WO2003098427A1 - Gestion de donnees en conformite avec des normes reglementant la protection de la vie privee, la surete et les transactions electroniques - Google Patents

Gestion de donnees en conformite avec des normes reglementant la protection de la vie privee, la surete et les transactions electroniques Download PDF

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Publication number
WO2003098427A1
WO2003098427A1 PCT/US2003/015580 US0315580W WO03098427A1 WO 2003098427 A1 WO2003098427 A1 WO 2003098427A1 US 0315580 W US0315580 W US 0315580W WO 03098427 A1 WO03098427 A1 WO 03098427A1
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WO
WIPO (PCT)
Prior art keywords
information
recited
report
request
selectively
Prior art date
Application number
PCT/US2003/015580
Other languages
English (en)
Other versions
WO2003098427A9 (fr
WO2003098427B1 (fr
Inventor
Richard S. Dick
Original Assignee
Clinical Information Corporation
Priority date (The priority date is an assumption and is not a legal conclusion. Google has not performed a legal analysis and makes no representation as to the accuracy of the date listed.)
Filing date
Publication date
Priority claimed from US10/192,175 external-priority patent/US6804787B2/en
Priority claimed from US10/294,156 external-priority patent/US7191463B2/en
Application filed by Clinical Information Corporation filed Critical Clinical Information Corporation
Priority to AU2003233554A priority Critical patent/AU2003233554A1/en
Priority to CA002485760A priority patent/CA2485760A1/fr
Publication of WO2003098427A1 publication Critical patent/WO2003098427A1/fr
Publication of WO2003098427B1 publication Critical patent/WO2003098427B1/fr
Publication of WO2003098427A9 publication Critical patent/WO2003098427A9/fr

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Classifications

    • H—ELECTRICITY
    • H04—ELECTRIC COMMUNICATION TECHNIQUE
    • H04N—PICTORIAL COMMUNICATION, e.g. TELEVISION
    • H04N1/00—Scanning, transmission or reproduction of documents or the like, e.g. facsimile transmission; Details thereof
    • H04N1/00127—Connection or combination of a still picture apparatus with another apparatus, e.g. for storage, processing or transmission of still picture signals or of information associated with a still picture
    • H04N1/00204—Connection or combination of a still picture apparatus with another apparatus, e.g. for storage, processing or transmission of still picture signals or of information associated with a still picture with a digital computer or a digital computer system, e.g. an internet server
    • G—PHYSICS
    • G06—COMPUTING; CALCULATING OR COUNTING
    • G06F—ELECTRIC DIGITAL DATA PROCESSING
    • G06F21/00—Security arrangements for protecting computers, components thereof, programs or data against unauthorised activity
    • G06F21/60—Protecting data
    • G06F21/62—Protecting access to data via a platform, e.g. using keys or access control rules
    • G06F21/6218—Protecting access to data via a platform, e.g. using keys or access control rules to a system of files or objects, e.g. local or distributed file system or database
    • G06F21/6245—Protecting personal data, e.g. for financial or medical purposes
    • H—ELECTRICITY
    • H04—ELECTRIC COMMUNICATION TECHNIQUE
    • H04N—PICTORIAL COMMUNICATION, e.g. TELEVISION
    • H04N2201/00—Indexing scheme relating to scanning, transmission or reproduction of documents or the like, and to details thereof
    • H04N2201/0008—Connection or combination of a still picture apparatus with another apparatus
    • H04N2201/001—Sharing resources, e.g. processing power or memory, with a connected apparatus or enhancing the capability of the still picture apparatus
    • H—ELECTRICITY
    • H04—ELECTRIC COMMUNICATION TECHNIQUE
    • H04N—PICTORIAL COMMUNICATION, e.g. TELEVISION
    • H04N2201/00—Indexing scheme relating to scanning, transmission or reproduction of documents or the like, and to details thereof
    • H04N2201/0077—Types of the still picture apparatus
    • H04N2201/0093—Facsimile machine
    • H—ELECTRICITY
    • H04—ELECTRIC COMMUNICATION TECHNIQUE
    • H04N—PICTORIAL COMMUNICATION, e.g. TELEVISION
    • H04N2201/00—Indexing scheme relating to scanning, transmission or reproduction of documents or the like, and to details thereof
    • H04N2201/32—Circuits or arrangements for control or supervision between transmitter and receiver or between image input and image output device, e.g. between a still-image camera and its memory or between a still-image camera and a printer device
    • H04N2201/3201—Display, printing, storage or transmission of additional information, e.g. ID code, date and time or title
    • H04N2201/3212—Display, printing, storage or transmission of additional information, e.g. ID code, date and time or title of data relating to a job, e.g. communication, capture or filing of an image
    • H04N2201/3218—Display, printing, storage or transmission of additional information, e.g. ID code, date and time or title of data relating to a job, e.g. communication, capture or filing of an image of a confirmation, acknowledgement or receipt

Definitions

  • the present invention relates to information management.
