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Cohan v. Ayabe.
322 P.3d 948
Haw.
2014
Check Treatment

*1 322 P.3d 948 Petitioner, COHAN,

Richard

v. AYABE, Judge of Bert I.

The Honorable Circuit, the First Circuit Court of Hawai'i, Respondent,

State Services, DBA Mar Inc. Hotel

Marriott Mar Club and Ko Olina Beach

riott’s Resorts, DBA Ownership Inc.

riott International, Club Vacation

Respondents, in Interest. Real Parties

No. SCPW-13-0000092. Court of Hawai'i.

Supreme

Feb. *2 Hotel his wife sued Marriott

Cohan and Services, Beach dba Marriott’s Ko Olina Inc. Resorts, Ownership Inc. and Marriott Club Club International dba Marriott Vacation “Marriott”) Restau- (collectively, and RRB *3 rants, Chuck’s Steak and Seafood LLC dba (Restaurant) damages. The case was for Arbitration Pro- placed in the Court Annexed (CAAP). Naso, Courtney Esq., was gram the arbitrator. appointed 30, 2012, Cohan April Marriott sent On medical rec- to obtain thirteen authorizations for release of and two authorizations ords records, sign him to employment and asked Krueger, Cynthia Wong, K. and James authoriza- The medical records the forms. Wailuku, Tilley, petitioner. K. Loren following provisions: included the tions Ryan Inouye, Hon- Sidney Ayabe and I. K. revoked, otherwise this authoriza- Unless olulu, respondents. following expire on the date tion will proceed- final conclusion of the event: the POLLACK, JJ., McKENNA, ACOBA, and being ing, authorization is for which this RECKTENWALD, C.J., Concurring, with specified, is not signed. If a date or event J., NAKAYAMA, Joins. whom with year expire one this authorization will my signature below. date POLLACK, by J. Opinion of the Court (Cohan) filed a Richard Cohan Petitioner the health information I understand that (Petition) re- of Mandamus Petition for Writ may be released under this authorization compel respondent court to questing this recipient, in relation to re-disclosed (1) affirming an judge vacate his order to: this authoriza- for which case/matter compelled Petitioner arbitration decision longer no provided, and tion medical sign for release of authorizations privacy regula- protected under the federal (2) records, pro- qualified and order that tions. uti- proposed Petitioner be tective order instead. lized care the above-named health I release provision of the We hold that liability recipient(s) from all vider and Constitution, I, 6, pro- article section Hawai'i pertaining to the disclo- whatsoever claims against dis- tects Cohan’s in the information as contained sure of underlying litigation. outside the closure pursuant to this authori- records released Petition, grant Therefore we zation. (1) judge is directed to: vacate respondent employment rec- (Emphases decision, affirming the arbitration the order authorizations, which include medical ords qualified records, ben- reports, and claims for accident authorizations for release order and the included the during employment, efits made revised consistent medical records be following language: opinion. counsel] [Marriott’s I further authorize and all this authorization further disclose

I. regard- use, by its information obtained content, persons all 2009, less of and his wife September In lawsuit/claim, ... includ- in the din- involved from California. While visited Hawai'i to, counsel, opposing ing, limited but not & Seafood at Marriott’s ing at Chuck’s Steak consultants, pri- personnel, court Club, experts, into a koi Cohan fell Ko Olina Beach services, re- investigators, copy court vate injured. pond and was

4H companies, porting parties, and insurance notified Marriott that he would not consider representatives. signing any authorizations unless Marriott sought pursuant

first to obtain the records any applicable (HRCP) undersigned ... Hawai'i waives Rules of Civil Procedure requirements provisions of the Federal by way Rule 312 or compel. of a motion to (5 525(a) Privacy Act U.S.C. Section alternative, proposed that the seq.), provisions et of U.S.C. Section parties stipulated qualified pro- enter into a provisions Chapter (SQPO). tective order Statutes, Chapter Hawai'i Revised Cohan forwarded a draft order that con- the Hawai'i restricting Revised Statutes (i.e. provisions patterned tained after HIPAA the use and dissemination of the aforesaid prohibiting use or disclosure of the informa- including information ... but not limited *4 underlying litigation tion outside the without (if any) regarding psy to information the requiring Cohan’s consent chiatric, and Marriott work, psychological, social infec disease, destroy the records, return documents or them testing at the tious HIV alcohol litigation). rejected other end of and substance abuse treatment. proposed draft order and that the added). (Emphases returned Cohan the au- parties adopted use a form the Hawai'i unsigned thorizations and informed Marriott (HSBA). Bar State Association that the re- comply authorizations did not with jected the HSBA-approved form Portability the federal Health as too ex- Insurance and Accountability (HIPAA), pansive Act of and Pub.L. asked Marriott to delete several 104-191, (1996).1 No. provisions: Stat. 1936 (offered HSBA-approved language proposed changes Marriott) Requirement: Except pro- 1. Non-Disclosure as herein, vided none of Health Plaintiffs/Claimant’s any Information obtained from source shall be by anyone by any entity disclosed or used or for any purpose, explicit without Plaintiffs/Claimant’s

written consent. (b) Specifically Uses, Disclosures, Allowable and specifically Maintenance: It is understood and agreed that Health Informa- Plaintiffs/Claimant’s may used, disclosed, be tion main- and/or and/or tained, without consent as Plaintiffs/Claimant’s may required comply with state or federal laws, rules, arbitrator, court, and or administrative 164.512, (v) (e)(1) 45 C.F.R. purposes paragraph which sets forth the For uses of this section, means, provides: qualified protective disclosures under order respect protected with health information (e) judicial Standard: for and ad- Disclosures (e)(l)(ii) requested under of this proceedings. ministrative section, an order of a court or of an adminis- provid- Permitted A [medical disclosures. stipulation by parties trative tribunal or a protected er] disclose litigation proceeding to the or administrative any judicial in the course of or administrative that: proceeding: parties using (A) Prohibits the or dis- closing protected health information for (ii) response subpoena, discovery to a re- any purpose litigation pro- other than or quest, process, or other lawful that is not ceeding for which such information was re- accompanied by quested; an of a court or order ad- tribunal, ministrative if: (B) Requires to the [medical return vider] or destruction of (iv) .... made) (including copies information all at (A) parties dispute giving rise to litigation proceeding. the end of request agreed (Emphasis for have qualified protective present- have ed it to the court or administrative tribunal governs depositions upon 2. HRCP Rule 31 writ- jurisdiction dispute; questions subpoena proce- over the ten delineates obtaining dure for documents. tecum), subpoenas (including and in duces orders claim, litigation, proceeding any

