation of central registries vary widely. Furthermore,
SAMHSA has no authority under 42 U.S.C. 290dd-2 to impose such a
requirement and declines to do so at this time.
Public Comments
One commenter recommended leveraging the use of statewide HIEs and
HINs to coordinate queries to central registries and PDMPs.
A few commenters recommended a national prescription drug
monitoring database as an alternative to state-level PDMPs and central
registries.
A few commenters noted that common industry standards for PDMPs
would be valuable given their utility in fighting the opioid crisis.
One of these commenters also noted that e-prescribing provides a
valuable alternative to tracking opioid prescriptions. This commenter
expressed concerns about the lack of interoperability between EHRs and
PDMPs and noted that this could create barriers for clinicians
attempting to use PDMPs in real-time during patient encounters.
One commenter recommended educating non-OTP providers as the
proposed changes may bring individuals with SUD into contact with
clinicians who are unfamiliar with OTP protocols, terms, benefits, and
limitations.
One commenter recommended moving proposed changes related to PDMPs
to Sec. 2.31(a)(4)(B) to say, ``such as an entity that facilitates the
exchange of health information, prescription drug monitoring program,
or a research institution.''
A few commenters recommended notifying PDMP users that information
related to medications dispensed from OTPs may still be incomplete as a
result of patient consent requirements.
SAMHSA Response
SAMHSA appreciates suggestions from commenters to better facilitate
the integration of PDMP reporting among OTPs. PDMPs are overseen by
states, and SAMHSA does not govern their operation. We agree that OTPs
may find benefit in educating providers about PDMPs and expect that the
registration process will inform registered OTP users about the
specific regulations governing the use and capabilities of the PDMP
within their state. We also believe that non-OTP providers may benefit
from education on SUD to become familiar with the unique needs of the
patients they treat who may be living with SUD.
Public Comments
Many commenters expressed specific concerns regarding law
enforcement access to PDMPs and shared fears of increased criminal
prosecution or adverse legal action for patients with SUD. One
commenter requested clarification on how a request for information
regarding a specific patient traceable by the law enforcement agency
with oversight of the PDMP to an OTP provider would be outside the
definition of ``disclose'' in Sec. 2.11.
A couple of commenters noted that specific guidance from SAMHSA
reiterating that law enforcement may not seek individual patient
records without a court order may be reassuring for patients. Other
commenters noted that even though 42 CFR part 2 requires a court order
from law enforcement to obtain individual patient records, many state
PDMPs do not currently require a court order which could open a
backdoor for law enforcement access without immediate changes to state
PDMP law. Several commenters noted that while law enforcement may be
required to obtain a court order before seeking additional records,
sensitive inferences can be made from prescription records alone.
One commenter suggested that states with law enforcement agency
oversight of the PDMP should move the operations to a different agency
authority. A couple of other commenters suggested the addition of anti-
discrimination language within Sec. 2.36 that would provide more
explicit protections against insurance, health care, and legal
discrimination.
One commenter expressed concern about state laws that penalize
pregnant or parenting women with SUD and noted that OTP reporting to
PDMPs would create a significant disincentive for those women to seek
necessary treatment.
SAMHSA Response
SAMHSA understands concerns from commenters regarding law
enforcement interaction with PDMPs. As stated previously, PDMPs are
overseen by states and SAMHSA does not govern
[[Page 43018]]
their operation. While we appreciate concerns about the challenges
faced by individuals with SUD, especially with regard to interactions
with law enforcement, we believe that allowing for OTP reporting to
PDMPs further enhances PDMPs as a tool to help prevent prescription
drug misuse and opioid overdose, while providing more complete and
accurate data. This robust data is critical for providers and
prescribers to make accurate and safe decisions for patient care. As
stated in our response to similar comments on anti-discrimination
language in response to the 2018 Final Rule, promulgating rules that
address discriminatory action is outside the scope of SAMHSA's current
legal authority (83 FR 248). With this being said, note that we
anticipate revisiting Sec. 2.36 in future rulemaking to implement the
CARES Act, and we will continue to consider the concerns about PDMPs
and law enforcement in that context.
I. Medical Emergencies (Sec. 2.51)
SAMHSA is finalizing this section as proposed.
Under Sec. 2.51, disclosures of SUD treatment records without
patient consent are permitted in a bona fide medical emergency.
Although not a defined term under part 2, a ``bona fide medical
emergency'' most often refers to the situation in which an individual
requires urgent clinical care to treat an immediately life-threatening
condition (including, but not limited to, heart attack, stroke,
overdose), and in which it is infeasible to seek the individual's
consent to release of relevant, sensitive SUD records prior to
administering potentially life-saving care. SAMHSA proposed to amend
this section to address the impact of major \15\ and natural disasters,
declared by state or federal authorities, on access to substance use
treatment and services, in addition to the more common situation of an
individual experiencing a ``bona fide medical emergency.''
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\15\ The Federal Emergency Management Agency (FEMA) notes that
the President can declare a major disaster for any natural event,
regardless of cause, that is determined to have caused damage of
such severity that it is beyond the combined capabilities of state
and local governments to respond. https://www.fema.gov/disaster-declaration-process.
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Disasters (e.g., hurricanes, wildfires) can present unique
challenges for patients with SUDs, and for their treating providers.
These events may disrupt the usual access to services and medications
across a geographic region. As a result, patients may be required to
seek treatment at facilities or with providers who do not have full
access to their records.
When access to, or operation of, substance use disorder treatment
facilities and services are disrupted on a regional basis in the wake
of a disaster like a hurricane or wildfire, many patients become unable
to access care through their usual providers, while many providers may
be unable to follow usual consent-based procedures in order to obtain
and/or release records for large numbers of patients. Thus, the
disclosure requirements of 42 CFR part 2 may be too burdensome in these
instances. For example, in the case of a hurricane, normal policies and
procedures for obtaining consent according to Sec. Sec. 2.31 and 2.32
may not be operational. At the same time, the inability of SUD patients
to access needed care through their usual providers (or other
providers) that have access to part 2-protected records concerning
their condition, may constitute or lead to medical emergencies. As a
result of these factors, SAMHSA stated in the 2019 proposed rule that
we believe that it is necessary--and consistent with our statutory
authority--to include natural and major disasters within the meaning of
medical emergency for which there would be an exception to the
requirement of consent for disclosure of part 2 records. In this final
rule, such an exception is finalized.
SAMHSA underscores that consent should still be obtained if at all
feasible, but appropriate care should be the priority in these often-
devastating scenarios and an exception should be allowed. Thus, SAMHSA
proposed to revise Sec. 2.51(a) to facilitate expedient access to care
for patients with SUDs during natural and major disasters.
Specifically, SAMHSA proposed to authorize, under Sec. 2.51(a), a part
2 program to disclose patient identifying information to medical
personnel, without patient consent, as needed in the event of a natural
or major disaster to deliver effective ongoing SUD services to patients
in such disasters. Specifically, SAMHSA proposed that this medical
emergency exception would apply only when a state or federal authority
declares a state of emergency as a result of a disaster and the part 2
program is closed and unable to provide services or obtain the informed
consent of the patient as a result of the disaster, and would
immediately be rescinded once the part 2 program resumes operations.
The comments we received on the proposed amendments to Sec. 2.51
and our responses are provided below.
Public Comments
Many commenters supported the proposal to amend Sec. 2.51 to
include natural and major disasters within the meaning of medical
emergency for which there would be an exception to the requirement of
consent for disclosure of part 2 records.
SAMHSA Response
We thank commenters for their support.
Public Comments
One commenter requested clarification whether a disaster would
qualify as a medical emergency for every impacted patient. The
commenter requested further clarification whether the closed part 2
program would need to determine if it is a medical emergency for each
patient.
SAMHSA Response
If a patient's part 2 program has closed and is unable to provide
services or obtain the written consent of the patient due to a state of
emergency caused by a natural or major disaster, then that part 2
program may disclose part 2 patient records to other medical personnel
to deliver effective ongoing SUD services. We note that consent should
still be obtained if at all feasible. However, if the situation we
describe above occurs, and the part 2 program is unable to obtain
consent or to provide services, the part 2 program may consider the
event a medical emergency and is permitted to disclose the part 2
records without patient consent. The exception would be rescinded when
the part 2 program resumes operations.
Public Comments
One commenter recommended that SAMHSA develop further guidance on
how patients and other medical personnel may be notified that the
program is closed and unable to provide services or obtain consent. The
commenter recommended that the guidance also include examples of how
part 2 records may be disclosed to medical personnel in the event the
program is closed. One commenter recommended that SAMHSA work with the
HHS Office for Civil Rights to coordinate communication and outreach
efforts regarding the proposals to Sec. 2.51 to ensure that medical
personnel and health information professionals are aware of the
changes. One commenter also recommended that SAMHSA work with the HHS
Assistant Secretary for Preparedness and Response (ASPR) and other
federal and state agencies to communicate a clear ``start'' and ``end''
for these situations.
[[Page 43019]]
SAMHSA Response
We appreciate the commenters' suggestions. We will consider
potential future options, including issuing further guidance and
outreach as well as partnering with other HHS agencies, to ensure that
medical personnel and other professionals are aware of the changes to
Sec. 2.51.
Public Comments
One commenter requested clarification on whether medical personnel
includes peer recovery support personnel, recognizing that peer
recovery support is a part of SUD treatment.
SAMHSA Response
Under the authorizing statute at 42 U.S.C. 290dd-2(b)(2)(A), part 2
records may be disclosed to medical personnel to the extent necessary
to meet a bona fide medical emergency. As stated in the 2017 Final
Rule, it is up to the health care provider or facility treating the
emergency to determine the existence of a medical emergency and which
personnel are needed to address the medical emergency. The name of the
medical personnel to whom the disclosure was made, their affiliation
with any health care facility, the name of the individual making the
disclosure, the date and time of the disclosure, and the nature of the
medical emergency must be documented in the patient's records by the
part 2 program disclosing the information.
Public Comments
A few commenters requested that SAMHSA expand the definition of
emergency for when disclosures to another part 2 program or SUD
treatment provider is permitted. A few commenters noted that the
proposal does not consider localized, serious events that could create
similar barriers as a declared state or federal emergency. One
commenter recommended allowing a discretionary determination that the
Part 2 program is unable to provide services to the person or obtain
consent due to a disaster. A few commenters recommended that providers
who have a treating relationship should have the discretion to
determine what constitutes an emergency. One commenter recommended that
SAMHSA include ``man-made'' disasters, such as cyber-attacks when
information systems and networks could be impacted. One commenter
recommended that SAMHSA ensure the proposed changes during a natural
disaster is aligned with HIPAA.
SAMHSA Response
We thank commenters for their suggestions. With regard to the
request that a medical emergency be determined by the treating
provider, SAMHSA clarifies that any health care provider who is
treating the patient for a medical emergency can make that
determination.
Public Comments
One commenter recommended expanding the proposal to include waivers
from the part 2 requirements, safe-harbor from penalties and
enforcement for entities who follow these processes in good faith and
public health emergencies.
SAMHSA Response
We appreciate the commenter's suggestion. Under the proposed
changes to Sec. 2.51, an exception is allowed when normal policies and
procedures for obtaining consent according to Sec. Sec. 2.31 and 2.32
may not be operational due to a natural or major disaster. If the part
2 program is unable to obtain consent or provide services because the
program is closed, then the part 2 program may disclose the records. We
decline to explicitly name a safe-harbor provision, because the
regulatory text describes the exception to the consent requirements.
Immediately following disclosure, the part 2 program shall document, in
writing, the disclosure in the patient's records, including the name of
the medical personnel to whom the disclosure was made, their
affiliation with any health care facility, the name of the individual
making the disclosure, the date and time of the disclosure, and the
nature of the medical emergency.
Public Comments
One commenter stated that waiting for a bona fide emergency to
allow providers to share information may be too late for the patient's
care and that treating providers should be able to share information
for safe care. One commenter noted that if a part 2 program is closed,
then they may not be able to disclose information.
SAMHSA Response
Providers may share treatment information with other providers with
patient consent at any time. However, we do not have the authority to
permit information to be disclosed without patient consent prior to the
medical emergency under the authorizing statute at 42 U.S.C. 290dd-
2(b)(2)(A). Therefore, providers may not share information without
patient consent prior to the declaration of a state of emergency and
prior to a part 2 program closing due to the disaster unless the
program meets another exception in this part.
J. Research (Sec. 2.52)
In response to comments received, SAMHSA is finalizing this section
as proposed except for the proposed change allowing research
disclosures to members of the workforce of a HIPAA covered entity.
SAMHSA recognizes the need for researchers to use SUD-related data
to advance scientific research, particularly in light of the national
opioid epidemic. SAMHSA supports the conduct of scientific research on
SUD care, and has worked to allow researchers appropriate access to
healthcare data relating to SUD, while maintaining appropriate
confidentiality protections for patients.
Under 42 CFR 2.52, part 2 programs are permitted to disclose
patient identifying information for research, without patient consent,
under limited circumstances. In the 2017 Final Rule, SAMHSA made
several changes to the research exception at Sec. 2.52, including
permitting the disclosure of data by lawful holders (as well as by part
2 programs) to qualified personnel for the purpose of conducting
scientific research.
As stated in the 2019 proposed rule (84 FR 44577), Sec. 2.52
allows the disclosure of patient identifying information for research
purposes without patient consent, if the recipient of the patient
identifying information is a HIPAA-covered entity or business
associate, and has obtained and documented authorization from the
patient, or a waiver or alteration of authorization, consistent with
the HIPAA Privacy Rule at 45 CFR 164.508 or 164.512(i) or the recipient
is subject to the HHS regulations regarding the protection of human
subjects under the Common Rule. (45 CFR part 46).
Since the 2017 Final Rule, SAMHSA has become aware that limiting
research disclosures under Sec. 2.52, to only HIPAA-covered entities
or institutions subject to the Common Rule,\16\ may make it more
difficult for some legitimate stakeholders to obtain data from SUD
treatment records, for the purpose of conducting scientific research.
For example, under the provisions of Sec. 2.52, the disclosure by a
lawful holder of SUD records for the purpose of research to a state
agency without a part 2 patient consent may be barred, given that most
state agencies are neither HIPAA-covered entities nor directly subject
to the Common Rule. It
[[Page 43020]]
is not SAMHSA's intention or policy to make it more burdensome for
these sorts of stakeholders to carry out scientific research. SAMHSA
would like to more closely align the requirements of 42 CFR 2.52
(disclosures for the purpose of research), with the currently analogous
provisions on research under the HIPAA Privacy Rule (45 CFR 164.512(i))
and the Common Rule, in order to minimize any conflict or duplication
in the requirements for consent to disclosure of records for the
purpose of research. Therefore, SAMHSA proposed to modify the text of
Sec. 2.52(a), in order to allow research disclosures of part 2 data
from a HIPAA covered entity or business associate to individuals and
organizations who are neither HIPAA covered entities, nor subject to
the Common Rule, provided that any such data will be disclosed in
accordance with the HIPAA Privacy Rule at 45 CFR 164.512(i). This
change will align the requirements of part 2 with the Privacy Rule
around the conduct of research on human subjects. SAMHSA stated in the
proposed rule that we believe this change to Sec. 2.52(a) is needed,
in order to allow an appropriate range of stakeholders to conduct
scientific and public health research on SUD care and SUD populations.
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\16\ The Common Rule governs research conducted or supported
(i.e., funded) by the 16 departments and agencies that issued the
Common Rule.