  • the present invention relates to systems and methods for managing data in compliance with regulated privacy, security, and electronic transaction standards.
  • Background and Related Art mformation management has become an important part of business practice. For example, in the medical arena, information is gathered from patients, physician services, medical research, medical training, insurance policy underwriting, and the like. The medical information has proven to be beneficial to patients, physicians, other medial service providers, and other business entities. For example, insurance companies that provide life, health, disability income, long term care, casualty, and reinsurance policies routinely require medical information for analysis as to policy eligibility.
  • the analysis of medical information includes reviewing such medical records as an attending physician's statement, which is considered to be a very reliable record as it contains analyses and conclusions by a licensed medical professional. Medical records are also used in determining the amount of risk presented by an individual for a policy, and in determining causation and other issues relevant to insurance claim adjusting.
  • a delay is generally experienced when requesting information from a medical information repository, such as a physician's office.
  • the delay is due to the paper-only format of the records, the need for personnel time to pull the records and provide the requestor with a copy thereof, and the low priority that is assigned to such requests by medical providers.
  • the delay in underwriting insurance policies may cause applicants to lose interest, and cause a consequent loss of business to the insurer.
  • an effort to shorten delays some requestors utilize agents to travel to the various medical offices to manually retrieve copies of the medical records. Although this may partially accelerate the obtaining of the records, the cost in performing this service can be expensive and the technique does not address the problem of determining whether the retrieved record is complete, and whether other records exist.
  • even when the existence and location of a record are known its relevance remains uncertain until retrieved and reviewed.
  • Health care providers and emergency medical technicians also have a need to access medical records. Health care providers and emergency medical technicians are typically required to make decisions regarding the care of a patient under circumstances in which paper records are unavailable. The inability for traditional techniques to provide medical record information to health care providers and emergency medical technicians increase the risk of improper treatment and the likelihood of medical malpractice.
  • HP AA Health Insurance Portability and Accountability Act
  • the regulations require maj or changes in how health care organizations handle all facets of medical information management, including reimbursements, coding, security, and patient records.
  • the regulations have a far-reaching impact on every department of every entity that provides or pays for health care.
  • HIPAA requires that the medical entity enable patients to first view any and all patient-specific information that the entity may have concerning them, and that the medical entity enable patients to make annotations or comments pertinent to the information that the entity has provided. Further, patients may request that information be corrected. Accordingly, the entity is required to enable a patient-driven "editorial commenting" capability. While the medical entity is not necessarily obligated to make any actual "corrections" to their internal records, they are required to indicate that the patient has registered their comments or made certain suggested changes to their personal information.
  • Such requirements may generally be considered as a real detriment by many medical entities. Yet to others it represents an opportunity for the entity (e.g. a physician or others who may hold crucial clinical information, such as a prescription history) to document and publish the fact that the patient himself has actually viewed and verified as of a certain date the accuracy and completeness of their personal information that the entity has about them, hi the case of retrieving and viewing a current prescription history, the patient- verified history would be very assuring to an emergency room physician that is treating the patient. Accordingly, it would be an improvement in the art to enable affected entities to comply with the regulations that have been enacted, and to facilitate information management and exchange without breaching duties of neither confidentiality nor professional relationships.
  • the entity e.g. a physician or others who may hold crucial clinical information, such as a prescription history
  • the present invention relates to information management, hi particular, the present invention relates to systems and methods for managing data in compliance with regulated privacy, security, and electronic transaction standards.