relation to and/or arising of- out of the accident/incident Accident”), including following: (“Subject l.(b)(2) l.(b)(2) for their inter- Defendants’ insurer’s Defendants’ insurer’s internal for and/or and/or including auditing, handling auditing, including handling review nal review and/or and/or disposition any disposition any claim or matter related to claim or matter related to the Occurrence, Occurrence, Subject Subject De- communication between communication between insurers/underwriters/agents; and their and their Defendants fendants insurers/underwriters/ agents; relating the review audit of relating audit of claims for the to the review and/or and/or reserves, setting premiums, purpose purpose setting premiums, calculating claims tho calcu- reserves, lating calculating experience, experience, procuring loss calculating addi- loss and/or and/or -it-beiag-understood procuring- coverage, being agreed coverage, it understood and additional tional and-agr-eed will not that information bo used for will not be used for record history; compilation or database-of-Plaintiff s compilation claim record or database Plaintiffs history; claim l.(b)(3) provision auditing, Delete entire for external review such and/or Commissioner, by reinsurers, the Insurance auditors; external l.(b)(6) required gov- any legally reporting to Delete entire organiza- health or medical insurance ernmental *5 private their contractors for Plaintiffs tions or expenses Subject health care and related to the Occurrence; (offered changes language proposed HSBA-approved The Cohan’s Marriott) 1.(b)(7) analytical provision purposes, or Delete entire for statistical personal identification infor- vided that Plaintiffs name, address, specific specific (e.g., mation street number, date, Security birth driver’s license Social number) in such use of is not included review or Information; Health l.(b)(8) keeping requirements record or Delete entire obligations relating foregoing, Subject pertaining to the Occurrence. uses, disclosures, uses, disclosures, permissible permissible and The above-noted above-noted provisions provisions are not to unrea- are not intended to unrea- maintenance intended maintenance sonably party’s sonably party’s their insur- or their counsel’s or insur- limit a or counsel’s or limit requirements. record-keeping obligations record-keeping obligations requirements. or er’s or er’s attorneys, agents, agents, attorneys, their or insurers Defendants or their or insurers Defendants or may-request permissible catogorios permissible categories request additional that additional that usesf-disclosures, uses, disclosures, or or maintenance addod. maintenance be added. consent, consent, unreasonably unreasonably-withheld Plaintiff withhold shall not Plaintiff shall provided-that categories requested

provided categories requested additional the additional that the this-Qrder, intent of are with the intent of are consistent with the this Order. consistent Qualified “Stipulated that if Marriott modified website under Protec- Cohan indicated use)”: (for litigation tive Order protective its order to delete version During pre-hearing language, he CAAP con- stricken used the form the second 2012, 26, on June we dis- ference held agree SQPO, proposed, Cohan would to the Stipulated Qualified cussed the form of the subpoenas then be attached to which could [the Cohans] as were re- Protective Order sought-after for the records. questing certain deletions the form pre-hearing CAAP At the June proposed hearing After by [Marriott]. conference, parties discussed the differ- discussing from all each coun- counsel protective By ent versions of the order. position, sel’s it was decided form to be 3, 2012, Stipulated Qualified July letter dated arbitrator used Pro- shall be (for litigation use) ap- they parties of her decision that formed the tective Order pears State Bar appears on the HSBA on the Hawai'i Association use the form (HSBA) order, website right privacy under Health Care Infor- and he has a to the his Privacy Judge mation Protection Ayabe Forms. health information. affirmed the CAAP Administrator’s decision order Cohans’] [Mar- counsel shall inform [The counsel, 13,2012. entered on writing, than November riott’s] no later 6, 2012, July they Friday, intend whether

to adhere Arbitrator’s above-stated II. parties decision. the event one or more 14, 2013, February On Cohan filed not to decides adhere to the above-stated Petition Support and a Memorandum in parties appropri- decision shall file the (Petition Memorandum). Petition Cohan ar- ate in court to motions further resolve this gued Ayabe Judge abused his discretion issue. by affirming the arbitrator’s order on (Underlining in place origi- of italics in the (1) grounds the order that: violates Cohan’s nal). 6, 2012, By July e-mail dated I, under article sec- Marriott that informed the HSBA form was Constitution, tion 6 of Ha- the Hawai'i unacceptable: (2) law; wai'i protec- case version of the stipulated qualified protective HSBA proposed by tive order wrongfully has no mention in Hawai'i Rules of allows health information to be used legally noting Civil Procedure it is (3) purposes beyond litigation; required. It is no more form of than some fail to limit authorizations disclosure Co- agreement, agreeable an but it perhaps, information; private han’s no pot in a tea tempest as Rule HRCP is statute, law, requires sign or rule Cohan to available. Rule 31 is a better avenue authorizations order. records, would have defense to obtain the court asked the to: again, to be admissible evidence. *6 Therefore, (cid:127) we agree. Ayabe order; cannot Judge Order to vacate his (cid:127) protective Marriott thereafter moved order requiring for an Enter a order Mar- 31, compelling sign Cohan to authori- pursue using the fifteen riott to HRCP Rule that it HIPAA-compliant zations so could obtain medical language, prior the the to employment subpoena. By SQPO; records via use of 2012, 7, September order on entered the (cid:127) requires sign Order no law Cohan to granted request arbitrator the ordered the authorizations for the medical and sign authorizations, Cohan well to as information; employment protective the form order from the HSBA (cid:127) qualified protective Enter a order consis- website. proposed tent Cohan’s with version later, days by Septem- Eleven letter dated proposed by with the version Marriott 2012, 18, appealed ber Cohan the arbitrator’s proposed with Cohan’s modifications. 7, September 2012 decision to the CAAP 14, court, by order This entered on March argued Administrator. Cohan that Marriott 2013, Marriott and the to ordered Restaurant requested was not entitled to the relief be- joint Response, answer In their the Petition. discovery cause it did utilize the methods 3, 2013, April filed on Marriott and the Res- by the proposed authorized HRCP and had a argued taurant that Cohan waived his protective order that was too He broad. challenge SQPO the form of the because argued jurisdic- further that the court lacked appeal he failed the CAAP arbitrator’s compel him sign tion to a document not 3, July They argued 2012 letter. also law, rule, by state regulation, mandated HSBA-approved ef- SQPO their form of the The CAAP affirmed decision. Administrator any privacy fectively protects Co- concerns the arbitrator’s decision. regarding han have his health informa- appealed Cohan the CAAP Administrator’s tion. Ayabe, decision to Honorable Bert I. 2013, 26, Judge. Again, argued July we issued an Cohan On Arbitration party party requiring structing supplemental was no law a each to file a there addressing SQPO sign qualified protective or a brief whether authorizations 414 alleged wrong adequate signed means to redress required to be