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In addition, SAMHSA proposed two additional changes to the text of
Sec. 2.52(a). First, SAMHSA proposed to add new Sec. 2.52(a)(1)(iii),
in order to clarify that research disclosures may be made to members of
the workforce of a HIPAA-covered entity for purposes of employer-
sponsored research, where that covered entity requires all research
activities carried out by its workforce to meet the requirements of
either the Privacy Rule and/or Common Rule, as applicable. Second,
SAMHSA proposed to add new Sec. 2.52(a)(1)(iv), to permit research
disclosures to recipients who are covered by FDA regulations for the
protection of human subjects in clinical investigations (at 21 CFR
parts 50 and 56), subject to appropriate documentation of compliance
with FDA regulatory requirements, and pursuant to authority under the
Federal Food, Drug, and Cosmetic Act. In both instances, these
proposals would help to align the part 2 requirements for research
disclosures of SUD data, with analogous requirements for the conduct of
research on human subjects that may apply under other federal
regulations in specific circumstances.
The comments we received on the proposed amendments to Sec. 2.52
and our responses are provided below.
Public Comments
Many commenters supported the proposal to broaden part 2
disclosures for research purposes to include entities not covered by
HIPAA or the Common Rule so long as the part 2 data is disclosed in
accordance with the HIPAA Privacy Rule at 45 CFR 164.512(i).
SAMHSA Response
We thank commenters for their support.
Public Comments
Several commenters opposed the proposal. A few commenters felt that
patient consent should be obtained before disclosing part 2 information
for research purposes to entities not covered by HIPAA or the Common
Rule. A few commenters felt that the proposed change will result in
additional legal prosecution and discrimination. One commenter noted
that it may make it difficult to identify a breach. One commenter
recommended that SAMHSA clarify what level of protections non-HIPAA
covered entities will be held to when part 2 data is disclosed for
research purposes. The commenter suggested that sharing sensitive data
with non-HIPAA covered entities should require IRB approval and if this
is not possible then only the minimal amount of identifiable
information as possible.
SAMHSA Response
We are seeking a balance between protecting the confidentiality of
SUD patient records and ensuring that researchers can conduct critical
research on SUD care and SUD populations. The proposed change to Sec.
2.52 would align the requirements of part 2 around the conduct of
research on human subjects with the HIPAA Privacy Rule, the Common Rule
and other analogous requirements for the conduct of research on human
subjects that may apply under other federal regulations. Specifically,
part 2 data may be disclosed from a HIPAA-covered entity or business
associate to individuals and organizations who are neither HIPAA-
covered entities, nor subject to the Common Rule, provided that any
such data will be disclosed in accordance with the HIPAA Privacy Rule
at 45 CFR 164.512(i). The HIPAA Privacy Rule at 45 CFR 164.512(i)
defines the requirements entities must fulfill to use protected health
information for research. This includes requirements that the research
must be conducted under review of an Institutional Review Board (IRB)
or a privacy board with members of varying backgrounds and appropriate
professional competency. For the IRB or privacy board to approve a
waiver of individual authorization, researchers must show that the use
or disclosure of PHI involves no more than a minimal risk to the
privacy of individuals and include an adequate plan to protect the
identifiers from improper use and disclosure, an adequate plan to
destroy the identifiers at the earliest opportunity, and consistent and
adequate written assurances that the protected health information will
not be reused or disclosed to any other person or entity. We further
note that the research provision (Sec. 2.52(b)) already includes a
requirement that the researcher receiving the part 2 data is fully
bound by 42 CFR part 2. We are interested in affording patients
protected by 42 CFR part 2 the same opportunity to benefit from
research, including research conducted by non-covered entities, while
continuing to safeguard their privacy.
Public Comments
One commenter recommended that SAMHSA develop FAQs or guidance to
ensure that entities that are not HIPAA-covered entities under HIPAA
but who are making disclosures in accordance with the HIPAA Privacy
Rule understand their obligations and responsibilities.
SAMHSA Response
We thank the commenter for their suggestion. We note that at the
time of the publication of the proposed rule, we published a Fact
Sheet, providing a general overview of the proposed rule, available
here: https://www.hhs.gov/about/news/2019/08/22/hhs-42-cfr-part-2-proposed-rule-fact-sheet.html. We will consider updating subregulatory
guidance, as applicable, to include any revisions made in the Final
Rule. We will also consider issuing additional subregulatory guidance,
as necessary.
Public Comments
One commenter recommended that SAMHSA clarify how the part 2 EHR
system should identify characteristics to whom data is sent to
including entities that receive data for research purposes. The
commenter recommended referencing standards that support conveying
these characteristics.
SAMHSA Response
We appreciate the commenter's recommendations. We will evaluate the
commenter's suggestions and will consider options to provide technical
guidance, including working with ONC and other stakeholders.
[[Page 43021]]
Public Comments
One commenter noted that the provisions which facilitate the
release of data for research purposes do not necessarily permit
disclosure for public health analysis and may not satisfy the
requirements of the research exemption. A few commenters recommended
including a provision that would explicitly allow the release of data
to a state or state data repository if the state agency is authorized
by state law to collect such information for the purpose of public
health research.
SAMHSA Response
Under our revisions, a part 2 program or other lawful holder of
part 2 data is authorized to disclose part 2 data for research
purposes, including to state agencies, provided that the disclosure is
made in accordance with the HIPAA Privacy Rule requirements at 45 CFR
164.512(i). Broadening the research exception further is beyond the
scope of the current rulemaking activities. Note, however, that the
CARES Act specifically permits disclosures of de-identified data to a
public health authority whether or not a patient gives written consent.
HHS anticipates future rulemaking to implement Sec. 3221 of the CARES
Act.
Public Comments
One commenter recommended that SAMHSA require that data released
should be de-identified and that SAMHSA should define a rigorous
process for de-identification.
SAMHSA Response
We encourage the use of de-identified or non-identifiable
information whenever possible. However, it may be time consuming, labor
intensive, or technologically difficult for part 2 programs to create
data that does not contain part 2 identifying information. It may be
too cumbersome or cost prohibitive for part 2 programs to provide the
kind of data necessary in a de-identified format. The proposed changes
will require that data is disclosed in accordance with the HIPAA
Privacy Rule at 45 CFR 164.512(i), such that researchers from covered
entities and non-covered entities, must show that ``the research could
not practicably be conducted without access to and use of the protected
health information.'' Compliance with HIPAA and the Common Rule (e.g.,
IRB and/or privacy board review), as required under existing
regulations and the proposed changes to Sec. 2.52, provide sufficient
assurances of patient confidentiality, including that the researcher
has a plan to protect and destroy identifiers and to not re-disclose
the information in an unauthorized manner.
Public Comments
One commenter recommended that SAMHSA modify the proposal to
address the rare situation when the holder of the part 2 data is not
subject to HIPAA.
SAMHSA Response
We appreciate the commenter's suggestion. The revised research
exception will permit disclosures of part 2 data for research purposes
if the part 2 program or other lawful holder of part 2 data is a HIPAA-
covered entity or business associate and the disclosure is made in
accordance with the HIPAA Privacy Rule. Because we are expanding the
authority of research disclosures beyond HIPAA-covered entities or
entities covered by the Common Rule, we believe it is necessary to
ensure that those disclosing the data are familiar with the HIPAA
Privacy Rule and the requirements included in the regulations. We agree
with the commenter that it will likely be a rare situation when the
holder of the part 2 data is not subject to HIPAA and we do not
anticipate that it will hinder most research efforts. However, we will
consider it for any potential future rulemaking.
Public Comments
One commenter recommended that SAMHSA more closely align with HIPAA
and suggested removing language that directs an ``individual designated
as director or managing director, or individual otherwise vested with
authority to act as chief executive officer or their designee'' to make
a determination regarding the permissibility of research disclosures.
SAMHSA Response
We thank the commenter for the suggestion. Revising the language in
this section is beyond the scope of the current rulemaking activities;
however, we will evaluate the commenter's suggestion and consider
potential options including future rulemaking.
Public Comments
One commenter noted that the proposed change exceeds the language
or the purpose of the enabling statute.
SAMHSA Response
Under 42 U.S.C. 290dd-2(b)(2)(B), the content of an SUD treatment
record may be disclosed without patient consent to qualified personnel
for the purpose of conducting scientific research provided that such
personnel does not identify, directly or indirectly, any individual
patient in any report of such research; thus, we believe that this
change does not violate the language of the enabling statute.
Public Comments
Several commenters opposed the proposal to permit research
disclosures to members of the workforce of a HIPAA-covered entity for
purposes of employer-sponsored research. The commenters noted that the
proposal may lead to employment discrimination for those with SUD if
data is released for purposes of employer-sponsored research. One
commenter noted that it is unclear what ``employer-sponsored'' research
would include.
SAMHSA Response
We proposed to allow part 2 data to be disclosed for research
purposes to a member of the workforce of a HIPAA-covered entity. The
proposal would clarify that the lawful holder of part 2 data may
disclose the data to a member of the workforce of a HIPAA-covered
entity provided that the research is being conducted at the direction
or on behalf of that individual's employer. The proposed revisions
would only permit this disclosure when the employer requires that all
research conducted at the direction or on behalf of the employer is
conducted in accordance with the HIPAA Privacy Rule or the Common Rule.
During the review of comments, we noted that a few commenters
misinterpreted ``employer-sponsored research'' to include research
conducted by employers on or about their employees. It was not our
intent to permit employers to conduct SUD research on their employees.
Given the concerns and the confusion regarding the proposed changes, we
are not finalizing this policy at this time. To reflect this in this
final rule, the regulation text proposed at Sec. 2.52(a)(1)(iii) is
not being finalized and the regulation text proposed at Sec. Sec.
2.52(a)(1)(iv) and (v) are being redesignated as Sec. Sec.
2.52(a)(1)(iii) and (iv), respectively.
Public Comments
A few commenters supported the proposal to permit disclosures to
members of the workforce of a HIPAA-covered entity for purposes of
employer-sponsored research, where that covered entity requires all
research activities carried out by its workforce to meet the
requirements of either the Privacy Rule and/or Common Rule, as
applicable.
[[Page 43022]]
SAMHSA Response
We thank commenters for their support. While we are not finalizing
the policy at this time, research disclosures of part 2 data may still
be made following the requirements at Sec. 2.52(a).
Public Comments
A few commenters supported the proposal to permit research
disclosures to recipients who are covered by FDA regulations for the
protection of human subjects in clinical investigations.
SAMHSA Response
We thank commenters for their support.
Public Comments
A few commenters opposed the proposal to permit research
disclosures to recipients who are covered by FDA regulations. One
commenter stated that a patient's informed consent should be sought
when disclosing information for research.
SAMHSA Response
The proposed changes will help align research disclosure
requirements among other federal regulations. Allowing research
disclosures to recipients who are covered by FDA regulations for the
protection of human subjects will help facilitate critical research on
SUD treatment and care. We believe it is necessary to strike a balance
of promoting research while maintaining confidentiality for patient
records. Like the HIPAA Privacy Rule, the FDA regulatory requirements
generally require informed consent, except in limited circumstances as
explained in 21 CFR part 50. The proposed changes require that the
research is in compliance with the requirements of the FDA regulations,
including review by an IRB when applicable.
K. Audit and Evaluation (Sec. 2.53)
In response to comments received, SAMHSA, in Sec. 2.53(c)(1), is
removing the expectation that certain audits and evaluations conducted
by government agencies and third-party payers would only be conducted
periodically, and is making changes to the language in (c)(1)(i)-(iii)
to clarify SAMHSA's intent that revisions are intended to help enhance
patient care and coverage. SAMHSA is also making several non-
substantive changes to the proposed regulatory text of Sec. 2.53, such
as updating cross references to other sections of the rule and re-
wording and moving the placement of language related to audits
conducted by entities that have direct administrative control over a
part 2 program.
SAMHSA is finalizing the proposal to permit disclosure of patient
identifying information to federal, state, or local government
agencies, and to their contractors, subcontractors, and legal
representatives for audit and evaluations required by statute or
regulation.
Regulations at Sec. Sec. 2.53(a), (b), and (c) describe the
circumstances under which specified individuals and entities may access
patient identifying information in the course of an audit or
evaluation. Section 2.53(a) governs the disclosure of patient
identifying information for audits and evaluations that do not involve
the downloading, forwarding, copying, or removing of records from the
premises of a part 2 program or other lawful holder. In these
instances, information may be disclosed to individuals and entities who
agree in writing to comply with the limitations on disclosure and use
in Sec. 2.53(d) and who perform the audit or evaluation on behalf of
one of the following: A federal, state, or local governmental agency
that provides financial assistance to or is authorized to regulate a
part 2 program or other lawful holder; an individual or entity which
provides financial assistance to a part 2 program or other lawful
holder; a third-party payer covering patients in a part 2 program; or a
quality improvement organization (QIO) performing certain types of
reviews. The regulations permit disclosure to contractors,
subcontractors, or legal representatives performing audits and
evaluations on behalf of certain individuals, entities, third-party
payers, and QIOs described directly above. At Sec. 2.53(a)(2), the
regulations also allow part 2 programs or other lawful holders to
determine that other individuals and entities are qualified to conduct
an audit or evaluation of the part 2 program or other lawful holder. In
these instances, patient information may be disclosed during an on-
premises review of records, as long as the individuals and entities
agree in writing to comply with the limitations on disclosure and use
in Sec. 2.53(d).
Section 2.53(b) of the regulation governs the copying, removing,
downloading, or forwarding of patient records in connection with an
audit or evaluation performed on behalf of government agencies,
individuals, and entities described in 42 CFR 2.53(b)(2), which are
identical to the agencies, individuals, and entities described in Sec.
2.53(a)(1) above. In these audits, records containing patient
identifying information may be copied or removed from the premises of a
part 2 program or other lawful holder, or downloaded or forwarded to
another electronic system or device from the part 2 program's or other
lawful holder's electronic records, by an individual or entity who
agrees to the records maintenance standards and disclosure limitations
outlined in Sec. 2.53(b)(1)(i) through (iii).
Additionally, patient identifying information may be disclosed to
individuals and entities who conduct Medicare, Medicaid, or CHIP audits
or evaluations as set forth in Sec. 2.53(c).
SAMHSA understands there is confusion about Sec. 2.53 as it
applies to several specific situations, and therefore proposed to make
the following changes to the regulations to improve clarity about what
is permissible under these sections. SAMHSA also proposed to update
part 2 regulatory language related to quality improvement organizations
(QIO) to align with 42 CFR 476.1. Specifically, we proposed to replace
references to ``utilization or quality control review'' with the term
``QIO review,'' which is defined in 42 CFR 476.1 as a review performed
in fulfillment of a contract with CMS, either by the QIO or its
subcontractors.
First, some stakeholders have voiced frustration that part 2
programs have been unwilling or unable to disclose patient records that
may be needed by federal, state, and local agencies, to better serve
and protect patients with SUD. For example, a state Medicaid Agency or
state or local health department may need to know about specific types
of challenges faced by patients receiving opioid therapy treatment,
such as co-occurring medical or psychiatric conditions, or social and
economic factors that impede treatment or recovery. An agency may need
this kind of information to recommend or mandate improved medical care
approaches; to target limited resources more effectively to care for
patients; or to adjust specific Medicaid or other program policies or
processes related to payment or coverage to facilitate adequate
coverage and payment. Government agencies may also wish to know how
many patients test positive for a new and harmful illicit drug, and how
part 2 programs are actually treating those patients, as an input to
agency decisions aimed at improving quality of care. For example,
agencies may wish to modify requirements for part 2 programs, educate
or provide additional oversight of part 2 providers, and/or update
corresponding payment or coverage policies. Third-party payers covering
patients in a part 2 program may have similar objectives for obtaining
part 2 information.
[[Page 43023]]
Current regulations allow part 2 programs to share information for
the purposes described above in two ways, using either de-identified or
identifiable information. Only SUD records containing patient
identifying information are subject to part 2 protections, and
therefore a part 2 program or other lawful holder may share non-
identifiable information with government agencies (federal, state and
local) for many types of activities.
SAMHSA encourages the use of de-identified or non-identifiable
information whenever possible. However, it may be time consuming, labor
intensive, or technologically difficult for part 2 programs to create,
and for government agencies to obtain quickly, data that does not
contain part 2 identifying information. It may be too cumbersome or
cost prohibitive for part 2 programs to provide the kind of data
necessary in a de-identified format. It also may be challenging for
part 2 programs to provide information quickly in more urgent
situations, without potentially diverting resources away from patient
care.