  • Implementation of the present invention takes place in association with one or more computer devices that are used in a system to manage data in compliance with regulated privacy, security, and electronic transaction standards, hi one implementation, the system includes a single point of entry for external and/or internal requests, and/or a single point of exit for transmissions of information, wherein the transmissions include individually identifiable patient information to legitimate patient- approved requests.
  • Implementation of the present invention further embraces the de-identification of information that may be selectively used and/or sold. The de-identification prevents the identification of patients corresponding to the medical information, thus allowing the information to be useful while still preserving professional confidences.
  • implementation of the present invention embraces fully digital authorizations and consents for retrieval from external data sources.
  • the system includes a fax machine that is configured to transmit and receive information.
  • a physician or representative of the physician uses the fax machine to transmit a set of information, wherein the transmission set includes an information sheet having a bar code configured for scanning, an information sheet without a bar code, patient information, and an end of transmission sheet.
  • the transmission set is provided to a server, which preserves the transmission set in a digital format and acknowledges receipt of the transmission set by sending to the fax machine a confirmation as to the receipt of the transmission set.
  • the server preserves the digital copy of the transmission set for a period of time, such as for a period established by regulation (e.g., 6 years).
  • the physician maintains the confirmation along with the transmission set in a file and can selectively obtain the digital copy of the transmission set from the server by utilizing an identifier associated with the transmission set. Accordingly, the fax machine is used to manage data in compliance with regulated privacy, security, and electronic transaction standards.
  • Figure 1 illustrates a representative system that provides a suitable operating environment for use of the present invention
  • Figure 2 illustrates a representative networked system that enables data management in compliance with regulated privacy, security, and electronic transaction standards in accordance with the present invention
  • Figure 3 illustrates a representative system that allows a requestor to interface with a gatekeeper system to selectively obtain information from one or more of a variety of sources in an information repository
  • Figure 4 illustrates a representative system that allows a requestor to interface with a clearinghouse system, which is in communication with a variety of medical systems (e.g., hospitals, clinics, laboratories, etc.), wherein each medical system includes a corresponding gatekeeper system;
  • a variety of medical systems e.g., hospitals, clinics, laboratories, etc.
  • Figure 5 illustrates a flowchart that provides a representative embodiment of processing that is performed to create, archive, and transmit a patient-specific report
  • Figure 6 illustrates a flowchart that provides a representative embodiment of processing that is performed to create, archive, and transmit a de-identified report
  • Figure 7 illustrates a representative system that enables a requestor to selectively obtain information from a public domain clearinghouse and/or a member clearinghouse, wherein the member clearinghouse enables members to update and/or modify personal information.
  • the present invention relates to information management, hi particular, the present invention relates to systems and methods for managing data in compliance with regulated privacy, security, and electronic transaction standards.
  • Embodiments of the present invention take place in association with one or more computer devices that are used in a system to manage data in compliance with regulated privacy, security, and electronic transaction standards, hi one embodiment, the system includes a single point of entry for external and/or internal requests, and/or a single point of exit for transmissions of information, wherein the transmissions include individually identifiable patient information to legitimate patient-approved requests. Furthermore, embodiments of the present invention embrace fully digital authorizations and consents for retrieval from external data sources.
  • Embodiments of the present invention also embrace the de-identification of information that may be selectively used and/or sold.
  • the de-identification prevents the identification of patients corresponding to the medical information, thus allowing the information to be useful while still preserving professional confidences.
  • Embodiments of the present invention also embrace the utilization of a fax machine to transmit a set of information, wherein the transmission set includes an information sheet having a bar code configured for scanning, an information sheet without a bar code, patient information, and an end of transmission sheet.
  • the transmission set is provided to a server, which preserves the transmission set in a digital format and acknowledges receipt of the transmission set by sending to the fax machine a confirmation as to the receipt of the transmission set.
  • the server preserves the digital copy of the transmission set for a period of time, such as for a period established by regulation (e.g., 6 years).
  • a physician maintains the confirmation along with the transmission set in a file and can selectively obtain the digital copy of the transmission set from the server by utilizing an identifier associated with the transmission set.
  • the fax machine is used to manage data in compliance with regulated privacy, security, and electronic transaction standards.
  • the following disclosure of the present invention is grouped into two subheadings, namely "Exemplary Operating Environment” and "Managing Data in Compliance with Regulation Standards.” The utilization of the subheadings is for convenience of the reader only and is not to be construed as limiting in any sense.