medical authorizations Kema v. requested action. complied with or to obtain Administrator by the CAAP 334, 200, 204, Gaddis, 982 P.2d 91 Hawai'i law. federal and state (1999). has discretion to a court Where 9, 2013, submitted a August Cohan On act, will not lie to interfere mandamus Support of Supplemental Memorandum discretion, the exercise of that or control Cohan reit- of Mandamus. Petition for Writ erroneously, judge acted when the has even SQPO and challenges to Marriott’s erates exceeded his or her judge has unless in his Peti- set forth medical authorizations flagrant a jurisdiction, has committed maintains that tion Memorandum. discretion, refused abuse of or has manifest feder- SQPO meet the minimum does not the court subject properly a before to act on protective order as requirements for al in which it is under circumstances by much less the more required 204-05, P.2d at legal duty to act. Id. at requirements of the Ha- stringent privacy “ ‘[m]anda- court has held that 338-39. This additionally ar- wai'i Constitution.3 appropriate remedy where [a] mus is the negate the medical authorizations gues that releasing an order confidential court issues safeguards required HI- immediately ... and the order is not files because the Hawai'i Constitution PAA and Hara, v. 113 Hawai'i appealable.’” Brende re-dis- expressly allow for the authorizations (2007) 1109, 424, 429, (per 153 P.3d without ref- closure curium) Kema, 205, 91 Hawai'i at (quoting any limitations im- erencing existence of 339).4 P.2d at SQPO. posed 9, 2013, Marriott submitted its August On IV. Petitioner Answering Brief to Supplemental of Mandamus. Petition for Writ A. (1) argues that: the medical author- and Hawai'i comply with federal izations legisla complex piece HIPAA “a (2) law, SQPO complies with Marriott’s state exchange of health- tion that addresses law, and and Hawai'i state federal information,” Nat’l Abortion Fed’n v. related comply with fed- employment authorizations 8695(RCC), 2004 WL Ashcroft, No. 03 Civ. state law. eral and Hawai'i 2004), (S.D.N.Y. *2 Mar. one at *7 “radically changed landscape of that has III. discovery litigators can conduct informal how Law involving medical treatment.” an extraor in cases A of mandamus is writ 705, Zuckerman, F.Supp.2d 711 v. 307 remedy not issue unless the dinary that will (D.Md.2004). per regulations HIPAA indisput The a clear and petitioner demonstrates health informat discovery of lack of alternative mit right to relief and a able appeal Although is dated the letter of argues Constitution to do. the Hawai'i 3. Cohan 18, 2012, protections requires September minimum the CAAPAdministra- more than the both I, recog- provided by upon 6 Ayabe rely as article section Judge declined a to tor right people privacy ... to violation, of the "[t]he nizes merits purported and ruled on the rule showing infringed without the of shall not be affirming decision. in the arbitrator’s of the issue ,[and][t]he legisla- compelling interest ... state 11(B), "The Arbitration Haw. Arb. R. Under steps implement to this ture take affirmative shall power Judge to have the non-reviewable shall right.” modify uphold, the decision of the overturn or Administrator, including power Arbitration urges find Cohan’s chal- the court to stay any proceeding.” The decision the Arbi- 3, regarding lenge July the use 2012 letter Judge Petitioner’s to review the merits of tration HSBA-approved stipulated qualified challenged by Marriott as a appeal not been has untimely. R. See Haw. Arb. tective order original pro- flagrant in an abuse of discretion (B) (a challenge party required an arbitra- 11 event, ceeding circumstances, In under the or in this case. days from the date of within ten tor’s decision clearly flagrant not a abuse was Cohan, however, act). challenged was Judge to review for the Arbitration 3, of discretion July required Instead, appeal from the 2012 letter. involving of an issue the Administrator’s order Sep- appealed from the arbitrator’s he 7, order, magnitude. constitutional he was authorized 2012 which tember

415 long ion5 “so agreement as a court order or infringed nized and shall not be without the parties of prohibits disclosure showing of the in compelling of a state interest.” In litigation formation requires outside the promulgating privacy this provision, the 1978 the return of the information pro once the Constitutional pri- Convention intended “that ceedings are (quoting concluded.” Id. at 708 vacy [be] treated as a right fundamental Hand, Helping A Cnty., LLC v. Baltimore purposes analysis.” of constitutional Comm. 585, (D.Md.2003)). F.Supp.2d 295 592 15, Rep. Proceedings Whole No. in 1 Constitutional Convention of Hawai'i of 1978 provides the “federal floor of (Proceedings), at 1024. express right This privacy protections that does not disturb privacy recognition is “a that the dissemina- protective practices.... more rules or private matters, tion of personal be it floor, protections mandatory are a which oth true, not, embarrassing or can cause mental governments er any [Department pain greater and distress bodily far than Health and regulated] Human Services enti short, injury.... right In privacy Brende, ties exceed.” 113 Hawai'i at includes the of an individual to tell the 429, (quoting 153 P.3d at 1114 Fed.Reg. 65 your world to ‘mind own business.’” Stand. 82,462 (Dec. 28, 2000)). 69, Rep. Comm. Proceedings No. in 1 at 674. Section 264 of HIPAA directs the Secre Brende, tary of this court held Health and Human that article pro Services to I, section 6 mulgate regulations protect pro of the Hawai'i Constitution records, private tects medical information from but disclo subsection (e)(2) sure regulation underlying litigation. that such a outside super “shall not law, 426, contrary provision sede a Hawai'i at if 153 P.3d at State 1111. In that case, imposes requirements, of State law underlying litigation which the arose standards, implementation tort, or specifications out of a motor plaintiffs vehicle stringent that are require petitioned more than the this court for a writ of mandamus ments, standards, implementation specifi directing respondent judge “to revise a imposed regulation.” cations under the HI medical pro order to PAA, 104-191, § Pub.L. any person No. entity disclosing, 110 Stat. hibit (1996); 160.203(b). § see purposes also 45 C.F.R. underlying litigation outside the A state stringent” consent, standard is “more plaintiffs’] if it and without [plain [the “provides greater privacy protection produced tiffs’] for the in discov individual who is the ery.” of the individu Id. ally identifiable health information.” plaintiffs proposed stipulated order 160.202(6); C.F.R. see also Nw. Mem'l patterned law, after HIPAA and Hawai'i (7th

Hosp. v. Ashcroft, 362 F.3d I, cluding article section 6 of the Hawai'i Cir.2004). 426-47, Constitution. Id. at 153 P.3d at

Hawai'i is one of ten expressly proposed states that prohibited 1111-12. The *8 recognize right privacy in their constitu- using plaintiffs’ defendant from the health I, tions.6 Article section 6 of the Hawai'i information in discovery obtained from a Constitution in part relevant plan, provider, any health health care right people of privacy recog- “[t]he the underlying is other source litigation outside the information, Glenn, 5. Health information Protecting includes 6. Catherine Louisa Health In- Privacy: Self-Regulation whether oral or recorded in um, The Case form or medi- formation Records, Electronically (1) Held Medical 53 Vand. that: is created or received a health of L. Rev. 1605, (2000) (identifying 1609 n. 25 the provider, plan, public care health health authori- Alaska, Arizona, California, constitutions of Flor- insurer, ty, employer, university life school or ida, Hawai'i, Illinois, Louisiana, Montana, South clearinghouse; health care and relates to the Carolina, Washington protecting and health past, present physical or future or mental health privacy). Christopher information See also R. individual; provision or condition of an the of Smith, Somebody’s Watching Protecting Me: Pa- individual; past, present health care to an or the Information, Privacy Prescription tient in Health payment provision or future for the of health 931, (2012) (citing 36 Vt. L. Rev. 945 n. 90 care to an individual. 45 C.F.R. 160.103. recognizing several state court cases a state con- right privacy). stitutional 416 intimate,” it is personal consent. Id. plaintiffs’ and without I, 6.7 prong of article section informational required the health information further entities, care if to the health Id.