Patient identifying information may also be used to help agencies
and third-party payers improve care in certain circumstances. Under
current regulations at Sec. 2.53(a) and (b), federal, state, and local
government agencies that have the authority to regulate or that provide
financial assistance to part 2 programs, and third-party payers with
covered patients in part 2 programs, may receive patient identifying
information in the course of conducting audits or evaluations.
Additionally, patient identifying information may be disclosed to
individuals and entities to conduct Medicare, Medicaid, or CHIP audits
or evaluations under Sec. 2.53(c). Thus, a Medicaid agency may
evaluate the part 2 providers that participate in its Medicaid program;
a state health department may audit the facilities it licenses pursuant
to its regulatory authority; and a health plan may review part 2
programs that serve its enrollees.
The current regulations do not define audit and evaluation, nor do
they direct the manner in which evaluations are carried out, as noted
by Sec. 2.2(b)(2). Nevertheless, we stated in the proposed rule that
we believe that the concept of audit or evaluation is not restricted to
reviews that examine individual part 2 program performance. We
specifically said they may also include periodic reviews of part 2
programs to determine if there are any needed actions at an agency
level to improve care and outcomes across the individual part 2
programs the agency regulates or supports financially. Likewise, we
noted that audits or evaluations may include reviews to determine if
there are needed actions at a health plan level to improve care and
outcomes for covered patients in part 2 programs. In other words,
audits or evaluations may be conducted with a goal to identify
additional steps agencies or third-party payers should be taking to
support the part 2 programs and their patients. This includes reviews
that allow agencies or third-party payer entities to identify larger
trends across part 2 programs, in order to respond to emerging areas of
need in ways that improve part 2 program performance and patient
outcomes.
SAMHSA proposed to clarify that under Sec. 2.53, government
agencies and third-party payer entities would be permitted to obtain
part 2 records without written patient consent to periodically conduct
audits or evaluations for purposes such as identifying agency or health
plan actions or policy changes aimed at improving care and outcomes for
part 2 patients (e.g., provider education, recommending or requiring
improved health care approaches); targeting limited resources more
effectively to better care for patients; or adjusting specific Medicaid
or other insurance components to facilitate adequate coverage and
payment. These agencies and third-party payers are required to abide by
the restrictions on disclosure and other relevant confidentiality
requirements outlined in Sec. 2.53. Additionally, SAMHSA stated in the
proposed rule that it did not believe it was generally necessary to
conduct these types of audits or evaluations on a routine or ongoing
basis. Rather, we stated that we would generally expect that they would
be performed periodically, unless they are required by applicable law
or other compelling circumstances exist, such as unique cases in which
an oversight agency determines there is a need for ongoing review. We
also stated that information disclosed for the purpose of a program
audit or evaluation may not be used to directly provide or support care
coordination. As stated previously (83 FR 243), SAMHSA believes it is
important to maintain patient choice in disclosing information to
health care providers with whom patients have direct contact. Agencies
or health plans could, for example, use information from the aggregated
results of part 2 program evaluations to determine that a new benefit
or payment category is needed in order to facilitate better care
coordination.
The preamble to the 2017 final rule noted that the authorizing
statute for part 2 does not provide a general exception to the consent
requirement for disclosure of SUD records for the purpose of sharing
records with public health officials (82 FR 6079). Furthermore, the
preamble also noted that SAMHSA does not have the statutory authority
to authorize routine disclosure of part 2 information for public health
purposes (82 FR 6079). In the 2019 proposed rule, SAMHSA emphasized
that audits or evaluations using aggregated data for such purposes
described above are distinct from a broader public health exception.
Specifically, under current regulations, part 2 programs may share
information with the agencies that have the authority to regulate or
provide financial support to the part 2 program, in order to safeguard
or improve the care and outcomes for current and future patients in
those programs, or to ensure the integrity of the funding program and
the appropriate use of financial support by the part 2 program. A
broader public health exception would conceivably enable part 2
programs to share identifiable information with any public health
agency, regardless of its relationship with the part 2 program, for
many types of purposes (e.g., preventative efforts aimed at a wider
population).
To clarify allowable program evaluation activities using patient
identifying information, SAMHSA proposed several changes to Sec. 2.53.
First, SAMHSA proposed to redesignate current Sec. 2.53(c) and (d) as
Sec. 2.53(e) and (f), respectively, and insert a new Sec. 2.53(c)
titled: ``Activities Included.'' Proposed new paragraph Sec.
2.53(c)(1) specified that audits or evaluations may include periodic
activities to identify actions that an agency or third-party payer
entity can make, such as changing its policies or procedures to improve
patient care and outcomes across part 2 programs; targeting limited
resources more effectively; or determining the need for adjustments to
payment policies for the care of patients with SUD. This change was
intended to clarify that disclosures of patient records by a part 2
program to an agency or third-party payer entity are permitted for
these purposes without patient consent, pursuant to this section.
Second, SAMHSA noted in the proposed rule (84 FR 44579) that it has
received feedback that stakeholders are unclear about whether Sec.
2.53 allows federal, state, and local government agencies and third-
party payers to have access to patient information for activities
related to reviews of appropriateness of medical care, medical
necessity, and utilization of services. As described above, the
[[Page 43024]]
current regulations allow information to be disclosed to certain
federal, state, and local governmental agencies and third-party payers
for audit or evaluation purposes, as long as they agree to specific
restrictions outlined in the regulations to limit disclosure or use of
the records and preserve patient confidentiality. While neither the
statute nor the regulations define audit or evaluation, we stated that
these terms should and do include audits or evaluations to review
whether patients are receiving appropriate services in the appropriate
setting. Assessing whether a part 2 program provides appropriate care
is a necessary part of any comprehensive part 2 program audit or
evaluation. Government agencies may be charged with conducting such
reviews for licensing or certification purposes or to ensure compliance
with federal or state laws, as may private not-for-profit entities
granted authority under the applicable statutes or regulations to carry
out such work in lieu of the agencies. Third-party payers also have a
stake in the programmatic integrity, as well as the clinical quality,
of the part 2 programs that serve the patients they cover. Therefore,
SAMHSA proposed to insert a new Sec. 2.53(c)(2) that clarifies audit
and evaluations under this section may include, but are not limited to,
reviews of appropriateness of medical care, medical necessity, and
utilization of services. Stakeholders were also referred to Sec. 2.33,
which allows disclosure of information for payment and/or health care
operations activities with a patient's consent.
Third, we explained that stakeholders have expressed confusion
about whether part 2 programs may disclose information for audit or
evaluation purposes to the larger health care organizations in which
they operate. For example, Medicare Conditions of Participation
regulations at 42 CFR 482.21 require individual hospitals to conduct
quality assessment and performance improvement (QAPI) programs that
reflect the complexity of each hospital's organization and services,
and which involve all hospital departments and services. QAPI programs
are ongoing, hospital-wide, data-driven efforts that focus on
addressing high-risk, high-volume or problem prone areas that affect
health outcomes, patient safety, or quality of care.
As we noted in the proposed rule (84 FR 44580), the part 2
regulations provide ample leeway for part 2 programs to share
information within their larger health care organizations for these and
other types of evaluations. Under Sec. 2.53(a)(2), part 2 programs may
determine that individuals or entities within their health care
organizations are qualified to conduct audits and evaluations and may
share information pursuant to such reviews. Additionally, Sec.
2.12(c)(3) states that, ``The restrictions on disclosure in the
regulations in this part do not apply to communications of information
between or among personnel having a need for the information in
connection with their duties that arise out of the provision of
diagnosis, treatment, or referral for treatment of patients with
substance use disorders if the communications are:
(i) Within a part 2 program; or
(ii) Between a part 2 program and an entity that has direct
administrative control over the program.'' The phrase ``direct
administrative control'' refers to the situation in which a substance
use disorder unit is a component of a larger behavioral health program
or of a general health program.
In order to eliminate any remaining misunderstanding, however,
SAMHSA proposed to expand the regulatory language to explicitly clarify
that this type of information sharing is permitted under the
regulations. Specifically, we proposed to add language to Sec.
2.53(a)(2) to state that, ``Auditors may include any non-part 2 entity
that has direct administrative control over the part 2 program or
lawful holder.'' Additionally. SAMHSA proposed to include similar
language in new subsection (b)(2)(iii). We stated that we believed that
the proposed changes will help to clarify that in these situations,
identifiable patient diagnosis or treatment information can be shared
with personnel from an entity with direct administrative control over
the part 2 program, where those persons, in connection with their audit
or evaluation duties, need to know the information.
Fourth, while the regulations at Sec. 2.53(a)(1)(ii) and
(b)(2)(ii) specifically delineate that information may be disclosed to
quality improvement organizations, these provisions do not explicitly
include other types of entities that are responsible for quality
assurance. For example, the regulations for audit and evaluation do not
describe entities, such as health care organization accrediting or
certification bodies, that may need to review patient records to
evaluate whether a part 2 program meets quality and safety standards.
To ensure that stakeholders understand that disclosure to these types
of organizations is permitted, SAMHSA proposed to insert a new Sec.
2.53(d) stating, ``Quality Assurance Entities Included. Entities
conducting audits or evaluations in accordance with Sec. 2.53(a) and
(b) may include accreditation or similar types of organizations focused
on quality assurance.''
Additionally, at the time the NPRM was published, SAMHSA understood
that some federal, state, and local government agencies face challenges
in meeting statutory or regulatory mandates that require them to
conduct audits or evaluations involving part 2 information. For
example, the Centers for Medicare & Medicaid Services conducts risk
adjustment and data validation in connection with the risk adjustment
program it is required to operate in accordance with section 1343 of
the Patient Protection and Affordable Care Act, 42 U.S.C. 18063 and
implementing regulations. Under risk adjustment data validation, health
insurance issuers are lawful holders of part 2 identifying information
and may be required to provide it to CMS or its contractors. Therefore,
SAMHSA proposed to insert a new Sec. 2.53(g) to permit patient
identifying information to be disclosed to federal, state, and local
government agencies, as well as their contractors, subcontractors, and
legal representatives of such agencies, in the course of conducting
audits or evaluations mandated by statute or regulation, if those
audits or evaluations cannot be carried out using de-identified
information.
In addition to these changes, SAMHSA proposed to update language
related to quality improvement organizations. At Sec. 2.53(a)(1)(ii)
and (b)(2)(ii), it proposed to amend the language to align it with 42
CFR 476.1. Specifically, SAMHSA proposed to replace references to
``utilization or quality control review'' with the term ``QIO review.''
The comments we received on the proposed amendments to Sec. 2.53
and our responses are provided below.
Public Comments About the Proposals for Audit and Evaluation in General
Public Comments
Several commenters expressed support for the audit and evaluation
proposals in general, saying clarification of these provisions can help
decrease confusion and administrative burden, particularly among
prescribing practitioners and auditors who conduct inspection and
evaluation activities. One commenter stated that the proposed changes
would enable better evaluation of the entire SUD treatment system of
care. Another emphasized that focused oversight will help measure the
efficacy of new SUD-related health care benefits offered by government
and commercial
[[Page 43025]]
programs, reinforcing public trust in such programs while ensuring that
adequate funds are available for at-risk populations.
SAMHSA Response
We thank the commenters for their support.
Public Comments
Several commenters were critical of the changes. A few commenters
expressed concern about expanded data sharing under the proposals,
including with non-government and/or non-treatment actors, that could
ultimately negate the current rule's privacy and consent protections.
SAMHSA Response
In this rule, SAMHSA is primarily clarifying activities that are
already permissible under Sec. 2.53. Except for new Sec. 2.53(g), we
do not interpret the changes as conferring new authority for expanded
data sharing and do not believe the changes will undermine the rule's
privacy and consent protections.
Public Comments
A few commenters expressed concern that activities under the
proposed Sec. 2.53(c)(1)(ii) and/or Sec. 2.53(c)(2) could be used as
a means to deny care and/or services to patients with a SUD, and one
commenter recommended that SAMHSA provide additional examples of
program activities to ensure that such activities are performed in
accordance with the regulation. Another commenter said the proposed
rule will effectively remove the treating provider from the process.
SAMHSA Response
The goal of our clarifications in Sec. 2.53(c)(1)(ii) and (c)(2)
is to ensure that appropriate individuals, agencies and entities may
use audits and evaluations to identify opportunities to improve
services to patients in part 2 programs, as well as to conduct
customary oversight activities that have the ability to safeguard
patients and ensure they receive the right care. Without these
clarifications, government agencies and third-party payers may be
reluctant to undertake certain activities that are important to the
care and safety of patients receiving services in part 2 programs.
However, as referenced below, SAMHSA is modifying the language at Sec.
2.53(c)(1)(ii) to clarify that the intent of the changes is to enhance
care for patients.
Public Comments
A few commenters raised the issue of providing safeguards to
prevent release of individually identifiable information, especially
when patient information is used by third parties. One commenter
emphasized the importance of ensuring that legitimate contractors use
de-identified data whenever possible and follow the part 2 protections.
SAMHSA Response
Section 2.53 includes numerous safeguards to protect patient
identifying information. For example, patient identifying information
disclosed under Sec. 2.53(a) and (b) may be disclosed only back to the
part 2 program or other lawful holder from which it was obtained, and
may be used only to carry out an audit or evaluation purpose, or to
investigate or prosecute criminal or other activities if authorized by
a court order. Under Sec. 2.53(b), individuals, agencies, and entities
conducting offsite reviews must maintain and destroy the patient
identifying information in a manner consistent with the policies and
procedures established under Sec. 2.16. Additionally, Sec. 2.13
requires that any disclosures made under the part 2 regulations must be
limited to that information which is necessary to carry out the purpose
of the disclosure.
Public Comments
A few commenters raised the question of how eligible individuals
and organizations may access unredacted part 2 information for audits
and evaluations under the provisions of the proposed rule, and one
stated that the rule does not address the problem of providers who are
unwilling to disclose part 2 information to lawful holders subject to
state or federal audits, which creates consequences for organizations
such as Medicare Advantage Plans. One commenter said there was no
process to verify whether identifiable information is needed,
emphasizing that patients' private information would be vulnerable to a
mere assertion that identifiable information must be revealed. The
commenter believes that due process is removed for patients and that
the system is ripe for abuse. A commenter suggested that HHS could
provide data-use agreements or a memorandum of understanding, or revise
the regulation to require a part 2 program or lawful holder to provide
part 2 information as necessary to another provider or lawful holder in
order to respond to an audit. One commenter suggested that
clarification on the specific types of third parties with the specific
methods and procedures for obtaining consent would be beneficial.
SAMHSA Response
In this final rule, SAMHSA is clarifying permissible activities
under Sec. 2.53 to help clear up confusion about the sharing of
patient identifying information for the purposes of audit and
evaluation. SAMHSA does not have the statutory authority to require
patient records to be disclosed to auditors or evaluators. Further, we
decline to issue specific direction regarding the processes through
which patient identifying information is disclosed by part 2 programs
or lawful holders to auditors and evaluators, as we believe the facts
surrounding individual requests for information may vary, and those
discussions are better left to stakeholders with first-hand knowledge
of each situation. Additionally, SAMHSA believes such questions are out
of the scope of this final rule, as they were not addressed in the
proposed rule. We will take the suggestion for the creation of data use
agreements and/or memorandums of understanding under advisement for
future guidance or rulemaking.
Public Comments
A commenter said the correct application of the term ``evaluation''
is particularly unclear and subject to different interpretations.
SAMHSA Response
As stated in the proposed rule (84 FR 165), the current regulations
do not define audit and evaluation, nor do they direct the manner in
which evaluations are carried out, as noted by Sec. 2.2(b)(2).
Nevertheless, SAMHSA believes that the concept of audit or evaluation
would at least include reviews that examine individual part 2 program
clinical and/or financial performance as well as reviews of part 2
programs to determine if there are any needed actions at an agency or
payer level to improve care and outcomes across individual part 2
programs.