  • Exemplary Operating Environment Exemplary Operating Environment
  • FIG. 1 and the corresponding discussion are intended to provide a general description of a suitable operating enviromnent in which embodiments of the invention may be implemented.
  • One skilled in the art will appreciate that the invention may be practiced by one or more computing devices and in a variety of system configurations, including in a networked configuration.
  • Embodiments of the present invention embrace one or more computer readable media, wherein each medium may be configured to include or includes thereon data or computer executable instructions for manipulating data.
  • the computer executable instructions include data structures, objects, programs, routines, or other program modules that may be accessed by a processing system, such as one associated with a general-purpose computer capable of performing various different functions or one associated with a special-purpose computer capable of performing a limited number of functions.
  • Computer executable instructions cause the processing system to perform a particular function or group of functions and are examples of program code means for implementing steps for methods disclosed herein.
  • a particular sequence of the executable instructions provides an example of corresponding acts that may be used to implement such steps.
  • RAM random-access memory
  • ROM read-only memory
  • PROM programmable read-only memory
  • EPROM erasable programmable read-only memory
  • EEPROM electrically erasable programmable read-only memory
  • CD-ROM compact disk read-only memory
  • ROM read-only memory
  • any other device or component that is capable of providing data or executable instructions that may be accessed by a processing system.
  • a representative system for implementing the invention includes computer device 10, which may be a general-purpose or special- purpose computer.
  • computer device 10 may be a personal computer, a notebook computer, a personal digital assistant ("PDA") or other hand-held device, a workstation, a minicomputer, a mainframe, a supercomputer, a multi-processor system, a network computer, fax machine, a processor-based consumer electronic device, or the like.
  • Computer device 10 includes system bus 12, whichmaybe configured to connect various components thereof and enables data to be exchanged between two or more components.
  • System bus 12 may include one of a variety of bus structures including a memory bus or memory controller, a peripheral bus, or a local bus that uses any of a variety of bus architectures.
  • Typical components connected by system bus 12 include processing system 14 and memory 16.
  • Other components may include one or more mass storage device interfaces 18, input interfaces 20, output interfaces 22, and/or network interfaces 24, each of which will be discussed below.
  • Processing system 14 includes one or more processors, such as a central processor and optionally one or more other processors designed to perform a particular function or task. It is typically processing system 14 that executes the instructions provided on computer readable media, such as on memory 16, a magnetic hard disk, a removable magnetic disk, a magnetic cassette, an optical disk, or from a communication connection, which may also be viewed as a computer readable medium.
  • processors such as a central processor and optionally one or more other processors designed to perform a particular function or task. It is typically processing system 14 that executes the instructions provided on computer readable media, such as on memory 16, a magnetic hard disk, a removable magnetic disk, a magnetic cassette, an optical disk, or from a communication connection, which may also be viewed as a computer readable medium.
  • Memory 16 includes one or more computer readable media that may be configured to include or includes thereon data or instructions for manipulating data, and may be accessed by processing system 14 through system bus 12.
  • Memory 16 may include, for example, ROM 28, used to permanently store information, and/or RAM 30, used to temporarily store information.
  • ROM 28 may include a basic input/output system ("BIOS") having one or more routines that are used to establish communication, such as during start-up of computer device 10.
  • BIOS basic input/output system
  • RAM 30 may include one or more program modules, such as one or more operating systems, application programs, and/or program data.
  • One or more mass storage device interfaces 18 may be used to connect one or more mass storage devices 26 to system bus 12.
  • the mass storage devices 26 may be incorporated into or may be peripheral to computer device 10 and allow computer device 10 to retain large amounts of data.
  • Mass storage devices 26 may be removable from computer device 10. Examples of mass storage devices include hard disk drives, magnetic disk drives, tape drives and optical disk drives. A mass storage device 26 may read from and/or write to a magnetic hard disk, a removable magnetic disk, a magnetic cassette, an optical disk, or another computer readable medium. Mass storage devices 26 and their corresponding computer readable media provide nonvolatile storage of data and/or executable instructions that may include one or more program modules such as an operating system, one or more application programs, other program modules, or program data. Such executable instructions are examples of program code means for implementing steps for methods disclosed herein. One or more input interfaces 20 may be employed to enable a user to enter data and/or instructions to computer device 10 through one or more corresponding input devices 32.