to be returned destroyed at the applicable, or otherwise Thus, pro- “constitutional we held that the ar- litigation. Id. The defendant end the disclosure outside protects vision neces- proposed order was not gued that the litigation underlying health in- petitioners’ of stipulate sary refused to (em- discovery.”8 Id. produced in formation of informa- or disclosure prohibiting use noted, added). “once the The court phasis than health from sources other tion obtained disclosed, potential harm 427, P.3d at 1112. Id. at 153 providers. care Accordingly, the Id. cannot be undone.” Brende court petition, granting In plaintiffs were entitled to held that the court only to applies HIPAA noted that first 431-32, P.3d at Id. at 153 mandamus relief. discovery in di- information obtained “health 1116-17. 429, Id. at rectly health care entities.” from regula- at 1114. Because 153 P.3d B. privacy floor of establish a “federal tions person’s health protection of a Hawai'i’s medical informa- in Hawai'i “a protections,” overarching con on an information is based judicial pro- in a protective order issued tion privacy principle of informational stitutional minimum, must, provide the ceeding at a infor the disclosure of health prohibits (emphasis HIPAA” Id. protections of the underlying litigation with mation outside I, that article court further held compelling state interest. showing of a out Constitution, estab- of the Hawai'i section 6 contrast, regulations are the HIPAA applies to “infor- lishing right privacy, of “dense, confusing, lengthy.” complex, “the privacy” protects mational 6, Smith, supra, note at 978.9 highly which is keep confidential 430, exemplified by HIPAA’s complexity is 153 P.3d This intimate.” Id. at personal and health informa- treatment of “de-identified” marks and brackets omit- (quotation at 1115 SQPO a de-identi- ted). includes “highly tion.10 Marriott’s health information is Because against injury discovery produced in "privacy mation noted that the of 7. The Brende court might of that previously result from the disclosure in information was codified health litigation.” Id. (Supp. information outside of the chapter 323C Hawai'i Revised Statutes 431, Information), court found no 1999) 153 P.3d at 1116. The (Privacy at legitimate Health Care of need, underlying litiga- outside of the disclosing, prohibited anyone outside which tion, pro- plaintiffs’ action, health information for the in discovered a civil discovery. Brende, duced in Id. n. proceedings.” 113 Hawai'i at 430 5, law was enacted in at 1115 n. 5. The 153 P.3d 1999, subsequently repealed in amendments, 2001 text, but was including complete 9. The " support legislature's finding upon 'little 164, specifically parts which 45 C.F.R. light Privacy standards, Law for a Hawai'i Medical security privacy "now set out [HIPAA],’ widespread adoption 'no evidence of regulatory fifty-five pages of dense consist of Hawai'i,’ privacy] in records Wrong [of abuse medical Terry, language.” What's Nicholas P. what, understanding if and a need for ‘a clear Privacy, L. J. Health & Biomedical with Health Parker, protecting any, problems (2009). medi- Hawai'i faces Medical- See also Laura ” (quoting Haw. L. privacy.' confusion, Today Id. Sess. cal privacy USA law creates wide 244). 16, 2003, PM), (Oct. http://usatoday30. Act 11:01 usatoday.com/news/nation/2003-10-16-cover- (last updated medicalprivacy_x.htm 2003, Oct. plaintiffs Finally, court held that the the Brende AM)(noting though the 9:47 "good cause” for a had also demonstrated *9 began original as a 337- provisions in the HIPAA protections provided disclosure tective order regulations guideline, to the final swelled word required and in excess of what was 101,000 words). judge to issue an order directed the trial thus using prohibiting defendant from or disclos- Gellman, Dilem- 10. Robert The ing source. health information obtained Deidentification 431-32, Proposal, Legislative 21 (citing and Contractual HRCP ma: A at 1116-17 Id. at 153 P.3d 26(c)). Prop. Ent. L.J. 37- Media & Fordham Intell. reasoned that "determin- Rule The court “provides (noting an ex- that HIPAA good requires a 38 ing exists ... whether cause need, difficulty achieving—or even de- ample of the balancing respondent's outside fining—deidentification’'). litigation, petitioners' underlying health infor- for

417 method, provision. defines requires fication HIPAA de-identi- as “Safe Harbor” identifiers, eighteen fied health information health information removal of types as such numbers, identify numbers, does not telephone “that an individual and with as account li- numbers, respect plate to which there no reasonable basis cense and e-mail addresses. 164.514(b)(2). Id. § can to believe the information be used to Health information is ” identify an sufficiently individual.... C.F.R. considered de-identified when 164.514(a). § entity Once health information has covered does “[t]he not have actual de-identified, longer protected knowledge been it is no that the information could be used Further, by HIPAA. HIPAA because allows or in with alone combination other informa- stringent” preempt to identify “more state law feder- tion to subject an individual who is a only 164.514(b)(2)(h). when to information.” Id. privacy § al law it relates information,” But, “individually identifiable health HIPAA expressly allows a covered enti- 160.203(b), § ty re-identify 45 C.F.R. leads to the to previously con- de-identified in- formation, protect clusion that state law does not provided adopts also certain Hosp., information. Nw. Mem’l 164.514(c). de-identified safety § measures. C.F.R. re-identified, F.3d at 926. Once the information is rules. Id. to matter, an initial de-identifying pro- As extremely complex proble- cess itself is discovery In the dispute, judges event of a rigorous, comprehensive required matic. Under the would be to determine if informa- for sufficiently scheme de-identification established has 45 tion been de-identified so as 164.514(b), § are escape C.F.R. there two HIPAA protection methods to and state law first, to achieve preemption. de-identification.11 The If identifiers remain and HI- method, “Expert Opinion” known as the applies, judges re- PAA therefore would deter- quires “person appropriate knowledge with mine whether information health has been experience generally accepted adequately so, of and protected, doing apply principles regulations statistical scientific and meth- an intricate web of related to rendering for operations.12 ods information not individual- covered entities’ internal Be- ly apply identifiable” to those methods and HIPAA permits entity cause also a covered recipient protected then determine that the of the in- disclose health information to a identify formation could the individual. 45 “business associate” to conduct the de-identi- 164.514(b)(1). second, behalf,13 § process judges C.F.R. fication known on its would protected Regarding Guidance See Methods De-identi health information disclosed” and for requests "[r]eview Protected Health in Accor on an disclosure individual fication of Information Portability dance with the Health basis in Insurance accordance with such criteria.” Rule, (HIPAA) 164.514(d)(3)(ii). Accountability Privacy Privacy § per- Act C.F.R. U.S. Rule Serv., Dep’t http://www.hhs. of Health & Human mits incidental uses and disclosures that occur as gov/ocr/privacy/hipaa/understanding/covered by-product permissible required of another or (last disclosure, long entities/De-identification/guidance.html entity vis use or as the as covered 26, 2014). applied safeguards. Feb. ited has reasonable 45 C.F.R. 164.502(a)(l)(iii). § reg- are There several other entity’s ulations related to a covered uses and example, identify 12. For covered entities must information, protected disclosures of health such persons persons, appro- or as "[t]hose classes of (45 requests for health information C.F.R. priate, pro- in its need workforce who access to 164.514(d)(4)), (45 agreements § data use C.F.R. carry tected out their 164.514(e)), (45 fundraising § communications "[f|or person duties" each such or class of 164.514(f)), § underwriting C.F.R. and insurance category categories protected persons, the (45 § premium rating 164.514(g)). C.F.R. health information to which access is needed and appropriate such conditions access.” 45 Further, 164.514(d)(2)(i). states, applicable regulation C.F.R. those dis- 13.The entity part, entity may closures that a covered makes on a routine relevant covered use "[a] basis, "implement policies proce- it must tected health create information individually (which may protocols) dures be standard that is not identifiable health infor- protected limit health information disclosed mation or disclose reasonably necessary only purpose, amount to a for such achieve business associate purpose 45 C.F.R. whether or not the de-identified information is to disclosure.” *10 164.514(d)(3)(i). disclosures, entity.” § other be used But for all the covered 45 C.F.R. 164.502(d)(1) designed § "[d]evelop (emphases must to limit criteria 418 to share sensitive patient and reluctance stringent requirements to examine the need pharmacists.” with their doctors or formation If in- relationship as well.14