Public Comments
One commenter said that Section 704 of the Comprehensive Addiction
and Recovery Act (CARA) of 2016 included provisions permitting Part D
sponsors to establish drug management programs (DMPs) for beneficiaries
at-risk for misuse or abuse of frequently abused drugs and believes
that part 2 information will be required to be disclosed. The commenter
suggested that SAMHSA include drug management and utilization review
programs as program evaluation disclosures that do not require consent
for disclosure of part 2 information. Alternatively, the commenter
[[Page 43026]]
recommended that the regulations be amended to provide that public
program beneficiaries are deemed to have consented to part 2
disclosures when the public program requires such disclosures.
SAMHSA Response
SAMHSA believes it is important to identify patients at risk for
misuse or abuse of frequently abused drugs, and that sharing
information for the purposes of drug utilization review would already
be allowed under Sec. Sec. 2.31 and 2.33 when a patient consents to
sharing their information for payment and health care operations. In
this final rule, we are also adopting new language at Sec. 2.53(c)(2)
to clarify that audits and evaluations of part 2 programs may include
reviews of appropriateness of medical care, medical necessity, and
utilization of services. We agree that part 2 programs would be
permitted to share information with Part D sponsors seeking to identify
at-risk patients who may be candidates for drug utilization programs
under this section as well.
Comments on SAMHSA's Proposals To Clarify Permitted Activities of
Government Agencies and Third-Party Payers (Sec. 2.53 (c)(1))
Public Comments
Several commenters expressed support for the proposed changes to
clarify the permitted activities of government agencies and third-party
payers, stating that they reduce confusion and ambiguity and will help
in providing efficient and effective care. A few commenters appreciated
the recognition in the proposed rule that state agencies have audit and
evaluation responsibilities that necessitate the receipt of part 2-
protected data. One commenter underscored that states have an urgent
need to utilize every available analytic tool to address the opioid
crisis facing our nation.
SAMHSA Response
We thank the commenters for their support.
Public Comments
Several commenters opposed the changes, expressing concerns about
expanded sharing of highly sensitive information without patient
consent and with few or no parameters, and stating that the audit and
evaluation exception already provides a fairly comprehensive mechanism
for entities to share information without the consent of the patient. A
few believed the changes would permit greater disclosures of patient
records without consent to entities not involved in direct patient
care. One commenter said that the proposed rule does not describe how
granular level information would be shared between agencies or with
third-party payer entities in ways that would not disclose patient
identities in any manner and still be useful. One commenter expressed
concern that virtually every use will be deemed compelling. A few
commenters said that the proposed language exceeds the part 2 statute
and that there is no value in maintaining the existing rule without
enforcement of it. A few commenters also expressed concern that the
proposed changes would allow patient identifying information to be used
to reduce care, dictate care, remove the treating provider from the
care process, limit access, or make decisions about patient care solely
on what can be found in the files through such reviews. Another
commenter said that patient records can be inaccurate and are rarely a
full reflection of who the person is or the myriad of factors that go
into the care process. One commenter said that the proposal opens
patients up for discrimination.
SAMHSA Response
As noted in the proposed rule, SAMHSA has heard from stakeholders
that there is confusion about what types of activities are permissible
under Sec. 2.53. The goal of our clarifications in Sec. 2.53(c)(1) is
to ensure that the appropriate individuals, agencies and entities
understand that they may use audits and evaluations to identify
opportunities to improve services to patients in part 2 programs,
including making changes to payment policies that could increase access
to effective services and targeting resources more effectively. SAMHSA
believes the changes in this section represent clarifications of
permissible activities under current regulations. However, in response
to concerns expressed above, we are amending the language of this
section to help clarify that our intent is to help government agencies
and third-party payers as they seek to enhance the care and treatment
of patients with SUD. We also note that the regulations include
numerous safeguards to help ensure the proper handling of patient
identifying information disclosed for audit and evaluation purposes.
For example, newly redesignated Sec. 2.53(f) requires that patient
identifying information disclosed under this section may be disclosed
only back to the part 2 program or other lawful holder from which it
was obtained, and may be used only to carry out an audit or evaluation
purpose, or to investigate or prosecute criminal or other activities,
as authorized by a court order. Under Sec. 2.53(b), individuals,
agencies, and entities conducting offsite reviews must maintain and
destroy the patient identifying information in a manner consistent with
the policies and procedures established under Sec. 2.16. Additionally,
Sec. 2.13 requires that any disclosures made under the part 2
regulations must be limited to that information which is necessary to
carry out the purpose of the disclosure.
Public Comments
One commenter noted that the phrase ``across part 2 programs''
could be interpreted to mean that evaluations must study only the part
2 programs themselves, and recommended changing this language to ``to
improve care and outcomes for patients with SUDs that are treated by
part 2 programs.''
SAMHSA Response
We thank the commenter for this suggestion, and agree that ``across
part 2 programs'' may be interpreted too narrowly. Therefore, in this
final rule, SAMHSA has changed the wording in Sec. 2.53(c)(1)(i) to
incorporate the commenter's suggested language.
Public Comments
One commenter said the ongoing nature of some Medicaid and Medicaid
managed care organization quality control activities may be precluded
based on language in the proposed rule stating that these types of
audit and evaluation activities should only be periodic in nature. The
commenter recommend that SAMHSA remove the ``periodic'' restriction for
entities with direct administrative control and third-party payers,
allowing them to continue to be provided with the flexibility to make
determinations regarding the appropriate frequency of audit and
evaluation activities. Another commenter asked for clarification about
allowing ``periodic'' but not ``routine'' or ``ongoing'' reviews,
stating that meaningful audits or evaluations that could be
appropriately considered ``periodic'' could also be described as
``routine'' or ``ongoing.''
SAMHSA Response
SAMHSA appreciates the insight provided by the commenters. In the
proposed rule, SAMHSA sought to clarify that under Sec. 2.53,
government agencies and third-party payer entities would be permitted
to obtain part 2 records without written patient consent to
periodically conduct audits or evaluations for purposes such as
identifying agency or health plan actions or policy changes aimed at
[[Page 43027]]
improving care and outcomes for part 2 patients; targeting limited
resources more effectively to better care for patients; or adjusting
specific Medicaid or other insurance components to facilitate adequate
coverage and payment. SAMHSA emphasized in the proposed rule that it
did not believe it was generally necessary to conduct these types of
audits or evaluations on a routine or ongoing basis. It was not
SAMHSA's intention to interrupt or otherwise alter established audit
and evaluation programs that already adhere to a specific schedule.
Based on the comments received, we do not believe the regulations
should indicate the frequency with which the permissible activities
outlined in Sec. 2.53(c)(1) should occur. We believe determinations
about how often information is disclosed for audits and evaluations of
this nature are best left to stakeholders with first-hand knowledge of
each specific situation. Therefore, the final regulation text at Sec.
2.53(c)(1) will not include the word ``periodically.''
Public Comments
One commenter appreciated that SAMHSA believes that the concept of
audit or evaluation includes evaluations to identify additional steps
and policy changes aimed at improving care and outcomes for part 2
patients, but also supported a broader public health exception to
enable part 2 programs to share identifiable information with a public
health agency for these purposes. The commenter recommended that Sec.
2.53 be amended to define audit and evaluation as activities to include
those conducted by a public health agency authorized by law to conduct
public health research and implement programs aimed at improving care
and outcomes for part 2 patients.
SAMHSA Response
We thank the commenter for their support and underscore that
although the part 2 authorizing statute does not include a broad public
health exception to the consent requirements, government agencies that
have the authority to regulate, or that financially support part 2
programs, may conduct audits and evaluations of those programs in an
effort to ensure that current and future patients receive the best care
possible.
Public Comments
One commenter encouraged SAMHSA to include a requirement that any
third party acting on behalf of an agency or organization for audits or
investigations be required to produce a copy of its contract with the
agency or entity on whose behalf the investigative activities are being
conducted, in order to ensure that the third party is legitimate and
has the authority to conduct the audit or investigation. The commenter
noted that it would be helpful for the entity being audited or
investigated to have written assurance that the part 2-covered
information can be disclosed and used for these purposes.
SAMHSA Response
We thank the commenter for this suggestion and will consider it for
future rulemaking. We underscore the importance for part 2 programs to
have processes in place to ensure information is shared appropriately
with any contractors, subcontractors or legal representatives
conducting audits and evaluations on behalf of the designated
individuals, agencies, and entities outlined in Sec. 2.53. SAMHSA
encourages part 2 programs and third parties to consider using copies
of these types of contracts as one way to help verify a third-party's
legitimacy.
In response to comments discussed above, we are finalizing this
section with changes. We are removing the word ``periodically'' from
Sec. 2.53(c)(1) and amending the language of Sec. 2.53(c)(1)(ii) and
(iii) to help clarify that our intent is to help government agencies
and third-party payers as they seek to enhance the care and treatment
of patients with SUD. Additionally, we are amending the wording in
Sec. 2.53(c)(1)(i) to replace the phrase ``across part 2 programs''
with the phrase ``to improve care and outcomes for patients with SUDs
who are treated by part 2 programs.''
Public Comments on SAMHSA's Proposal To Clarify Activities Related to
Appropriateness of Care, Medical Necessity, and Utilization of Services
(Sec. 2.53(c)(2))
Public Comments
A few commenters supported the proposal, stating that it will
support quality improvement and cost containment efforts on the part of
third-party payers and resolve ambiguity, and describing it as an
essential component that should be retained in final regulations. One
commenter stated their understanding that the NPRM is aimed at
clarifying which activities fall within the terms ``audit and
evaluation'' and does not necessarily expand or increase the activities
already allowed.
SAMHSA Response
We thank the commenters for their support.
Public Comments
Several commenters opposed or expressed concerns about the proposed
change. A few commenters said it could jeopardize individual patient
insurance coverage, benefits, and access to care; give third-party
payers a more defined or interfering role in treatment decisions; and
subject patients to criminalization or stigma. One commenter noted they
saw no enforcement measures in place to protect patients. Another
commenter suggested that the permitted activities could arguably be
accomplished through health care operations activities already
permitted under Sec. 2.33(b), following patient consent. Other
commenters said the proposal exceeded the part 2 authorizing statute
and raised concerns about the security of the information, believing
that somehow the information would become available to fraudulent
individuals marketing the latest SUD miracle cure to patients and
families. One commenter said that care coordination should be added to
the list of permitted audit and evaluation activities which would
involve communication for similar, if not even more beneficial,
purposes.
SAMHSA Response
In this rule, SAMHSA is primarily clarifying activities that are
already permissible under Sec. 2.53. As stated in the proposed rule,
SAMHSA believes the definition of audit and evaluation should and does
include reviews to assess whether patients are receiving appropriate
services in the appropriate setting. Assessing whether a part 2 program
provides appropriate care is a necessary part of any comprehensive part
2 program audit or evaluation. With regard to security concerns, Sec.
2.53 includes numerous safeguards to protect patient identifying
information disclosed under Sec. 2.53(c)(2). Section 2.53(b), for
example, requires auditors and evaluators conducting reviews using
information that has been copied, removed, downloaded or forwarded, to
maintain and destroy the patient identifying information in a manner
consistent with the policies and procedures established under Sec.
2.16. Under newly designated Sec. 2.53(f), patient identifying
information disclosed under this section may be disclosed only back to
the part 2 program or other lawful holder from which it was obtained,
and may be used only to carry out an audit or evaluation purpose, or to
investigate or prosecute criminal or other activities if authorized by
a court order. Additionally, Sec. 2.13 requires that any disclosures
made
[[Page 43028]]
under the part 2 regulations must be limited to that information which
is necessary to carry out the purpose of the disclosure. We note that
care coordination is addressed in other parts of this rule.
For the reasons stated above, we are finalizing these changes as
proposed.
Public Comments on SAMHSA's Proposal Related to Entities With Direct
Administrative Control of Part 2 Programs (Sec. 2.53(a)(iii) and
(b)(iii))
Public Comments
A few commenters supported the proposed change. One commenter
described the change as a welcomed clarification.
SAMHSA Responses
We thank the commenters for their support. SAMHSA is finalizing
this proposal with minor changes. Specifically, SAMHSA is altering the
placement and wording of the new language at Sec. 2.53(a) to better
align it with new language at Sec. 2.53(b).
Public Comments on SAMHSA's Proposal Related to Entities That Provide
Quality Assurance (Sec. 2.53(d))
Public Comments
One commenter appreciated the clarification of accrediting
organizations (AOs) as entities conducting audits and evaluations under
part 2, stating that it is critical for AOs to review part 2 records to
ensure that OTPs are meeting certain quality and safety standards in
the delivery of care to SUD patients.
SAMHSA Responses
We thank the commenter for their support. We are finalizing this
change as proposed.
Public Comments on SAMHSA's Proposal Related to Audits and Evaluations
Mandated by Statute or Regulation (Sec. 2.53(g))
Public Comments
A few commenters appreciated and supported these clarifications and
encouraged SAMHSA to finalize them. One commenter suggested that the
rules should be revised to apply this exception not just for audits and
evaluations required by law, but for any mandated reporting or
disclosure required by law.
SAMHSA Response
We thank the commenter for their support. While the part 2
authorizing statute includes an exception to the consent requirement
for the purposes of conducting management and financial audits and
program evaluations, it does not include such an exception for any type
of mandated reporting or disclosure.
Public Comments
One commenter said the proposed rule change exceeds the authority
in 42 U.S.C. 290dd-2 and should be removed. Another commenter expressed
concern that the section would act as a catch-all for government
agencies and their contractors, subcontractors, and legal
representatives to have access to any information that they determine
necessary if the state statute mandates the disclosure. The commenter
believed this would give the government access to any information that
it deems necessary, including managed care companies working as
government contractors delivering care to state members. The commenter
described the proposal as inconsistent with other portions of the
regulations, without providing any specific details, and suggested that
SAMHSA should further review the potential implications of this
section.
SAMHSA Response
The audit and evaluation exception codified at 42 U.S.C. 290dd-2(B)
permits disclosure for a wide range of audit and evaluation activities.
We believe that the proposal to permit audit and evaluation by
government agencies that are mandated by law is consistent with the
authorizing statute and current Sec. 2.53(a) and (b). Furthermore,
redesignated Sec. 2.53(f) reiterates that patient identifying
information may only be used to carry out the purpose of the audit and
evaluation. Moreover, Sec. 2.13(a) prohibits the disclosure or use of
patient identifying information in any civil, criminal, administrative,
or legislative proceedings conducted by any federal, state, or local
authority. Therefore, we are finalizing Sec. 2.53(g) as proposed.
Public Comments on SAMHSA's Proposal Related To Updating QIO Language
Public Comments
One commenter supported SAMHSA's proposed rule change to align part
2 with current QIO regulations.
SAMHSA Response
We thank the commenter for their support, and we are finalizing our
amendments to Sec. 2.53 relating to QIOs as proposed.
L. Orders Authorizing the Use of Undercover Agents and Informants
(Sec. 2.67)
SAMHSA is finalizing this section as proposed.
Under the 1975 final rule, the placement of undercover agents or
informants in a part 2 program was largely prohibited, other than as
specifically authorized by a court order for the purpose of
investigating a part 2 program, or its agents or employees, for
allegations of serious criminal misconduct. At the time the 1975 final
rule was promulgated, it was noted that, although the use of undercover
agents and informants in treatment programs was ordinarily to be
avoided, there occasionally arise circumstances where their use may be
justified (42 FR 27809). More narrowly, it was noted that the
authorizing statute, by itself, did not forbid the use of undercover
agents or informants, and that the express statutory prohibition
against direct disclosure of patient records is nevertheless subject to
the power of the courts to authorize such disclosures under 42 U.S.C.