  • Examples of such input devices include a keyboard and alternate input devices, such as a mouse, trackball, light pen, stylus, or other pointing device, a microphone, a joystick, a game pad, a satellite dish, a scanner, a camcorder, a digital camera, and the like.
  • examples of input interfaces 20 that maybe used to connect the input devices 32 to the system bus 12 include a serial port, a parallel port, a game port, a universal serial bus (“USB”), a firewire (IEEE 1394), or another interface.
  • One or more output interfaces 22 may be employed to connect one or more corresponding output devices 34 to system bus 12. Examples of output devices include a monitor or display screen, a speaker, a printer, and the like. A particular output device 34 may be integrated with or peripheral to computer device 10. Examples of output interfaces include a video adapter, an audio adapter, a parallel port, and the like.
  • One or more network interfaces 24 enable computer device 10 to exchange information with one or more other local or remote computer devices, illustrated as computer devices 36, via a network 38 that may include hardwired and/or wireless links.
  • network interfaces include a network adapter for connection to a local area network ("LAN") or a modem, wireless link, or other adapter for connection to a wide area network (“WAN”), such as the Internet.
  • the network interface 24 may be incorporated with or peripheral to computer device 10.
  • accessible program modules or portions thereof may be stored in a remote memory storage device.
  • computer device 10 may participate in a distributed computing environment, where functions or tasks are performed by a plurality of networked computer devices.
  • Figure 2 represents an embodiment of the present invention in a networked environment that includes clients connected to a server via a network. While Figure 2 illustrates an embodiment that includes two clients connected to the network, alternative embodiments include one client connected to a network or many clients connected to a network. Moreover, embodiments in accordance with the present invention include a multitude of clients throughout the world connected to a network, where the network is a wide area network, such as the Internet. hi Figure 2, clients 50 and 60 exchange information with information retrieval system 40 via network 70. Such information exchanges include the submission of a request for information by a client to the information retrieval system. Such requests may be in the form of electronic data.
  • Network interfaces 42, 52, and 62 enable the exchange of information between clients 50 and 60 and information retrieval system 40, which includes servers 44 and storage devices 46.
  • servers 44 process the methods disclosed herein to respond to requests by clients 50 and 60 as to the obtaining of information, which is preserved at storage device(s) 46. Once the requested information is selectively obtained, a report is preserved by system 40 and a copy of the report is transmitted back to the requestor in response to the request, as will be further discussed below.
  • embodiments of the present invention take place in association with one or more computer devices that are used in a system to manage data in compliance with regulated privacy, security, and electronic transaction standards.
  • embodiments of the present invention embrace a single point of entry for external and/or internal requests, and/or a single point of exit for transmissions of information.
  • Requestor 80 represents any person or entity that desires to obtain information. Examples of such requestors include insurance companies, care providers, researchers, patients, and the like. For example, the requestor 80 may request to see particular information from a covered medical entity.
  • the enterprise provides for this capability via retrieval request and processing procedures that are afforded to the requestor (e.g. an insurance underwriter) who presents an authenticated authorization or signed consent by the patient. Therefore, the patients themselves may request a copy of any and all of their patient- specific information at any time. The entity responds by sending the information to the requestor in a timely manner.
  • the information repository 100 includes a variety of information/data sources that may be located locally or remotely from each other.
  • the illustrated data sources include enterprise clinical data repository 104a, pathology laboratory system(s) 104b, in-patient pharmacy system(s) 104c, clinical laboratory system(s) 104d, enterprise master person index 104e, radiology information system(s) 104f, and other data source system(s) 104g. Accordingly, when information is requested, the data is selectively obtained from one or more of the data sources using an interface engine 102, which interfaces with gatekeeper system 90 to provide a report in response to requestor 80.
  • information is obtained by the information repository through the receipt of individual transmittal sets that are sent via facsimile or otherwise to the repository, as will be further discussed below.
  • the information repository preserves a copy of all of the transmittal sets received and allows for selectively obtaining a digital copy of any of the transmittal sets.
  • gatekeeper system 90 provides a single point of entry for requests.