governing that Bell, Pri- Smith, de-identified, (citing Juliana supra, at 943 sufficiently howev- is formation New Web Prod- vacy at Risk: Patients Use er, analysis required, is no such Health and Share Personal ucts to Store may the data without entity share covered (2009)). Records, 485, 489 U. Balt. L. Rev. 38 restriction.15 by the anxiety This is exacerbated considerations, “reali- Apart from these technical health information do- ties of modern very complicated issue as to is the .the there main,” the tradi- which have overwhelmed legitimate basis for patient a has a whether patient data legal protection tional happens to their being concerned about what through patient-phy- principally achieved once it is de- health information personal Terry, relationship. Nicholas P. sician Circuit has held The Seventh identified.16 Privacy, Wrong with Health What’s 5 J. possibility if there were no “[e]ven 1, (2009). L. “The Health & Biomedical a identity might be learned from patient’s a longitudinal patient data contained modern record, an there would be redacted medical portable, and ma- systems comprehensive, is Hosp., Nw. Mem’l privacy.” invasion of Thus, Id. “potential for nipulatable.” priva- that their If citizens feel F.3d at 929. many parties are abuse is immense”—“there information are not cy rights in health care Id. this data.” ... that crave access to may lead to vari- adequately protected, this (footnote omitted). including negative patients, for ous outcomes sum, through requires judges em- psychological harm “social and scheme arbitrators, barrassment, examining validity through job harm dis- when economic authorizations, loss, only interpret difficulty in medical job patient crimination fraud, change insurance, apply law an intricate obtaining health care health 164.504(e) requirements (setting § regulations concerning forth id. at are several 14.There contracts). entity's relationship as- with business associate covered business "creates, receives, sociate, one who defined as maintains, protected Regarding health infor- or transmits Methods 15. Guidance De-identifica- activity regulated by this mation for a function or in Accor- Protected Health tion Information including processing subchapter, ministration, or ad- claims Portability and with the Health Insurance dance processing analysis, or admin- Rule, data (HIPAA) Privacy Accountability U.S. Act assurance, istration, review, quality utilization Serv., http://www.hhs. Dep’t of Health & Human safety patient listed at 42 CFR 3. activities gov/ocr/privacy/hipaa/understanding/covered management, practice manage- billing, benefit (last entities/De-identification/guidance.html vis- ment, "[plrovides, repricing" or other than 26, 2014). Though Privacy Rule Feb. ited capacity of the workforce of in the of a member may entity a covered disclose does not limit how actuarial, accounting, entity, legal, such covered information, entity may a covered de-identified [], consulting, aggregation management, data recipient require information to enter of such accreditation, administrative, or financial ser- agreement to access files into a data use entity, an for such covered or to or for vices to or Id. known disclosure risk. arrangement organized care in which the entity participates!.]” 45 C.F.R. covered provisions’ Despite intrica- the identification Further, 160.103(l)(ii). goes § the definition on remains, cy, as there the risk of re-identification entity may be a business to state that a "covered national, governing the "no uniform standard entity," covered id. at of another associate § necessary guaran- identifier-stripping level of 160.103(2), may which entities and enumerate data cannot be re-identi- tee that de-identified associates. not be classified as business or Smith, Along supra, at 935. with con- fied.” 160.103(3)-(4). §§at Id. security of this cerns related 164.502(a)(3) See, (providing § e.g., 45 C.F.R. distributed, subjective patients some have once may use or disclose that a business associate (arguing privacy at 936 that the concerns. Id. only permitted protected health information having [in] one’s issue is one of "dehumanization required by associate contract or its business by an indif- intimate information circulated most 164.502(e) (provid- arrangement); id. at other without and faceless infrastructure ferent entity may ing disclose a covered content") (quoting process control over to a business association DeVries, Privacy Protecting "create, receive, Will Thomas the business associate to allow maintain, Berkeley Digital Age, Tech. L.J. protected health informa- or transmit (2003)). It is noted that this invasion entity "obtains its behalf" if the covered tion on alleged wrongful only con- because of the occurs satisfactory that the business associate assurance information”); in the first instance. safeguard duct of a defendant appropriately will *11 by regulation, maintained, keep pace but also to with closed or without Cohan’s con- rapidly evolving technology shaping sent, the dis- purposes for of Marriott’s internal re- closure of information. views or purpose “audit of claims for the setting premiums, reserves, calculating contrast, calcu- Constitution,

In by pre- Hawaii’s lating cluding experience, loss private procuring the disclosure of addi- health infor- and/or underlying eoverage[.]” mation outside of the tional litigation, application obviates of an inordinately com- argues that the “language, if re- plex may law that expensive result in discov- tained, improperly put would at risk Cohan’s ery disputes, appeals, litigation delays medical information for beyond matters far disagreements. resolve such very pur- scope underlying personal of his injury pose of disclosing Cohan’s health information litigation, tort forcing such that sign him to in discovery underlying is to resolve the dis- without the ... modifications would violate pute. To allow this information to be used privacy protections by afforded him both litigation, outside the regardless of whether state and federal law.” not, it is de-identified or beyond would reach what permits the Hawai'i Constitution in the Marriott contends that Cohan cannot show absence of a showing compelling of a state resulting harm language from the he seeks to interest. 1(b)(2) strike from paragraph because the paragraph already provides that it is “under-

V. stood agreed that information will not be used compilation record or database A. history.” Plaintiffs claim parties dispute provisions six that are Regardless of whether Cohan can show SQPO.17 included in provi- Marriott’s Each harm, sion, provision the “internal compliance review” allows its with the Hawai'i Constitution, will Cohan’s health be discussed in turn. information to be used to premiums audit claims to set and to calculate SQPO paragraph 1(b)(2)—Review