290dd-2(b)(2)(C). Building on these statutory considerations, it was
concluded that the power to regulate the placement of undercover agents
and informants is limited, and that the importance of criminal
investigation of part 2 programs offers a legitimate policy basis for
allowing the placement of undercover agents or informants in such
programs, given a showing of good cause in specific instances. As
explained in the preamble to the 1975 final rule, experience has
demonstrated that medical personnel, no matter how credentialed, can
engage in the illicit sale of drugs on a large scale, and that the use
of undercover agents and informants is normally the only effective
means of securing evidence sufficient to support a successful
prosecution in such instances. Based on over 40 years of experience
since then, SAMHSA believes it is still the case that medical personnel
sometimes engage in the illicit sale or transfer of drugs, and that a
process for authorizing undercover agents is important to ensure the
safety of patients in these part 2 programs.
Under the 1975 final rule, a 60-day time limitation with regard to
the placement of undercover agents and informants in a part 2 program
was imposed, with the opportunity for an applicant to seek an extension
of the court order, for a total of up to 180 days (42 FR 27821). In the
1987 final rule, that period of placement for undercover agents and
informants pursuant to a
[[Page 43029]]
court order was extended to 6 months. This policy limitation was
codified at Sec. 2.67(d)(2).
Based on consultation with DOJ, the current policy is burdensome
on, and overly restrictive of, some ongoing investigations of part 2
programs. Specifically, DOJ has stated that a typical undercover
operation can often last longer than 6 months, and that 12 months is a
more realistic timeframe for such operations. Therefore, SAMHSA
proposed to amend Sec. 2.67(d)(2), to extend the period for court-
ordered placement of an undercover agent or informant to 12 months,
while authorizing courts to further extend a period of placement
through a new court order (84 FR 55481).
In addition, DOJ has stated that the current regulation text is
ambiguous regarding when the current 6-month, or, as finalized, 12-
month period, should start and stop, in determining whether a court-
order period of placement has elapsed. SAMHSA considered multiple
policy options regarding the tolling of the time period for an
undercover placement. We considered having the time period begin on the
date of the issuance of the court order. Alternatively, SAMHSA also
considered having the time period begin on the date of placement of the
undercover agent or informant. In consultations with DOJ, SAMHSA has
found that there is often a lag of time between the court order and the
placement of the agent or informant, for many reasons. Therefore,
starting the time period when the court order is issued could
significantly curtail the length of time an agent or informant can be
undercover at a part 2 program. Furthermore, starting the time period
based on date of placement of the agent or informant would provide
greater clarity and predictability to law enforcement about exactly how
long an agent or informant is allowed to be in the field, since the
agent or informant is aware of the date his or her placement began, but
may not be aware of the date of the court order. Thus, SAMHSA proposed
to amend Sec. 2.67(d)(2), to clarify that the proposed 12-month time
period starts when an undercover agent or informant is placed in the
part 2 program (84 FR 55481).
The comments we received on the proposed amendments to Sec. 2.67
and our responses are provided below.
Public Comments
Some commenters opposed the presence of undercover officers and
informants in part 2 programs for any length of time, citing privacy
concerns, treatment deterrence, ethical violations, and a violation of
constitutional rights. Some commenters specifically stated this
proposal would perpetuate stigma. One commenter noted that officers
should not be allowed in part 2 programs without proper behavioral
health training.
SAMHSA Response
The authorizing statute (42 U.S.C. 290dd-2) and the regulations
promulgated thereunder (42 CFR part 2) contain various safeguards to
ensure that court orders authorizing the use of undercover agents and
informants are not misused. For example, there must be an application
citing certain good cause criteria, a court order noting the good
cause, and notice provided to the director of the program. Furthermore,
no information obtained by an undercover agent or informant placed in a
part 2 program under the court order may be used to investigate or
prosecute any patient in connection with a criminal matter (42 CFR
2.67(d)). Thus, we believe the regulations strike the appropriate
balance between protecting patients from criminal activities by
employees of part 2 programs and safeguarding the confidentiality and
rights of these same patients.
Public Comments
A few commenters noted that this proposal is particularly
concerning given the simultaneous proposal by SAMHSA (at 84 FR 44568)
to remove ``allegedly committed by the patient'' from Sec. 2.63 of the
regulations. These commenters argued that, coupled together, the
changes would allow the regulations to become a tool of prosecution and
not recovery.
SAMHSA Response
As noted above, the authorizing statute (42 U.S.C. 290dd-2) and the
regulations promulgated thereunder (42 CFR part 2) contain various
safeguards against misuse of these provisions. Further, Sec. 2.13(a)
of the regulations specifically provide that ``[t]he patient records
subject to the regulations in this part may be disclosed or used only
as permitted by the regulations in this part and may not otherwise be
disclosed or used in any civil, criminal, administrative, or
legislative proceedings conducted by any federal, state, or local
authority. Any disclosure made under the regulations in this part must
be limited to that information which is necessary to carry out the
purpose of the disclosure.'' Thus, we believe that these changes will
serve to protect patients from crimes committed in part 2 programs
while still safeguarding their confidentiality.
Public Comments
Many commenters disagreed with extending the length of placement of
a court-order for an undercover agent or informant from 6 to 12 months,
stating that this proposal does not purport to improve care
coordination or patient safety. These commenters believe that this
proposal may be interpreted by patients and providers as evidence that
they are not safe in SUD treatment and may further deter treatment,
stating that, given the current nationwide opioid crisis, it is
important that SAMHSA strike an appropriate balance and promote greater
access to comprehensive and coordinated SUD treatment. Commenters also
requested additional details or examples regarding why 12 months is
necessary for placement, arguing that there is no evidence that the
current policy is encumbering ongoing investigations of part 2 programs
or that allowing undercover agents in part 2 programs would address the
causes of the opioid crisis. Some commenters noted that this proposal
is particularly harmful to individuals living in areas that are already
heavily policed.
SAMHSA Response
We disagree that this proposal does not improve patient safety. As
noted above, the intent of the regulations is to protect patients, and
the regulations at Sec. 2.13(a) provide safeguards to ensure that
``[t]he patient records subject to the regulations in this part may be
disclosed or used only as permitted by the regulations in this part and
may not otherwise be disclosed or used in any civil, criminal,
administrative, or legislative proceedings conducted by any federal,
state, or local authority.'' In some situations, in order to build a
case of wrong-doing in a part 2 program or by an employee in such a
program, evidence must be collected for more than 6 months. We believe
that 12 months appropriately strikes a balance between ensuring the
necessary time for informants and safeguarding the confidentiality of
patients.
V. Collection of Information Requirements
Under the Paperwork Reduction Act of 1995 (PRA), agencies are
generally required to provide a 30-day notice in the Federal Register
and solicit public comment before a collection of information
requirement can be approved by the Office of Management and Budget
(OMB) for review and approval. Currently, the information collection is
approved under OMB Control No. 0930-0092. In order to
[[Page 43030]]
fairly evaluate whether changes to an information collection should be
approved by OMB, section 3506(c)(2)(A) of the PRA requires that SAMHSA
solicit comment on the following issues: (a) Whether the information
collection is necessary and useful to carry out the proper functions of
the agency; (b) The accuracy of the agency's estimate of the
information collection burden; (c) The quality, utility, and clarity of
the information to be collected; and (d) recommendations to minimize
the information collection burden on the affected public, including
automated collection techniques. We solicited public comment in the
proposed rule on each of the required issues under section
3506(c)(2)(A) of the PRA for the following information collection
requirements (84 FR 44581 through 44584).
Under the PRA, the time, effort, and financial resources necessary
to meet the information collection requirements referenced in this
section are to be considered in rule making. SAMHSA explicitly sought,
and considered, public comment on our assumptions as they relate to the
PRA requirements summarized in this section.
This final rule includes changes to information collection
requirements, that is, reporting, recordkeeping or third-party
disclosure requirements, as defined under the PRA (5 CFR part 1320).
Some of the provisions involve changes from the information collections
set out in the previous regulations. Below, SAMHSA briefly discusses
each finalized proposal and whether each includes changes to
information collection requirements.
In section IV.B. of this final rule, SAMHSA is finalizing its
proposal to modify the existing definition of ``Records'' in Sec. 2.11
to conform with other finalized revisions in this final rule. See
section IV.B. for further information about this finalized proposal.
SAMHSA does not believe this finalized proposal will result in any
change in collection of information requirements since unrecorded
information is, by its nature, not collected.
In section IV.C. of this final rule, SAMHSA is finalizing
amendments to Sec. 2.12 to clarify in that section that non-part 2
entities may record SUD treatment about a patient in its own records
without triggering part 2 provided that such providers are able to
differentiate their records from those received from a part 2 program
and part 2 records received from lawful holders. See section IV.C. for
further information about this finalized proposal. As stated in that
section, SAMHSA is finalizing new regulatory text to clarify existing
policies; thus, SAMHSA is not finalizing any changes to any collection
of information requirements. Furthermore, we believe that the
clarification represents standard practice in many, if not all, part 2
programs and among other lawful holders. That is, non-part 2 entities
are already either segregating or segmenting any SUD records received
from a part 2 program or deciding not to do so, based on their standard
operations. This finalized proposal will merely clarify that if the
non-part 2 entity does, in fact, segregate or segment these records,
the recording of information about a SUD and its treatment by a non-
part 2 entity does not by itself render a medical record subject to the
restrictions of 42 CFR part 2. Thus, SAMHSA does not believe this
finalized proposal results in any changes in collection of information
requirements.
In section IV.D. of this final rule, SAMHSA is finalizing
amendments to Sec. 2.31, to allow patients to consent to disclosure of
their information to entities, without naming the specific individual
receiving this information on behalf of a given entity. See section
IV.D. for further information about this finalized proposal. This
finalized proposal may result in providers needing to update their
standard consent forms to allow for certain disclosures to such
entities; that additional burden is discussed in the Regulatory Impact
Analysis, below. SAMHSA believes this finalized proposal may result in
part 2 program disclosing more information to certain entities. We
discuss this additional burden, in total, with the additional
collection of information requirements that may result from the
finalized proposals in sections IV.J., and IV.K, below. This amendment
is also anticipated to decrease burden on patients by removing barriers
to sharing their own information in order to receive benefits,
services, or treatment, but we do not have the data to quantify this
reduction.
In section IV.E. of this final rule, SAMHSA is finalizing
modifications to the language in Sec. 2.32(a)(1), to remove the
superfluous language that has contributed to confusion regarding the
restrictions on re-disclosure. See section IV.E. for further
information about this finalized proposal. Since part 2 providers are
already required, upon disclosure, to provide a written statement
notifying the recipient of the applicability of 42 CFR part 2 to any
re-disclosure of the protected record, consistent with the prior
revisions to part 2, including the 2017 final rule (82 FR 6106), SAMHSA
does not believe this finalized modification of the language results in
any changes in collection of information requirements.
In section IV.F. of this final rule, SAMHSA is finalizing with
modification its proposal to specify in regulatory text an illustrative
list of 17 permitted activities for the purpose of disclosures under
Sec. 2.33. SAMHSA is modifying the list of permitted activities to add
to Sec. 2.33 that disclosures for care coordination and case
management, and disclosures for other payment and/or health care
operations activities not expressly prohibited under this provision,
are also permitted. See section IV.F. for further information about
this finalized proposal. As noted in that section, SAMHSA has
previously stated that most of these activities are permitted (83 FR
241); this language will only further clarify the previously finalized
policy. Moreover with regard to the addition of care coordination and
case management activities to Sec. 2.33, SAMHSA does not believe that
this finalized modification of the language will result in providers
seeking additional consents to disclosure in the future, nor in any
additional burden for providers with regard to documenting consents.
Therefore, SAMHSA does not believe this finalized proposal results in
any changes in collection of information requirements.
In section IV.G. of this final rule, SAMHSA is finalizing
provisions to expand the scope of Sec. 2.34(d) to make non-OTP
providers with a treating provider relationship eligible to query a
central registry with their patient's consent to determine whether a
patient is already receiving treatment through a member program to
prevent duplicative enrollments and prescriptions for methadone or
buprenorphine, as well as to prevent any adverse effects with other
prescribed medications. See section IV.G. for further information about
this finalized proposal. Based on SAMHSA's research, the policies and
procedures governing central registries vary widely by each state; in
fact, many states do not have central registries in place. Because of
this lack of information, it is not possible to estimate either the
number of additional queries which central registries may receive as a
result of this finalized proposal or the time or effort required to
answer these queries. Therefore, it is difficult to estimate any
additional collection of information requirements which may result from
this finalized proposal. Instead, SAMHSA requested that central
registries and providers that would query central registries provide
comments on any additional
[[Page 43031]]
information collection requirements this finalized proposal would cause
and any resulting burden. SAMHSA did not receive any comments that
would improve estimates of this burden. However, this provision removes
barriers and expands eligibility, without requiring non-OTP providers
to query the central registry.
In section IV.H. of this final rule, SAMHSA is finalizing its
proposal to add a new Sec. 2.36 permitting part 2 programs to report
any data for controlled substances dispensed or prescribed to patients
to PDMPs, as required by the applicable state law. See section III.G.
for further information about this finalized proposal. SAMHSA
anticipates that this finalized proposal may result in additional
burden for part 2 programs choosing to report to PDMPs in two ways. If
a part 2 program chooses to report to a PDMP, the program will need to
update its consent forms to request consent for disclosure to PDMPs.
That burden is discussed in the Regulatory Impact Analysis, below. The
second part of the finalized proposal permits part 2 programs to report
any data for controlled substances dispensed to patients to PDMPs, as
required by the applicable state law. To estimate the additional
collection of information requirements associated with this finalized
proposal, SAMHSA used the average number of opiate treatment admissions
from SAMHSA's 2014-2016 Treatment Episode Data Set (TEDS) as the
estimate of the number of clients treated on an annual basis by part 2
programs (531,965). Although not all programs would need to report this
information under state law or may choose to do so, SAMHSA has used
this number to be conservative and comprehensive of any future burden
if states require reporting in the future. TEDS ``comprises data that
are routinely collected by States in monitoring their individual
substance abuse treatment systems. In general, facilities reporting
TEDS data are those that receive State alcohol and/or drug agency funds
(including Federal Block Grant funds) for the provision of substance
abuse treatment.'' \17\ Although TEDS does not represent all of the
admissions to part 2 programs, as reporting varies by state, SAMHSA
believes it represents the vast majority of admissions. Conservatively,
we assumed that each of these clients would consent to the re-
disclosure of their information to PDMPs and would be dispensed
medication required to be reported to a PDMP. SAMHSA assumes that part
2 programs, based on other state and federal requirements, already are
required to query PDMP databases; therefore, SAMHSA does not include
registration and infrastructure costs in this estimate. For example,
several states require medical directors of OTPs to query their
respective state PDMPs at minimum intervals, including IN, MN, MI, ND,
NC, RI, TN, VT, WA, and WV.\18\ Based on discussions with providers,
SAMHSA also estimates that, in addition to an initial update to the
PDMP database for existing patients, the PDMP database would typically
need to be accessed and updated quarterly for each patient, on average.
Likewise, based on discussion with providers, SAMHSA believes accessing
and reporting to the database would take approximately 2 minutes per
patient, resulting in a total annual burden of 8 minutes (4 database
accesses/updates x 2 minutes per access/update) or 0.133 hours annually
per patient. For the labor costs associated with this activity, SAMHSA
used the average wage rate of $24.01 \19\ per hour for substance abuse,
behavioral disorder, and mental health counselors (multiplied by two to
account for benefits and overhead costs) to estimate a total burden in
year 1 for the initial update of the PDMP database of $851,498 (531,965
clients x 2 minutes (0.033 hours) per access/update x $48.02/hour) and
an annual burden in each year of $3,405,992 (531,965 clients x 0.133
hours x $48.02/hour). Therefore, we estimate that this finalized
proposal will result in an additional cost of $4,085,489 ($851,498 +
$3,405,992), as reflected in Table 1, below.
---------------------------------------------------------------------------
\17\ https://wwwdasis.samhsa.gov/webt/information.htm.