1. experience,” reserves and purposes “loss and Audit of Claims for Internal are outside underlying litigation.18 Ac- Purposes Businesses cordingly, language SQPO paragraph 1(b)(2) 1(b)(2) SQPO paragraph provides scope exceeds the allowed used, may be dis- State Constitution. Cohan, Memorandum, Supplemental guage in his SQPO paragraph is also used in Marriott’s 1(b) paragraph 1(b) SQPO’s contended that the al- directly and Cohan did not address this "any claim, litiga- lows disclosure in relation to tion, Memorandum, provision Supplemental in his we proceeding arising out of the ... and/or provision deciding do not consider this in wheth- subject accident” whereas the Hawai'i Constitu- Judge er the Arbitration abused his discretion. permits only tion "underlying disclosure as to the light argument of Cohan’s waiver of his to this added). litigation.” (Emphasis During oral ar- provision, we also need not determine whether gument, acknowledged Cohan’s counsel that the compelling Marriott demonstrated a state inter- originally provision contested matched his own est for disclosure of health in proposed language SQPO at the trial court level. satisfy legally required reporting mandate. Consequently, we do not consider this determining the merits of the Petition. analysis arguably may 18. An under HIPAA lead 1(b)(2) paragraph SQPO to a different result. Similarly, argument Cohan waived his as to provides may that Cohan’s health information be 1(b)(6), SQPO pro- Marriott's which used, maintained, disclosed or without his con- may vides that Cohan’s health information be sent, purposes of Marriott’s internal reviews any legally required reporting gov- used "for applicable regulation or audits. The organiza- ernmental health or medical insurance entity,” states that a "covered which is defined as private tions or their contractors for [Cohan’s] (1) (2) plan; clearing- a house; a health a health care expenses Subject health care and related to the provider added). health care who trans- (Emphasis Accident." Cohan's mits health information in electronic posed SQPO form specifically ”[i]t agreed connection with a transaction covered plaintiff's understood and (45 used, 160.103), disclosed, subchapter "may § may C.F.R. formation be use or and/or and/or maintained, plaintiff's disclose without consent as health information for its own required comply treatment, payment, operations.” state federal or health care laws/ 164.506(c)(1). (Emphasis rulesf.]” opera- Because this lan- 45 C.F.R. "Health care *12 1(b)(7)—Disclosure SQPO paragraph SQPO paragraph 1(b)(3)—External 3. 2. Information of De-Identified Information Review of Health 1(b)(7) provides that SQPO paragraph 1(b)(3) provides that SQPO paragraph may be used “for health information Cohan’s may be used for Cohan’s health provided analytical purposes, or statistical by auditing, such as “external review and/or infor personal identification that [Cohan’s] Commissioner, reinsurers, or the Insurance address, name, specific street (e.g., mation auditors.” external number, date, Security specific Social birth number) included in is not driver’s license of his health argues that the use Cohan Information.” or use of Health such review of an external purposes for care information provision contends that the entire does external auditors by review undisclosed from the be excised should underlying litigation. the pertain not “put[s] at risk Cohan’s language the because of argues that HIPAA allows use Marriott far for use for matters medical information external review. information for health care underlying personal beyond scope his the of argues that injury litigation[.]” Marriott tort of clearly allows for the use provision This by he is harmed the cannot show that outside of the health information Cohan’s provision. not limit re-disclo- present litigation and does Accordingly, the by entities. explain type sure such what provision does not This conducted, privacy under will analysis who com- vision violates will be statistics, the results pile the and whether Constitution.19 the State ment, apparently under the following but not activi- defined to include the tions” is (to that Marriott references. entity activi- the extent the ties of the covered functions): are related to covered ties argues "external review 19. Cohan and/or development, planning and such Business auditing” qualify HIPAAas a use under does conducting cost-management planning- and as litigation proceed- or in "the of the information managing oper- analyses related to and related requested.” ing was which such information for develop- including formulary ating entity, argues cannot show that he that Cohan administration, development or im- and ment 1(b)(3) language paragraph by is harmed coverage payment provement or of methods of information for the use of health care because management gen- policies; and and Business reinsurers, auditing by external review and/or entity, activities of eral administrative Commissioner, external audi- or the Insurance cluding, but not limited to: 164.501(4), § which 45 C.F.R. tors is allowed may companies conduct or insurance states that arrange service, (ii) including provi- Customer services, review, legal and au- "medical holders, plan analyses policy sion of data part diting health care functions” as of their customers, provided sponsors, or other regulation operations. applicable HIPAA not disclosed protected health information is entity may use or disclose states that "a covered holder, sponsor, policy plan or cus- to such tomer; protected information for its own treat- ment, operations." 45 payment, or health care § Marriott asserts that the C.F.R. 164.501. 164.506(c)(1). applicable § defini- C.F.R. 1(b)(2) paragraph SQPO language is consis- operations” provides: "Con- tion of “health care 164.506(c) given § review, legal C.F.R. ducting arranging tent medical 164.506(c)(1) compa- services, auditing functions, § that insurance including fraud and "may protected health infor- or disclose nies use compliance pro- detection and and abuse treatment, payment, or health 164.501(4) mation for its own (emphasis § grams!.]” 45 C.F.R. Further, operations." However, 1(b)(3) Marriott notes that care paragraph would al- operations” includes "business "health care to be disclosed to busi- low Cohan's information management general activi- administrative of Marriott. Under ness associates entity ties.” business associates must' covered its 164.501(6), § upon requirements. Marriott relies comply While See 45 C.F.R. with strict 164.501(5) provides 164.502(a)(3) (business § appear a better would use or § associate language, only SQPO as it relates to as rationale for the disclose required "[b]usiness permitted internal review functions such its business associate conducting arrangement); planning development, such as 45 C.F.R. or other contract 164.504(e) analyses planning-related (setting requirements cost-management § for busi- forth contracts). entity!.]” operating com- managing Because these ness associate related to Thus, 164.501(5). language prehensive requirements are not set forth 45 C.F.R. SQPO, 1(b)(2) provision appears violate HIPAA. require- may satisfy HIPAA subject litigation, available will be made to entities outside therefore violates Presumably, need litigation. there is no Hawai'i Constitution.21 strip if it the health information of identifiers SQPO paragraph 1(b)(8)—Unreasonably litigation. de- remains inside Because Withholding Consent to Disclosure identified is for use outside *13 Health Information litigation, present provision the the is not in protec- the Hawai'i accord with constitutional 1(b)(8) paragraph pro SQPO also tion for health information.20 “agents, attorneys, vides that or its Marriott may request per

or insurers that additional uses, disclosures, SQPO paragraph 1(b)(8)—Disclosure categories missible of or 4. SQPO, added” and maintenance be to the of Health Information for Record unreasonably Cohan “shall not con Keeping Requirements withhold information], sent disclosure of health [to 1(b)(8) SQPO paragraph provides provided the categories that additional re that health bemay Cohan’s information used quested are consistent the intent of this any keeping requirements “for record or ob Order/Agreement.”22 ligations relating any foregoing, of the that language, Cohan contends the if re- pertaining Subject to the Accident.” tained, improperly would risk disclosure of proposes provision to strike the Cohan’s medical information for be- matters argues order and yond scope of the underlying litigation retained, language, if “[t]he stricken would private protections and violate the afforded improperly put at risk Cohan’s medical infor- by him and federal ar- state law. Marriott mation use for beyond for matters far gues provision, that the which “relate[s] scope underlying personal injury of the tort request reservation to additional [Marriott’s] litigation.” Marriott counters that uses,” permissible is “not harmful because provision. cannot show he is harmed impose unilaterally any does not additional uses consent of without the [Cohan].” requirement health disclosure of any However, keeping require- provision information “for record does not limit the obligations relating any ments or use or disclosure Cohan’s health informa- Further, foregoing, pertaining Subject underlying litigation. to the Ac- tion to the cident,” provides no provision ostensible limitation to does not limit Marriott its allowing agents requesting categories use Cohan’s information outside in additional section, in the HIPAA 20.As discussed earlier tions for the de-identification of health care formation, 164.514(a)- regulations §§ related to forth in de-identified information set 45 C.F.R. (b). inordinately complex. applicable are HIPAA states, regulation entity may part, in relevant covered "[a] protected Although use health 21. cites C.F.R. information to 45 individually 164.502(d)(l)-(2) (relating §§ create that is identi- information not to uses and disclo- information) statutory fiable health information or disclose sures of de-identified as a 1(b)(8), only paragraph regu- SQPO associate information to a business basis for the cited purpose, subject para- for whether or de-identi- related to the such not the lations are not graph Furthermore, 1(b)(8). SQPO fied is to be used covered 164.502(d)(1) (b)(8), (emphasis entity.” added). § 45 C.F.R. infor- which Cohan's health keeping may Marriott contends does not used "for that HIPAA mation requirements record obligations relating because, protect pursu- de-identified information foregoing, 164.502(d)(l)-(2), pertaining §§ Subject "[c]overed ant to 45 C.F.R. Acci- entities, added), i.e., companies, identify may (emphasis insurance use dent" does not tected health information to create information entities that use Cohan’s health information individually require require- infor- to conform to HIPAA is not identifiable health them mation, such ‘de-identified’ information is ments. requirements subject to the C.F.R. [45 not argument regulation addressing This rests on whether the 22. There is no 164.502].” However, fully provision, provides that deidentified. Mar- of this which para- unreasonably SQPO not riott’s de-identification Cohan "shall withhold consent information], 1(b)(7) graph comply provided of health [to does not with the minimal disclosure 164.502(d)(l)-(2), categories requirements requested §§ of 45 C.F.R. are con- the additional regula- Order/Agreement.” comprehensive which sistent with the intent of this codifies set of (record requirements); paragraph keeping health infor- for Cohan’s uses and disclosures 1(b)(8) unreasonably Cohan from (preventing mation, time limits but at the same (time consent); paragraph 5 withholding provided that the withhold consent power to information)— returning health deadline with the categories are consistent additional information to be Cohan’s health all allow Therefore, SQPO. requiring Co- intent of the underlying liti- purposes outside used 1(b)(8) SQPO paragraph comply with han to compelling any showing of a gation without protections pro- comport with the would Therefore, respondent interest. state Ha- under the for health information vided affirming the CAAP Adminis- judge erred Constitution. wai'i sign requiring Cohan to order and trator’s SQPO. SQPO paragraph Deadline 5—Time Health Information to Return *14 VI. 5, entitled “Return SQPO paragraph requiring the execu In addition to Copies,” provides that of All or Destruction SQPO, or Marriott’s the arbitrator’s tion of health infor must return Cohan’s