\18\ https://www.pdmpassist.org/pdf/Resources/Use%20of%20PDMP%20data%20by%20opioid%20treatment%20programs.pdf.
\19\ Bureau of Labor Statistics, U.S. Department of Labor,
Occupational Employment Statistics, May 2019, Substance Abuse,
Behavioral Disorder, and Mental Health Counselors, Standard
Occupations Classification code (21-1018) [www.bls.gov/oes/current/oes_nat.htm].
---------------------------------------------------------------------------
In section IV.I. of this final rule, SAMHSA is finalizing an
addition to Sec. 2.51 to allow disclosure of patient information
during natural and major disasters. See section IV.I. for further
information about this finalized proposal. Because this finalized
proposal by its very nature does not require additional consent
requirements or other paperwork, SAMHSA does not believe it will result
in any changes in collection of information requirements. Providers,
under their own policies and procedures or other laws, may need to keep
track of the disclosures made, which, could require additional
paperwork. Such requirements, however, are not discussed in this rule,
nor does SAMHSA have any way of estimating them, as policies and
procedures may vary across providers.
In section IV.J., and section IV.K. of this final rule, SAMHSA is
finalizing changes with modifications to amend Sec. Sec. 2.52 and 2.53
to allow or clarify the ability to make certain disclosures without
patient consent. First, in section IV.J. of this final rule, SAMHSA is
finalizing to modify the text of Sec. 2.52(a) in order to allow
research disclosures of part 2 data from a HIPAA-covered entity or
business associate to individuals and organizations who are neither
HIPA-covered entities, nor subject to the Common Rule, provided that
any such data will be disclosed in accordance with the HIPAA Privacy
Rule. See section IV.J. for further information about this finalized
proposal. Second, SAMHSA is clarifying allowed disclosures for audit
and evaluation purposes under Sec. 2.53 for activities undertaken by a
federal, state, or local governmental agency or third-party payer to
identify needed actions to improve the delivery of care, to manage
resources effectively to care for patients, and/or to determine the
need for adjustments to payment policies to enhance care or coverage
for patients with SUD. SAMHSA is also finalizing language to clarify
that (1) audits and evaluations may include reviews of appropriateness
of medical care, medical necessity, and utilization of services; (2)
part 2 programs may disclose information, without consent, to non-part
2 entities that have direct administrative control over such part 2
programs; and (3) entities conducting audits or evaluations in
accordance with Sec. 2.53(a) and (b) may include accreditation or
similar types of organizations focused on quality assurance. Further,
SAMHSA is finalizing the proposal under Sec. 2.53(g) to permit patient
identifying information to be disclosed to government agencies in the
course of conducting audits or evaluations mandated by statute or
regulation, if those audits or evaluations cannot be carried out using
de-identified information. Finally, SAMHSA is finalizing updates to
language related to QIOs. See section IV.K. for further information
about these finalized proposals. As stated in that section, SAMHSA
believes that the regulations already permit audits and evaluations for
reviews of appropriateness of medical care, medical necessity, and
utilization of services. Likewise, SAMHSA also believes that the
current regulations permit disclosure to a non-part 2 entity with
direct administrative control over a part 2 program and to
accreditation
[[Page 43032]]
and similar organizations. Therefore, although SAMHSA is finalizing
language to clarify any confusion that may exist, it believes that
these activities are already permitted and that they will not,
therefore, result in any new collection of information requirements or
any other burden. It also believes updating the QIO language will not
create new collection of information requirements or increase burden.
As noted above, SAMHSA is also finalizing a provision to clarify that
patient identifying information may be disclosed to government agencies
and third-party payers to identify needed actions at the agency or
payer level, although we are removing the expectation that these
reviews would take place periodically due to ambiguity about that term
and to avoid interfering with currently-established audit schedules. We
are not revising our burden estimates as a result of this modification
because the frequency of these reviews is unaffected by the change.
Additionally, SAMHSA is adopting a new provision to allow patient
identifying information to be shared with government agencies in the
course of conducting audits or evaluations mandated by statute or
regulation, if those audits and evaluations cannot be carried out using
de-identified information. In section IV.D of this final rule, SAMHSA
is also finalizing a proposal to allow disclosure to entities with
patient consent. SAMHSA believes that the finalized proposals in
sections IV.D., J, and K, may result in additional collection of
information requirements, as part 2 programs may be asked to disclose
information to agencies and entities as a result. Although SAMHSA is
not able to anticipate the increase in these disclosures, to estimate
the potential cost, we first estimated the number of potentially
impacted part 2 programs based on the anticipated number of requests
for a disclosure in a calendar year. SAMHSA used the average number of
substance abuse treatment admissions from SAMHSA's 2014-2016 TEDS
(1,658,732) as the number of patients treated annually by part 2
programs. SAMHSA then estimated that part 2 programs would need to
disclose an average of 15 percent of these records (248,810) as a
result of these finalized proposals. We then estimated that 10 percent
or 24,881 (248,810 x 10%) of impacted records would be held by part 2
programs who would use paper records to comply with these requests for
disclosure reports while the remaining 90% or 223,929 (248,810 x 90%)
would use a health IT system. For part 2 programs using paper records,
SAMHSA expects that a staff member would need to gather and aggregate
the information from paper records, and manually track disclosures; for
those part 2 programs with a health IT system, we expect records and
tracking information would be available within the system.
SAMHSA assumed medical record technicians would be the staff with
the primary responsibility for compiling the information for a list of
disclosures from both paper records and health IT systems. The average
hourly rate for medical record and health information technicians is
$22.40.\20\ In order to account for benefits and overhead costs
associated with staff time, we multiplied the hourly wage rate by two
for a total average hourly wage rate of $44.80. Absent any existing
information on the amount of time associated with producing a list of
disclosures, SAMHSA assumed it would take a medical record technician 4
hours, on average, to produce the information from paper records at a
cost of $179.20 (4 hours x $44.80/hour) and 0.25 hours, on average, to
produce information from a health IT system at a cost of $11.20 (0.25
hours x $44.80/hour). Finally, SAMHSA assumes that agencies will
request that these disclosures be made on secure, online databases, and
would not require notification via email or first class mail, thus
resulting in no additional cost to transmit this information. Based on
these assumptions, SAMHSA estimates that this finalized proposal will
result in an additional cost of $6,966,680 {(24,881 requests x $179.20
per request) + (223,929 requests x $11.20 per request){time} , as
reflected in Table 1, below.
---------------------------------------------------------------------------
\20\ Bureau of Labor Statistics, U.S. Department of Labor,
Occupational Employment Statistics, May 2019, Medical Dosimetrists,
Medical Records Specialists, and Health Technologists and
Technicians, All Other, Standard Occupations Classification code
(29-2098) [www.bls.gov/oes/current/oes_nat.htm].
---------------------------------------------------------------------------
In section IV.L. of this final rule, SAMHSA is finalizing
amendments to Sec. 2.67 to extend the period for court-ordered
placement of an undercover agent or informant to 12 months, while
authorizing courts to further extend a period of placement through a
new court order. In that section, SAMHSA is also finalizing changes to
explicitly state when the 12- month period begins to run. See section
IV.L. for further information about this finalized proposal. The
requirements of the Paperwork Reduction Act do not apply ``During the
conduct of a Federal criminal investigation or prosecution, or during
the disposition of a particular criminal matter'' (5 CFR 1320.4(a)(1)),
or to information collections by the federal judiciary or state courts
(5 CFR 1320.3(a)).\21\
---------------------------------------------------------------------------
\21\ Except, for this latter case, in the rare circumstance that
those information collections are conducted or sponsored by an
executive branch department (5 CFR 1320.3(a)).
---------------------------------------------------------------------------
Below, SAMHSA summarizes the estimated cost of the change in
collection of information requirements discussed above. Along with
publication of this rule, SAMHSA will submit the information collection
revisions associated with this rule to the Office of Management and
Budget for approval. After receiving a final action, SAMHSA swill
publish a notice in the Federal Register to inform the public.
Table 1: Annualized Burden Estimates
--------------------------------------------------------------------------------------------------------------------------------------------------------
Annual number
of Responses per Total Hours per Total hourly Hourly wage Total hourly
respondents respondent responses response burden cost cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sec. 2.36............................. 531,965 5 2,659,825 0.033 88,661 $48.02 $4,257,491
Sec. Sec. 2.31, 2.52, 2.53 (Paper 24,881 1 24,881 4 99,524 44.80 4,458,675
Records)...............................
Sec. Sec. 2.31, 2.52, 2.53 (Health IT 223,929 1 223,929 0.25 55,982 44.80 2,508,005
Systems)...............................
---------------------------------------------------------------------------------------------------------------
Total............................... 780,775 .............. 2,908,633 .............. 244,167 .............. 11,224,171
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 43033]]
VI. Regulatory Impact Analysis
A. Statement of Need
This final rule is necessary to update the Confidentiality of
Substance Use Disorder Patient Records regulations at 42 CFR part 2 to
respond to the emergence of the opioid crisis, with its catastrophic
impact on patients and corresponding clinical and safety challenges for
providers. The goal of this final rule is to clarify existing
requirements in 42 CFR part 2 and reduce barriers to information
sharing to ensure appropriate care and patient safety.
As noted in the tables below, SAMHSA believes that the finalized
policies in this final rule will result in some near-term non-recurring
and annual recurring financial burdens. We have weighed these potential
burdens against the potential benefits, and believe, on balance, the
potential benefits outweigh any potential costs. Specifically, the
finalized proposals in this rule are meant to allow providers to better
understand the needs of their patients by clarifying the requirements
under part 2 and to break down barriers to information sharing among
part 2 programs and other providers. SAMHSA believes this information
sharing would benefit patients because both part 2 programs and other
providers would be able to more fully understand the patient's health
history and avoid dangerous and even lethal adverse drug events. In
addition, these finalized proposals are also intended to protect and
empower patients by giving them more control over their consent and
control of their records, for example, by allowing them to consent to
disclosure to entities, should they so choose. Furthermore, in drafting
these finalized proposals, SAMHSA was cognizant of privacy concerns and
specifically drafted these finalized proposals to protect the privacy
of patients; for example, the finalized proposal regarding OTP provider
disclosure to PDMPs requires the consent of the patient. SAMHSA
believes that increasing patient safety and the empowerment of patients
will lead to better health outcomes, therefore balancing any burdens
discussed below and any remaining privacy concerns.
B. Overall Impact
SAMHSA has examined the impacts of this final rule as required by
Executive Order 12866 on Regulatory Planning and Review (September 30,
1993), Executive Order 13563 on Improving Regulation and Regulatory
Review (January 18, 2011), the Regulatory Flexibility Act (RFA)
(September 19, 1980, Pub. L. 96-354), section 1102(b) of the Social
Security Act, section 202 of the Unfunded Mandates Reform Act of 1995
(March 22, 1995; Pub. L. 104-4), Executive Order 13132 on Federalism
(August 4, 1999), the Congressional Review Act (5 U.S.C. 804(2)), and
Executive Order 13771 (Reducing and Controlling Regulatory Costs).
Executive Orders 12866 and 13563 direct agencies to assess all costs
and benefits of available regulatory alternatives and, if regulation is
necessary, to select regulatory approaches that maximize net benefits
(including potential economic, environmental, public health and safety
effects, distributive impacts, and equity). Section 3(f) of Executive
Order 12866 defines a ``significant regulatory action'' as an action
that is likely to result in a rule: (1) Having an annual effect on the
economy of $100 million or more in any 1 year, or adversely and
materially affecting a sector of the economy, productivity,
competition, jobs, the environment, public health or safety, or state,
local or tribal governments or communities (also referred to as
``economically significant''); (2) creating a serious inconsistency or
otherwise interfering with an action taken or planned by another
agency; (3) materially altering the budgetary impacts of entitlement
grants, user fees, or loan programs or the rights and obligations of
recipients thereof; or (4) raising novel legal or policy issues arising
out of legal mandates, the President's priorities, or the principles
set forth in the Executive Order. We have a conducted a regulatory
impact analysis for this rule, which we present here.
As discussed in the regulatory impact analysis, we believe this
final rule meets the necessary is a de-regulatory action because it
eliminates some of the burdens of, and barriers to, SUD treatment
record-keeping previously imposed by 42 CFR part 2. The goal of this
final rule is to improve the coordination of care for persons with SUD
by reducing administrative burdens related to maintenance of
disclosures and patient records for downstream, non-part 2 providers.
By facilitating care coordination in this way, we anticipate primary
care and general medical providers will be more able and more willing
to coordinate care for their patients with SUD, and by extension, that
quality of care and safety outcomes in the context of the opioids
epidemic will improve. This final rule also seeks to facilitate
appropriate maintenance of SUD patient records and communications, as
by clarifying that the rule for disclosing SUD treatment records in a
``medical emergency'' can also apply in natural and major disaster
situations. Here again, the goal is de-regulatory, and will reduce the
administrative burden for providers in disclosing SUD treatment records
in appropriate situations, while also improving care coordination,
access to care, and safety during medical emergencies. While we are
unable to quantify the benefits related to access and quality of care
as well as improved safety and health outcomes for patients with SUD,
we believe them to be substantial and to outweigh any additional
regulatory burden or economic impacts that may result from the policies
finalized in this rule.
The RFA requires agencies to analyze options for regulatory relief
of small businesses. For purposes of the RFA, small entities include
small businesses (including independent contractors), nonprofit
organizations, and small governmental jurisdictions. Individuals and
states are not included in the definition of a small entity. The final
rule will allow patients to consent to disclosure of their information
to entities; permit part 2 programs to report data for controlled
substances dispensed to patients to PDMPs with patient consent; and
allow part 2 programs to comply with disclosure requests from federal,
state, or local governmental agencies, third-party payers and
researchers. These finalized proposals will result in additional
reporting burden as well as near-term non-recurring and annual
recurring regulatory impacts to part 2 programs. As shown in Table 2
and as discussed in the Collection of Information Requirements (Section
V), we estimate the average cost impact per substance abuse treatment
admission for staff training, updates to consent forms, and disclosures
to agencies will be $4.32 in year 1 ($7,168,135 / 1,658,732 patients)
and $4.20 in years 2 through 10 ($6,966,680 / 1,658,732 patients). For
opiate treatment patients, we also estimate the average cost impact for
disclosure to PDMPs to be $8.00 per patient in year 1 ($4,257,491 /
531,965 patients) and $6.40 in years 2 through 10 ($3,405,992 / 531,965
patients). When this is added to the costs for staff training, updates
to consent forms, and disclosures to agencies, the aggregate cost
impact per opiate treatment admission is $12.32 in year 1 and $10.60 in
years 2 through 10. While we are unable to determine how many part 2
programs qualify as small businesses based on the minimum threshold for
small business size of $38.5 million
[[Page 43034]]
(https://www.sba.gov/federal-contracting/contracting-guide/size-standards), we believe that on a per-patient basis, this final rule
will not significantly affect part 2 treatment programs of any size.
SAMHSA has not prepared an analysis for the RFA because it has
determined, and the Secretary certifies, that this final rule does not
have a significant economic impact on a substantial number of small
entities.