Marriott sign Marriott’s that Cohan der mandates destroy the counsel or mation to Cohan’s medical and em proposed authorizations for ninety days after the “fi within information separately ob ployment records.24 fully- by ... of the nal conclusion case/claim language contained in these jected to the agree non-litigation settlement executed overly The medical broad. authorizations by ment.” to Cohan Marr submitted authorizations Cohan, iott,25 grant signed would if ninety-day provides a SQPO provision This to disclose counsel authorization Marriott’s litigation end of grace period after the to and all destroy Cohan’s to return or Marriott persons as follows: I, Because article information. tected health counsel] to [Marriott’s I further authorize prohib- Constitution 6 of the Hawai'i section all this authorization and further disclose information outside the use of such its use, regardless by its information obtained inference, would, by re- litigation, it present content, involved persons and all immediately parties to return records quire lawsuit/claim, for which this authori- in the litigation after the concludes.23 including, being signed, but not zation is to, counsel, experts, con- opposing limited B. sultants, per- agency court/administrative sonnel, private in- government agencies, case, the Hawai'i application of In this services, copy reporting court vestigators, that the six contest- Constitution establishes repre- companies, parties, and insurance compli- SQPO are not in provisions of the ed sentatives. provisions— law. The six ance with state added). (Emphasis (internal review); 1(b)(2) para- paragraph (external 1(b)(3) review); paragraph Additionally, the medical authorizations graph 1(b)(8) permission to re-dis- 1(b)(7) (de-identification); grant Marriott would paragraph argues Evidence regulation that Hawai'i Rules of corresponding re- 24. Cohan HIPAA 23.The (HRE) priv- "Physician-patient part, return to the cov- quires, in relevant "the Rule entitled protected entity health supplementary protection ered or destruction ilege,” provides made) (including copies at the all information against his health information. the disclosure of litigation proceeding.” 45 C.F.R. end of § trast, light as to infor- of the court’s determination added). )(v)(B) 164.512(e)( (emphasis In con- protection Hawai'i Constitu- under the mational tion, SQPO that Marriott not be addressed. this contention need ninety days within return the information must the ... "final conclusion of after the case/claim "employment Although references agree- non-litigation by fully-executed settlement Supplemental Memoran- in its authorizations" dum, argues SQPO ment.” Marriott by the submitted all of the authorizations regulation complies because with the medically parties appear related. to be protected health informa- return Marriott must ninety days after the conclusion tion within But, ninety-day grace period in the the case. SQPO what HIPAAallows. is more than information, require close Cohan’s health “in relation The authorizations also do not is Cohan notified before health [case] [the] which authorization be his informa- re-disclosed, provided,” provide thereby eliminating that such tion is his “may longer ability no know or protected challenge be under dissemina- federal pi’ivaeyregulations”: protected tion of his health information. “I understand that the health information discovery of While Cohan’s medical may released under this authorization be records are relevant to the matter of recipient re-disclosed in relation to claims, I, his article section 6 the Hawai'i for which this authoriza- case/matter protects Constitution disclosure provided, longer tion is no produced discovery limits privacy regula- under federal underlying litigation. such disclosure tions.” people recog This “is (Emphasis The authorizations would infringed nized and shall not be without also “release from all liability [Marriott] showing compelling aof state interest.” pertaining claims whatsoever to the disclo- Brende, 113 Hawai'i at 153 P.3d at 1115. sure information as contained in rec- Thus, respondent judge’s requir- pursuant ords released to [the] authoriza- ing sign an authorization that tion.” would allow Marriott to “disclose [Cohan’s *15 argues providing that the clause health the underlying information] outside of redisclosure of his information “in relation” litigation” is a without his consent violation of longer the ease in “may to a manner that no right Cohan’s “constitutional to informational privacy regu- be under the federal 431, privacy.” Id. at P.3d 153 at 1116. “negating] lations” has the effect of the Therefore, respondent judge the erred I, safeguards” tective of and article requiring sign Cohan to the authorizations. 6 of section the Hawai'i Constitution. Cohan that the *16 See 45 quately de-identified. compelling showing of a fringed without the (2013). example, regulations § For 164.514 by required law Disclosure state interest.” require that ei pursuant issued to I compelling state interest. may be one such knowledge of appropriate “person a with ther majority paragraph agree with generally accepted sta experience with 1(b)(3) stipulated qualified principles and methods and scientific tistical to the ex- case was overbroad order in this individually rendering information not of did not limit re-disclosure tent meth principles and apply identifiable” such way. in medical information of re-identifi that the risk ods to determine However, precisely provision drafted a more small, C.F.R. very 45 cation is that it allowed upheld to the extent could be or, 164.514(b)(l)(i), alternatively, list that a § required to com- that would be for disclosure removed, see 45 eighteen identifiers be of law, an such as ply with state or federal 164.514(b)(2)(i)(A)-(R). On its §§ C.F.R. the Insurance Commissioner. inquiry from 1(b)(7) face, comply to with paragraph fails 431:2-208(a) (2006) See, (“Every § e.g., HRS de-identifying information either method officers, repre- employees, person and its regulations. under these exami- subject investigation or to sentatives addition, our preempt HIPAA could commissioner, produce shall nation privacy to to constitutional state the commis- freely accessible to and make interpreted constitution extent that our documents, records, accounts, sioner deidentified medical prevent the disclosure of possession or control person’s in files majority opinion cites information. investigation or subject of the relating to the clause, section 264 “supersession” HIPAA’s examination, otherwise facilitate and shall HIPAA, Secretary of which directs examination.”). Such investigation or promulgate Services to Health and Human “compelling state qualify as a purpose would medical protect privacy regulations to my in view. interest” (c)(2) records, in subsection but a con- supercede regulation “shall regard the disclosure such a Finally, with law, if the trary State provision of under information