As further described in section V., above, when estimating the
total costs associated with changes to the 42 CFR part 2 regulations,
SAMHSA estimated costs related to collection of information for the
finalized changes to Sec. Sec. 2.31, 2.52, 2.53, and (new) 2.36. In
addition, we estimate that there may be additional burden related to
updating consent forms as a result of the finalized proposals in
Sec. Sec. 2.31 and (new) 2.36. In section IV.D. of this final rule,
SAMHSA is finalizing its proposal to amend Sec. 2.31 to allow patients
to consent to disclosure of their information to entities, without
naming the specific individual receiving this information on behalf of
a given entity. In section IV.H. of this final rule, SAMHSA is
finalizing its proposal to add a new Sec. 2.36, permitting part 2
programs to report to PDMPs; patients must consent to disclosure before
this reporting can occur. See sections IV.D. and IV.H. for further
information about these finalized proposals. These finalized proposals
may result in providers needing to update their standard consent forms
to allow for certain disclosures. As stated in the 2016 proposed rule
(81 FR 7009 through 7010), based from a 2008 study from the Mayo Clinic
Health Care Systems,\22\ the reported cost to update authorization
forms was $0.10 per patient. Adjusted for inflation,\23\ costs
associated with updating the patient consent forms in 2019 would be
$0.12 per patient (2018 dollars). SAMHSA used the average number of
substance abuse treatment admissions from SAMHSA's 2014-2016 TEDS
(1,658,732) as an estimate of the number of clients treated on an
annual basis by part 2 programs. Therefore, the total cost burden
associated with updating the consent forms to reflect the updated 42
CFR part 2 regulations is estimated to be a one-time cost of $199,048
(1,658,732 * $0.12), as reflected in Table 2, below. Further, the
finalized proposal to amend Sec. 2.31 is likely to result in a
decrease in the number of consents to disclosures that patients must
make, due to the ability to consent to entities without naming a
specific individual. Because of a lack of data regarding the number of
consents patients have made to multiple individuals within the same
entity which would become duplicative as a result of the finalized
amendment, we are unable to quantify the reduction in burden related to
the expected reduction in the number of required consents.
---------------------------------------------------------------------------
\22\ Williams, A.R., Herman, D.C., Moriarty, J.P., Beebe, T.J.,
Bruggeman, S.K., Klavetter, E.W. & Bartz, J.K. (2008). HIPAA costs
and patient perceptions of privacy safeguards at Mayo Clinic. Joint
Commission Journal on Quality and Patient Safety, 34(1), 27-35.
\23\ https://www.bls.gov/cpi/tables/supplemental-files/historical-cpi-u-201905.pdf.
---------------------------------------------------------------------------
In prior proposed rules (e.g., 81 FR 7009), SAMHSA estimated one
hour of training per staff to achieve proficiency in the 42 CFR part 2
regulations. SAMHSA assumes that training associated with the new
requirements discussed in this final rule can be accomplished within
the existing one hour of training; therefore, we are not finalizing any
additional costs for training counseling staff.
With regard to training materials, SAMHSA will assume
responsibility for updating and distributing training materials in year
1 at no cost to part 2 programs. A 2017 study by the Association for
Talent Development determined the average time to develop training
materials for one hour of classroom instruction is 38 hours.\24\
Because we assume that SAMHSA will be updating rather than developing
training materials, we estimate the time for training development to be
one-half that of developing new materials, or 19 hours and would be
performed by an instructor with experience in healthcare at the average
wage rate of $63.34 per hour for a health specialty teacher \25\ and
multiplied the average wage rate by 2 in order to account for benefits
and overhead costs. Based on these assumptions, the updating of
training materials is estimated to cost $2,407 (19 hours x $126.68/
hour). SAMHSA estimates that the updates to consent forms (Sec. Sec.
2.31 and 2.36) will be one-time costs the first year the final rule
will be in effect and will not carry forward into future years. Staff
training costs other than those associated with updating training
materials are assumed to be ongoing annual costs to part 2 programs,
also beginning in the first year that the final rule is in effect.
Costs associated with disclosing information to PDMPs (Sec. 2.36) and
agencies (Sec. 2.53) are assumed to be ongoing annual costs to part 2
programs.
---------------------------------------------------------------------------
\24\ https://www.td.org/insights/how-long-does-it-take-to-develop-one-hour-of-training-updated-for-2017.
\25\ Bureau of Labor Statistics, U.S. Department of Labor,
Occupational Employment Statistics, May 2019, Health Specialty
Teachers, Postsecondary, Standard Occupations Classification code
(25-1071) [www.bls.gov/oes/current/oes_nat.htm].
---------------------------------------------------------------------------
Public Comments
A few commenters expressed their belief that SAMHSA has
underestimated the associated training time required for staff to
achieve proficiency with the proposed policies. However, these
commenters did not suggest a specific alternative estimate.
SAMHSA Response
We believe that the finalized policies do not substantively add
requirements for counseling staff, but are instead modifications,
revisions, and clarifications to existing requirements. Therefore, we
believe the previously approved estimate of one hour is still
appropriate and are not making any updates as a result of the comments
received.
In section III.L. of this final rule, SAMHSA is finalizing
amendments to Sec. 2.67 to extend the period for court-ordered
placement of an undercover agent or informant to 12 months, while
authorizing courts to further extend a period of placement through a
new court order. In that section, SAMHSA is also finalizing changes to
explicitly state when the 12- month period begins to run. See section
III.L. for further information about this finalized proposal. Since the
requirements for seeking this court order will be the same, and the
finalized proposal will merely be extending the time of the court
order, SAMHSA does not believe this finalized proposal results in any
additional regulatory burden.
Based on the above, SAMHSA estimates in the first year that the
final rule will be in effect, the costs associated with the finalized
updates to 42 CFR part 2 will be $11,425,625 as shown in Table 2. In
years 2 through 10, SAMHSA estimates that costs will be $10,372,672.
Over the 10-year period of 2020-2029, the total undiscounted cost of
the finalized changes will be $104,779,677 in 2018 dollars. As shown in
Table 3, when future costs are discounted at 3 percent or 7 percent per
year, the total costs become approximately $89.5 million or $73.8
million, respectively. These costs are presented in the tables below.
[[Page 43035]]
Table 2--Total Cost of 42 CFR Part 2 Revisions
--------------------------------------------------------------------------------------------------------------------------------------------------------
Disclosure to Staff training Updates to Disclosures to
Year PDMPs costs consent forms agencies Total costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
2020.............................................................. $4,257,491 $2,407 $199,048 $6,966,680 $11,425,625
2021.............................................................. 3,405,992 0 0 6,966,680 10,372,672
2022.............................................................. 3,405,992 0 0 6,966,680 10,372,672
2023.............................................................. 3,405,992 0 0 6,966,680 10,372,672
2024.............................................................. 3,405,992 0 0 6,966,680 10,372,672
2025.............................................................. 3,405,992 0 0 6,966,680 10,372,672
2026.............................................................. 3,405,992 0 0 6,966,680 10,372,672
2027.............................................................. 3,405,992 0 0 6,966,680 10,372,672
2028.............................................................. 3,405,992 0 0 6,966,680 10,372,672
2029.............................................................. 3,405,992 0 0 6,966,680 10,372,672
-------------------------------------------------------------------------------------
Total......................................................... 34,911,423 2,407 199,048 69,666,800 104,779,677
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 3--Total Cost of 42 CFR Part 2 Revisions--Annual Discounting
----------------------------------------------------------------------------------------------------------------
Total cost Total cost
Year Total costs with 3% with 7%
discounting discounting
----------------------------------------------------------------------------------------------------------------
2020............................................................ $11,425,625 $11,092,840 $10,678,154
2021............................................................ 10,372,672 9,777,239 9,059,894
2022............................................................ 10,372,672 9,492,465 8,467,190
2023............................................................ 10,372,672 9,215,985 7,913,262
2024............................................................ 10,372,672 8,947,558 7,395,572
2025............................................................ 10,372,672 8,686,950 6,911,750
2026............................................................ 10,372,672 8,433,932 6,459,579
2027............................................................ 10,372,672 8,188,283 6,036,990
2028............................................................ 10,372,672 7,949,790 5,642,047
2029............................................................ 10,372,672 7,718,242 5,272,941
-----------------------------------------------
Total....................................................... 104,779,677 89,503,284 73,837,379
----------------------------------------------------------------------------------------------------------------
We estimated the total annual cost of this rule to be $10,372,672,
ignoring initial transition costs (such as training in the first year).
In the Paperwork Reduction Act section, we also estimated that the
number of clients treated annually by a Part 2 program to be 1,658,732.
Thus, the cost and benefits would break even if the average benefit
were $6.25 per year per client (even if the benefit accrued to
providers or others, rather than directly the client). Based on public
comments received from affected providers, organizations and entities
that this rule will be burden reducing, a deregulatory description
seems reasonable. In addition, we note that the estimated costs of this
rule come after the first year from disclosure to PDMPs and new
disclosures to agencies. However, this rule removes regulatory barriers
to those disclosures. It does not require those disclosures.
Because disclosure to PDMPs is permitted, but not required, by this
rule, we assume that such disclosures will only be made when providers
(and/or states) have decided that the benefits of that disclosure
outweigh the costs. Similarly, this final rule permits new disclosures
to agencies, including for audit or research purposes, but does not
itself require them. As described above, the rule contains other
deregulatory provisions that we have not quantified, such as treatment
records from non-Part 2 providers not being covered by Part 2,
clarifying sanitation procedures, reducing restrictions on disclosure
to organizations with patient consent, and reducing burden/barriers in
emergency situations and for research. Thus, this rule is an Executive
Order 13771 deregulatory action.
C. Alternatives Considered
In drafting this final rule, SAMHSA considered potential policy
alternatives and, when possible, finalized the least burdensome
alternatives. For example, in section IV.C. of this final rule, we
considered finalizing, specifically, the technological and operational
requirements required for segmenting records but decided to allow
providers more latitude to define their best practices, understanding
that specific requirements could pose more burden, specifically to
small and rural providers. In section IV.D. of this final rule, SAMHSA
also considered only allowing patients to allow disclosure to state,
federal, and local government entities that provide benefits. Instead,
however, it decided to finalize to allow patients to more broadly
specify disclosure to entities, so that patients can more widely
control their information. On balance, SAMHSA believes that the
finalized proposals in this rule most appropriately balance the often-
competing interests of burden, privacy, and patient safety.
D. Conclusion
SAMHSA finalized amendments to 42 CFR part 2. With respect to our
finalized proposals to revise the regulations, SAMHSA does not believe
that the finalized proposals will have a significant impact. As
discussed above, we are not preparing an analysis for the RFA because
SAMHSA has determined, and the Secretary certifies, that this final
rule will not have a significant economic impact on a substantial
number of small entities. SAMHSA is not preparing an analysis for
section 1102(b) of the RFA because it has determined, and the Secretary
certifies, that this final rule will not have a significant impact on
the operations of a substantial number of small rural hospitals. In
addition, SAMHSA does not believe this final rule imposes substantial
direct effects on (1) states,
[[Page 43036]]
including subdivisions thereof, (2) the relationship between the
federal government and the states, or (3) the distribution of power and
responsibilities among the various levels of government. Therefore, the
requirements of Executive Order 13132 on federalism would not be
applicable.
SAMHSA invited public comments on this section and requests any
additional data that would help it to determine more accurately the
impact on individuals and entities of the proposed rule. Below are the
comments we received as well as our responses.
Public Comments
A few commenters expressed their belief that significant
Information Technology barriers involving storing, segmenting, and
disclosing/exchanging part 2 information exist which may create
disincentives to provide SUD-related services or delays in sharing a
patient's SUD record. One commenter recommended that SAMHSA issue a
Request for Information to solicit input regarding the specific Health
Information Technology (HIT) barriers involved and take steps to
address those barriers accordingly. Another commenter stated that while
the proposed policies would greatly expand options for our existing
service delivery model by allowing clinics to store SUD records in
their Electronic Health Record (EHR), the additional capital expense
related to purchasing and deploying an upgraded EHR would be
prohibitive.
SAMHSA Response
We understand the commenters' concerns and acknowledge that
Information Technology challenges and expenses related to the policies
being finalized in this rule may exist for certain clinics that provide
SUD-related services. However, we believe the specific challenges are
not applicable to all SUD providers and are highly unique to those who
may experience them to the point where estimating the related expenses
would require an assessment of each provider's specific HIT
implementation. With specific regard to the cost of upgrading EHR
systems, we do not believe the finalized policies would require such an
investment and leave the decision to do so to the discretion of each
clinic. We thank the commenter for their recommendation that a Request
for Information soliciting input on specific HIT barriers be issued,
and we will take it under consideration in consultation with ONC.
Public Comments
One commenter expressed its concern regarding additional costs to
states to operationalize the segregation of data for PDMPs which may
require technological assistance from vendors.
SAMHSA Response
We understand the commenter's concerns and acknowledge that
additional costs to states to operationalize the segregation of data
for PDMPs may exist for certain states. However, we believe the
specific costs may vary substantially and are highly unique to each
state to the point where estimating the costs would require an
assessment of each state and/or PDMP. We are therefore unable to
provide an estimate of the costs states may experience related to this
finalized policy.
Public Comments
A few commenters stated their concern that because jurisdictions
have not consistently developed or adopted context-specific value sets
or machine-readable consent and disclosure rules to allow for automated
sensitivity tagging, the updated DS4P standards will result in
increased documentation burden and difficult workflows due to the
requirement to have to manually tag data as sensitive.
SAMHSA Response
SAMHSA shares the commenters' concerns regarding documentation
burden and workflow, however the revised part 2 rule does not involve
any update to DS4P standards, and does not impose any requirement for
providers to use compliant EHR systems. The revised part 2 rule also
does not require non-part 2 providers to segregate any records received
from a part 2 program. For these reasons, there is no increased burden
to providers under this rule associated with DS4P standards. Any future
update to DS4P standards, and any hypothetical burden therefrom, is
outside the scope of the current rulemaking. If this issue is addressed
through future rulemaking, we may revisit these concerns at that time.
In accordance with the provisions of Executive Order 12866, this
final rule has been reviewed by the Office of Management and Budget.
Pursuant to the Congressional Review Act (5 U.S.C. 801 et seq.), the
Office of Information and Regulatory Affairs designated this rule as
not a major rule, as defined by 5 U.S.C. 804(2).
List of Subjects in 42 CFR Part 2
Alcohol abuse, Alcoholism, Drug abuse, Grant programs--health,
Health records, Privacy, Reporting and recordkeeping requirements.
For the reasons set forth in the preamble, the Department of Health
and Human Services amends 42 CFR part 2 as follows:
PART 2--CONFIDENTIALITY OF SUBSTANCE USE DISORDER PATIENT RECORDS
0
1. The authority citation for part 2 continues to read as follows:
Authority: 42 U.S.C. 290dd-2.
0
2. Amend Sec. 2.11 by revising the definition of ``Records'' to read
as follows:
Sec. 2.11 Definitions.
* * * * *
Records means any information, whether recorded or not, created by,
received, or acquired by a part 2 program relating to a patient (e.g.,
diagnosis, treatment and referral for treatment information, billing
information, emails, voice mails, and texts), provided, however, that
information conveyed orally by a part 2 program to a non-part 2
provider for treatment purposes with the consent of the patient does
not become a record subject to this Part in the possession of the non-
part 2 provider merely because that information is reduced to writing
by that non-part 2 provider. Records otherwise transmitted by a part 2
program to a non-part 2 provider retain their characteristic as records
in the hands of the non-part 2 provider, but may be segregated by that
provider. For the purpose of the regulations in this part, records
include both paper and electronic records.
* * * * *
0
3. Amend Sec. 2.12 by--
0
a. Revising paragraphs (a)(1) introductory text and (a)(1)(ii);
0
b. In paragraph (d)(2)(i)(A) by removing the reference ``Sec.
2.31(a)(4)(iii)(A)'' and adding in its place the reference ``Sec.
2.31(a)(4)(i)'';
0
c. Adding paragraph (d)(2)(ii); and
0
d. Revising paragraph (e)(3) and paragraph (e)(4) introductory text.
The revisions and additions read as follows:
Sec. 2.12 Applicability.
(a) * * *
(1) Restrictions on disclosure. The restrictions on disclosure in
the regulations in this part apply to any records which:
* * * * *
(ii) Contain drug abuse information obtained by a federally
assisted drug abuse program after March 20, 1972
[[Page 43037]]
(part 2 program), or contain alcohol abuse information obtained by a
federally assisted alcohol abuse program after May 13, 1974 (part 2
program); or if obtained before the pertinent date, is maintained by a
part 2 program after that date as part of an ongoing treatment episode
which extends past that date; for the purpose of treating a substance
use disorder, making a diagnosis for that treatment, or making a
referral for that treatment.
* * * * *
(d) * * *
(2) * * *
(ii) Notwithstanding paragraph (d)(2)(i)(C) of this section, a non-
part 2 treating provider may record information about a substance use
disorder (SUD) and its treatment that identifies a patient. This is
permitted and does not constitute a record that has been re-disclosed
under part 2, provided that any SUD records received from a part 2
program or other lawful holder are segregated or segmented. The act of
recording information about a SUD and its treatment does not by itself
render a medical record which is created by a non-part 2 treating
provider subject to the restrictions of this part 2.
* * * * *
(e) * * *
(3) Information to which restrictions are applicable. Whether a
restriction applies to the use or disclosure of a record affects the
type of records which may be disclosed. The restrictions on disclosure
apply to any part 2-covered records which would identify a specified
patient as having or having had a substance use disorder. The
restriction on use of part 2 records to bring criminal charges against
a patient for a crime applies to any records obtained by the part 2
program for the purpose of diagnosis, treatment, or referral for
treatment of patients with substance use disorders. (Restrictions on
use and disclosure apply to recipients of part 2 records under
paragraph (d) of this section.)
(4) How type of diagnosis affects coverage. These regulations cover
any record reflecting a diagnosis identifying a patient as having or
having had a substance use disorder which is initially prepared by a
part 2 provider in connection with the treatment or referral for
treatment of a patient with a substance use disorder. A diagnosis
prepared by a part 2 provider for the purpose of treatment or referral
for treatment, but which is not so used, is covered by the regulations
in this part. The following are not covered by the regulations in this
part:
* * * * *
0
4. Amend Sec. 2.13 by revising paragraphs (d) introductory text,
(d)(2) introductory text, and (d)(3) to read as follows:
Sec. 2.13 Confidentiality restrictions and safeguards
* * * * *
(d) List of disclosures. Upon request, patients who have consented
to disclose their patient identifying information using a general
designation pursuant to Sec. 2.31(a)(4)(ii)(B) must be provided a list
of entities to which their information has been disclosed pursuant to
the general designation.
* * * * *
(2) Under this paragraph (d), the entity named on the consent form
that discloses information pursuant to a patient's general designation
(the entity that serves as an intermediary, as described in Sec.
2.31(a)(4)(ii)(B)) must:
* * * * *
(3) The part 2 program is not responsible for compliance with this
paragraph (d); the entity that serves as an intermediary, as described
in Sec. 2.31(a)(4)(ii)(B), is responsible for compliance with the
requirement.
0
5. Amend Sec. 2.31 by revising paragraph (a)(4) to read as follows:
Sec. 2.31 Consent requirements.
(a) * * *
(4)(i) General requirement for designating recipients. The name(s)
of the individual(s) or the name(s) of the entity(-ies) to which a
disclosure is to be made.
(ii) Special instructions for entities that facilitate the exchange
of health information and research institutions. Notwithstanding
paragraph (a)(4)(i) of this section, if the recipient entity
facilitates the exchange of health information or is a research
institution, a written consent must include the name(s) of the entity(-
ies) and
(A) The name(s) of individual or entity participant(s); or
(B) A general designation of an individual or entity participant(s)
or class of participants that must be limited to a participant(s) who
has a treating provider relationship with the patient whose information
is being disclosed. When using a general designation, a statement must
be included on the consent form that the patient (or other individual
authorized to sign in lieu of the patient), confirms their
understanding that, upon their request and consistent with this part,
they must be provided a list of entities to which their information has
been disclosed pursuant to the general designation (see Sec. 2.13(d)).
* * * * *
0
6. Amend Sec. 2.32 by revising paragraph (a)(1) to read as follows:
Sec. 2.32 Prohibition on re-disclosure.
(a) * * *
(1) This record which has been disclosed to you is protected by
federal confidentiality rules (42 CFR part 2). The federal rules
prohibit you from making any further disclosure of this record unless
further disclosure is expressly permitted by the written consent of the
individual whose information is being disclosed in this record or, is
otherwise permitted by 42 CFR part 2. A general authorization for the
release of medical or other information is NOT sufficient for this
purpose (see Sec. 2.31). The federal rules restrict any use of the
information to investigate or prosecute with regard to a crime any
patient with a substance use disorder, except as provided at Sec. Sec.
2.12(c)(5) and 2.65; or
* * * * *
0
7. Amend Sec. 2.33 by revising paragraph (b) to read as follows:
Sec. 2.33 Disclosures permitted with written consent.
* * * * *
(b) If a patient consents to a disclosure of their records under
Sec. 2.31 for payment or health care operations activities, a lawful
holder who receives such records under the terms of the written consent
may further disclose those records as may be necessary for its
contractors, subcontractors, or legal representatives to carry out
payment and/or health care operations on behalf of such lawful holder.
In accordance with Sec. 2.13(a), disclosures under this section must
be limited to that information which is necessary to carry out the
stated purpose of the disclosure. Examples of permissible payment or
health care operations activities under this section include:
(1) Billing, claims management, collections activities, obtaining
payment under a contract for reinsurance, claims filing, and/or related
health care data processing;
(2) Clinical professional support services (e.g., quality
assessment and improvement initiatives; utilization review and
management services);
(3) Patient safety activities;
(4) Activities pertaining to:
(i) The training of student trainees and health care professionals;
(ii) The assessment of practitioner competencies;
(iii) The assessment of provider or health plan performance; and/or
(iv) Training of non-health care professionals;
[[Page 43038]]
(5) Accreditation, certification, licensing, or credentialing
activities;
(6) Underwriting, enrollment, premium rating, and other activities
related to the creation, renewal, or replacement of a contract of
health insurance or health benefits, and/or ceding, securing, or
placing a contract for reinsurance of risk relating to claims for
health care;
(7) Third-party liability coverage;
(8) Activities related to addressing fraud, waste and/or abuse;
(9) Conducting or arranging for medical review, legal services,
and/or auditing functions;
(10) Business planning and development, such as conducting cost
management and planning-related analyses related to managing and
operating, including formulary development and administration,
development or improvement of methods of payment or coverage policies;
(11) Business management and general administrative activities,
including management activities relating to implementation of and
compliance with the requirements of this or other statutes or
regulations;
(12) Customer services, including the provision of data analyses
for policy holders, plan sponsors, or other customers;
(13) Resolution of internal grievances;
(14) The sale, transfer, merger, consolidation, or dissolution of
an organization;
(15) Determinations of eligibility or coverage (e.g., coordination
of benefit services or the determination of cost sharing amounts), and
adjudication or subrogation of health benefit claims;
(16) Risk adjusting amounts due based on enrollee health status and
demographic characteristics;
(17) Review of health care services with respect to medical
necessity, coverage under a health plan, appropriateness of care, or
justification of charges;
(18) Care coordination and/or case management services in support
of payment or health care operations; and/or
(19) Other payment/health care operations activities not expressly
prohibited in this provision.
* * * * *
0
8. Amend Sec. 2.34 by--
0
a. Revising paragraph (b);
0
b. Redesignating paragraph (d) as paragraph (e); and
0
c. Adding a new paragraph (d).
The revision and addition read as follows:
Sec. 2.34 Disclosures to prevent multiple enrollments.
* * * * *
(b) Use of information limited to prevention of multiple
enrollments. A central registry and any withdrawal management or
maintenance treatment program to which information is disclosed to
prevent multiple enrollments may not re-disclose or use patient
identifying information for any purpose other than the prevention of
multiple enrollments or to ensure appropriate coordinated care with a
treating provider that is not a part 2 program unless authorized by a
court order under subpart E of this part.
* * * * *
(d) Permitted disclosure by a central registry to a non-member
treating provider, to prevent a multiple enrollment. When, for the
purpose of preventing multiple program enrollments or duplicative
prescriptions, or to inform prescriber decision making regarding
prescribing of opioid medication(s) or other prescribed substances, a
provider with a treating provider relationship that is not a member
program asks a central registry if an identified patient is enrolled in
a member program, the registry may disclose:
(1) The name, address, and telephone number of the member
program(s) in which the patient is enrolled;
(2) Type and dosage of any medication for substance use disorder
being administered or prescribed to the patient by the member
program(s); and
(3) Relevant dates of any such administration or prescription. The
central registry and non-member program treating prescriber may
communicate as necessary to verify that no error has been made and to
prevent or eliminate any multiple enrollments or improper prescribing.
* * * * *
0
9. Add Sec. 2.36 to subpart C to read as follows:
Sec. 2.36 Disclosures to prescription drug monitoring programs.
A part 2 program or other lawful holder is permitted to report any
SUD medication prescribed or dispensed by the part 2 program to the
applicable state prescription drug monitoring program if required by
applicable state law. A part 2 program or other lawful holder must
obtain patient consent to a disclosure of records to a prescription
drug monitoring program under Sec. 2.31 prior to reporting of such
information.
0
10. Amend Sec. 2.51 by revising paragraph (a) to read as follows:
Sec. 2.51 Medical emergencies.
(a) General rule. Under the procedures required by paragraph (c) of
this section, patient identifying information may be disclosed to
medical personnel to the extent necessary to:
(1) Meet a bona fide medical emergency in which the patient's prior
written consent cannot be obtained; or
(2) Meet a bona fide medical emergency in which a part 2 program is
closed and unable to provide services or obtain the prior written
consent of the patient, during a temporary state of emergency declared
by a state or federal authority as the result of a natural or major
disaster, until such time that the part 2 program resumes operations.
* * * * *
0
11. Amend Sec. 2.52 by revising paragraph (a) to read as follows:
Sec. 2.52 Research.
(a) Notwithstanding other provisions of this part, including
paragraph (b)(2) of this section, patient identifying information may
be disclosed for the purposes of the recipient conducting scientific
research if:
(1) The individual designated as director or managing director, or
individual otherwise vested with authority to act as chief executive
officer or their designee, of a part 2 program or other lawful holder
of part 2 data, makes a determination that the recipient of the patient
identifying information is:
(i) A HIPAA-covered entity or business associate that has obtained
and documented authorization from the patient, or a waiver or
alteration of authorization, consistent with the HIPAA Privacy Rule at
45 CFR 164.508 or 164.512(i), as applicable;
(ii) Subject to the HHS regulations regarding the protection of
human subjects (45 CFR part 46), and provides documentation either that
the researcher is in compliance with the requirements of 45 CFR part
46, including the requirements related to informed consent or a waiver
of consent (45 CFR 46.111 and 46.116) or that the research qualifies
for exemption under the HHS regulations (45 CFR 46.104) or any
successor regulations;
(iii) Subject to the FDA regulations regarding the protection of
human subjects (21 CFR parts 50 and 56) and provides documentation that
the research is in compliance with the requirements of the FDA
regulations, including the requirements related to informed consent or
an exception to, or waiver of, consent (21 CFR part 50) and any
successor regulations; or
(iv) Any combination of a HIPAA covered entity or business
associate,
[[Page 43039]]
and/or subject to the HHS regulations regarding the protection of human
subjects, and/or subject to the FDA regulations regarding the
protection of human subjects; and has met the requirements of paragraph
(a)(1)(i), (ii) (iii), and/or (iv) of this section, as applicable.
(2) The part 2 program or other lawful holder of part 2 data is a
HIPAA covered entity or business associate, and the disclosure is made
in accordance with the HIPAA Privacy Rule requirements at 45 CFR
164.512(i).
(3) If neither paragraph (a)(1) or (2) of this section apply to the
receiving or disclosing party, this section does not apply.
* * * * *
0
12. Amend Sec. 2.53:
0
a. In paragraph (a) introductory text by removing the reference to
``paragraph (d)'' and adding in its place ``paragraph (f)'';
0
b. By revising paragraph (a)(1)(ii);
0
c. By adding paragraphs (a)(1)(iii);
0
d. In paragraph (b)(1)(iii) by removing the reference to ``paragraph
(d)'' and adding in its place ``paragraph (f)'';
0
e. By revising paragraph (b)(2)(ii);
0
f. By adding paragraph (b)(2)(iii)
0
g. By redesignating paragraphs (c) and (d) as paragraphs (e) and (f),
respectively;
0
h. By adding new paragraphs (c) and (d);
0
i. In newly redesignated paragraph (e)(1) introductory text, by
removing the reference ``paragraph (c)'' and adding in its place the
reference ``paragraph (e)'';
0
j. In newly redesignated paragraph (e)(1)(iii), by removing the
reference ``paragraph (d)'' and adding in its place the reference
``paragraph (f)'';
0
k. In newly redesignated paragraph (e)(3)(ii)(F), by removing the
reference ``paragraph (c)(1)'' and adding in its place the reference
``paragraph (e)(1)'';
0
l. In newly redesignated paragraphs (e)(4) and (5), by removing the
reference ``paragraph (c)(2)'' and adding in its place the reference
``paragraph (e)(2)'';
0
m. In newly redesignated paragraph (e)(6), by removing the reference
``paragraph (c)'' and adding in its place the reference ``paragraph
(e)'';
0
n. In newly designated paragraph (f), by removing the reference
``paragraph (c)'' and adding in its place ``paragraph (e)'';
0
o. Adding paragraph (g).
The revisions and additions read as follows:
Sec. 2.53 Audit and evaluation.
(a) * * *
(1) * * *
(ii) Any individual or entity which provides financial assistance
to the part 2 program or other lawful holder, which is a third-party
payer covering patients in the part 2 program, or which is a quality
improvement organization performing a QIO review, or the contractors,
subcontractors, or legal representatives of such individual, entity, or
quality improvement organization.
(iii) An entity with direct administrative control over the part 2
program or lawful holder.
(b) * * *
(1) * * *
(2) * * *
(ii) Any individual or entity which provides financial assistance
to the part 2 program or other lawful holder, which is a third-party
payer covering patients in the part 2 program, or which is a quality
improvement organization performing a QIO review, or the contractors,
subcontractors, or legal representatives of such individual, entity, or
quality improvement organization.
(iii) An entity with direct administrative control over the part 2
program or lawful holder.
(c) Activities included. Audits and evaluations under this section
may include, but are not limited to:
(1) Activities undertaken by a federal, state, or local
governmental agency, or a third-party payer entity, in order to:
(i) Identify actions the agency or third-party payer entity can
make, such as changes to its policies or procedures, to improve care
and outcomes for patients with SUDs who are treated by part 2 programs;
(ii) Ensure that resources are managed effectively to care for
patients; or
(iii) Determine the need for adjustments to payment policies to
enhance care or coverage for patients with SUD.
(2) Reviews of appropriateness of medical care, medical necessity,
and utilization of services.
(d) Quality assurance entities included. Entities conducting audits
or evaluations in accordance with paragraphs (a) and (b) of this
section may include accreditation or similar types of organizations
focused on quality assurance.
* * * * *
(g) Audits and evaluations mandated by statute or regulation.
Patient identifying information may be disclosed to federal, state, or
local government agencies, and the contractors, subcontractors, and
legal representatives of such agencies, in the course of conducting
audits or evaluations mandated by statute or regulation, if those
audits or evaluations cannot be carried out using deidentified
information.
0
13. Amend Sec. 2.67 by revising paragraph (d)(2) to read as follows:
Sec. 2.67 Orders authorizing the use of undercover agents and
informants to investigate employees or agents of a part 2 program in
connection with a criminal matter.
* * * * *
(d) * * *
(2) Limit the total period of the placement to twelve months,
starting on the date that the undercover agent or informant is placed
on site within the program. The placement of an undercover agent or
informant must end after 12 months, unless a new court order is issued
to extend the period of placement;
* * * * *
Dated: June 22, 2020.
Elinore F. McCance-Katz,
Assistant Secretary for Mental Health and Substance Use, Substance
Abuse and Mental Health Services Administration.
Approved: July 1, 2020.
Alex M. Azar II,
Secretary, Department of Health and Human Services.
[FR Doc. 2020-14675 Filed 7-13-20; 11:15 am]
BILLING CODE 4162-20-P