de-identified imposes requirements, of State law preempts any stan- conflicting state law.1 To un- dards, implementation specifications point, Judge derscore this Manion’s concur- that, HIPAA, rence thus stated stringent requirements, passing are more than “In Congress standards, recognized privacy only interest implementation specifications ‘individually identifiable medical records’ imposed regulation.” Majority under records, and not redacted medical and HI- opinion HIPPA, (citing at 955 Pub.L. No. preempts PAA regard.” state law in 104-191, Id. (1996); § 110 Stat. 1936 (Manion, J., at 933 concurring in part and 160.203(b)). § C.F.R. A standard is “more dissenting part). stringent” “provides greater if it privacy pro- tection for the individual who is the Additionally, in Zyprexa In re Products individually identifiable health infor- (E.D.N.Y. Liability Litigation, 254 F.R.D. 50 mation” than the regulation. 2008), standard in the magistrate judge presiding over Majority opinion (citing at 957 discovery C.F.R. concluded that HIPAA preempts 160.202(6); § Nw. Hosp. Ashcroft, privilege Mem’l v. state preclude laws that the disclo- (7th Cir.2004)). There, 362 F.3d sure of de-identified medical records. sought several states damages stemming However, as the Northwestern court was from the marketing unlawful anti-psy- an note, careful to drug Zyprexa. chotie Id. at 51. When the stringent” applies only the “more clause company defendant sought the medical rec- “individually identifiable health informa- sampling ords of a patients who took the tion,” 160.203(b), § opposed to “health medication, attempted the states prevent identify that does not an indi- disclosure of such records asserting that vidual and respect to which there is respective their physician-patient privilege no reasonable basis to believe that protected against laws the disclosure of such identify can be used to an records. Id. When the issue arose as to 164.514(a). § individual.” Provided that whether the records would be discoverable if medical records are redacted in accordance properly redacted based on HIPAA’s de- requirements (them- with the redaction procedures, identification the states further quite stringent) 164.514(a),they selves contended that respective privilege “their “individually would not contain identifiable laws stringent are more than health information” and the “more strin- argue[d] that a HIPAA-compliant court or- gent” away. clause would fall der will protect not suffice to *17 Hosp., Nw. (emphases Mem’l 362 F.3d at 926 patients interests of the whose medical rec- ords [the seeks.” defendant] Id. at 54. Thus, “supersession” clause that the However, magistrate judge rejected this majority enabling cites to as apply that, it to argument, concluding more state right constitutional assuming Even privilege state laws privacy, away” could “fall when the informa- greater protection afford to the records tion at “individually issue is not identifiable [the defendant] seeks—and it is not entire- information,” i.e., is ly de-identified they clear that do—HIPAA contains a situations, formation. In such supersession HIPAA clause which makes clear that Although majority passage stringent” cites to Northwestern for nois’s "more standard for disclosure that, in which the court stated if “Even trumped regulation by the HIPAA virtue of HI- possibility patient's identity there were no that a supersession provision. PAA’s Id. at 925-26. might be learned from a redacted medical rec- majority in Northwestern did in state dic- ord, privacy[,j” there would be an invasion of tum that "Illinois is free to enforce its more Northwestern court made this statement within (there stringent privilege medical-records is no affirming the context of the district court’s comparable privilege) federal in suits in state quashing subpoena balancing of a based on a and, by court to enforce state law virtue of an complying the benefit and burden of with the express provision in Fed.R.Evid. in in suits subpoena, under Federal Rules of Civil Proce- suits) (mainly diversity federal court as well in 45(c). Id., dure Rule 362 F.3d at 929-33. supplies which state law the rule of decision.” Notably, the court in Northwestern relied on However, Id. at 925. that statement was not balancing analysis reaching holding in its specifically regard rejected made because to de-identified the district other court’s grounds quashing subpoena, Illi- information. laws are more privilege to the extent state informa- de-identified health

protective of HIPAA, are those laws

tion than regulatory by HIPAA’s

preempted

scheme.

Id. Northwestern,

Citing approvingly that, “de-identi- judge thus held

magistrate protected un- is not

fied HIPAA, that, to the extent state

der protection to de-identi- laws offer

privilege records, preempts those

fied medical magistrate judge Accordingly,

laws.” Id. privi- stringent state that more

determined discovery of de- prevent did not

lege laws records. Id. medical

identified 1(b)(7),

Here, paragraph rejecting provision is not that “the

majority concludes with the Hawaii constitutional

in accord because the for health information”

tection for use outside information is

“de-identified litigation.” Majority opinion present view, majority’s on my reliance

at 29. In right privacy to constitutional

the state infor- of de-identified

prevent the disclosure run afoul of and thus

mation could privi- just as the state

preempted by HIPAA in In preempted

lege laws were Zyprexa.

re 1(b)(7) clear-

Accordingly, since protocols for de-identifi-

ly violates HIPAA’s

cation, rejecting rely on HIPAA I would relying on the provision rather than privacy. constitutional

state

322 P.3d 966 *18 TEACHERS ASSOCIA

HAWAII STATE Petitioner/Union-Appellant,

TION,

v. SCHOOL; LABORATORY

UNIVERSITY Laboratory Charter Public

Education Board, Respon Local School

School

dent/Employer-Appellee.

No. SCWC-12-0000295.

Supreme of Hawai'i. Court

Feb. notes authorizations make no refer- VII. SQPO ence to the the the limitations on entitled to relief is mandamus be disclosure of his health forth information set Judge’s cause the Arbitration order is not SQPO, thereby allowing in the poten- for the appealable and results in of the release confi tial disclosure of “to a his information dential health information outside the under group people” way pre- wide with no Brende, lying litigation. See 113 Hawai'i at venting recipients the of the information 429, Kema, (citing at 1114 153 P.3d 91 Ha parties re-disclosing from it to to unrelated 205, 339). wai'i 982 P.2d at at underlying litigation. Consequently, recipients Petition, grant while health informa- Therefore we and the (1) apprised protections would be of the respondent judge tion to: is directed vacate authorizations, decision, in against disclosure listed affirming arbitration they (2) would lack of the protective notice more restrictive qualified order that protections against types certain of disclo- order and the authorizations for release of may that in proper sure be contained a medical records be revised consistent with SQPO. opinion. this require sign authorizations Cohan to RECKTENWALD, Concurring Opinion by expressly stating that release his information C.J., NAEAYAMA, J., in Joins. which may longer protected by no priva- be federal regulations.26 cy Additionally, I in the the ma- the authoriza- concur result reached analysis, provide recipient jority do not that the in much of but write tions its separately agree re-disclosed information is dis- to address several issues. I I, SQPO. closure set forth in section 6 of the Hawai'i Consti- restrictions article If, Brende, 1114, pursuant may party it "medical informa- then follows that a not be judicial proceed- sign tion ing order issued in a required an authorization form that does must, minimum, provide protections at a provide protections. the same minimum not HIPAA," 429, of the 113 Hawai'i at 153 P.3d at 424 1(b)(7), necessary apply a state not it is personal medical protects tution here since the constitutional discovery being in produced under the in event invalid paragraph is litigation. underlying outside disclosed Portability Accounta Insurance Health notes, previ court has majority this As the (HIPAA). Carlisle, v. See Rees bility Act Hara, in Brende v. ously this issue addressed 1131, 456, 446, 1141 153 P.3d 113 Hawai'i (2007) 424, (per P.3d 1109 113 Hawai'i omitted) (“A (2007) (citation fundamental curiam), dealt with specifically which also judicial restraint principle of longstanding liti produced to medical information whether reaching constitu avoid requires that courts then underlying tort ease could in an gants necessity questions in advance of tional purposes outside or disclosed be used them.”); Lyng v. Nw. Indian Ceme deciding Acknowledging the underlying litigation. 445, Ass’n, 439, 485 U.S. tery Protective the ease was in which specific circumstances (same). L.Ed.2d 534 S.Ct. decided, constitu in Brende that the we held 1(b)(7) allow states that would Paragraph the disclo privacy “protects right to tional used “for information to be Cohan’s health litigation of underlying sure outside purposes, provided analytical statistical or produced petitioners’ health infor personal identification that [Cohan’s] at at 153 P.3d discovery.” 113 Hawai'i address, name, specific street (e.g., mation omitted). (footnote number, date, Security Social specific birth However, compel able to party number) is not included license driver’s personal medical informa- the disclosure Information^]” or use of Health such review showing of a litigation by the tion outside does It is evident that interest,” pursuant “compelling state HI- requirements under satisfy the minimum I, 6, which article section plain language of regulations to ensure accompanying PAA’s people to right of the “[t]he is ade personal medical information not be recognized and shall privacy is C.F.R.

Case Details

Case Name: Cohan v. Ayabe.
Court Name: Hawaii Supreme Court
Date Published: Feb 27, 2014
Citation: 322 P.3d 948
Docket Number: SCPW-13-0000092
Court Abbreviation: Haw.
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