  • the requests may be from external or internal requestors. Accordingly, anyone that is authorized enters requests through a single point of entiy. hi one embodiment, the point of entry receives fully-digital authorizations and consents for retrieval from external sources, bringing diverse external data feeds through the entry point to facilitate patient safety.
  • processing performed by the enterprise to respond to requests received include processing an authenticated request for a copy of a patient-specific record.
  • Embodiments of the present invention embrace the use of flags to facilitate processing.
  • a flag is set for the output of all retrieval functions to be in a desired format so that the entity may easily print the information/documents or electronically transmit them to the requestor in a format that is useful to the requestor.
  • a flag is set in an index of gatekeeper system 90 and also in the specific record in the audit trail archive at gatekeeper system 90 that the request is, for example, a patient- driven request.
  • a flag is set in the index of gatekeeper system 90 and also in the specific record in the audit trail archive of gatekeeper system 90 that the information in this record has not yet been commented upon by the patient.
  • Other processing includes the preparation of a cover page that includes specific information and instructions for the patient delineating their rights under a particular law or regulation.
  • An internal reference number is assigned for a particular record so that it may be used to expedite the search for any future referencing of the record.
  • a dedicated FAX number is used for conveyance of information via facsimile, including the actual cover sheet that used to send back comments if a response is provided via facsimile.
  • the output is provided in a patient-specified format and transmitted to the patient in a secure manner.
  • the information is selectively obtained from one or more data sources, including locally at system 90, to provide the requested information to the requestor in the form of a report, as will be discussed below.
  • Embodiments of the present invention also embrace the ability of requestors, such as patients, to comment on the particular information.
  • patients may send their comments to the gatekeeper system via any number of ways or formats such as, via facsimile, standard courier, mail, electronically, etc.
  • a particular fax number may be provided and dedicated for the purpose of receiving requestor information.
  • it is a fax modem that is set to only receive facsimiles. Accordingly, the comments are received in a specific location assuring that they will not be lost.
  • a response e.g. comment
  • the mechanisms for attaching any and all comments as if they were attached files to the original request/response is invoked and appears in the audit trail that will be discussed below.
  • information is received via a facsimile store
  • the images of the comments in a patient response file are stamped the corresponding time and date for incorporation into the record.
  • all flags and mechanisms that enable tracking of all interactions and communications with the patient are enabled and initiated.
  • Embodiments of the present invention embrace the managing of comments received from requestors, such as patients.
  • patients may respond in any number of ways and there are appropriate mechanisms to address and deal with their individual responses, h one embodiment, the entity is enabled to appropriately support dealing with all aspects of interactions with the patient as required under the enacted regulations. Examples include setting a flag to indicate that the patient has responded with the status set to the verification of the completeness and/or accuracy of the information, the providing of minor comments, the providing of substantial comments, additions made to records, requests made for changes to the information.
  • a single point of exit for the transmission of individually identifiable patient data that is sent out in response to legitimate patient-approved requests is provided by gatekeeper system 90.
  • the single point of exit creates a revenue opportunity via completely certified, de-identified data.
  • de-identified information can be selectively sold to a variety of buyers, such as pharmaceutical companies, insurance companies, researchers, etc. hi one embodiment, the information provided is encrypted.
  • the individually identifiable patient data is sent out in response to legitimate, authenticated, patient- approved requests.
  • information released to a requestor goes through the gatekeeper system, hi other words, the information is not provided directly from the individual data sources to the requestor. Instead, the information from the data sources goes through the gatekeeper system to provide the information as a report to the requestor.
  • Embodiments of the present invention embrace source data systems that are secure from electronic and physical intrusion. Organizations utilize a combination of biometric and digital signature technologies to control physical and electronic access.
  • all requests for data from a requestor 80 are entered into the gatekeeper system for processing. This includes all requests regardless of their origin. For example, requests received via facsimile, including a signed authorization, are scanned into the gatekeeper system. Such documents are compressed, digitized images that are bound to the information that is retrieved, and both are included in an audit trail that is maintained by gatekeeper system 90.
  • system 90 Since system 90 is the exclusive mechanism for receiving incoming requests for information, it consolidates all facets of the requesting process, including validation, verification, and authentication of not only the requests but also the accompanying patient-signed authorization/consent. System 90 also provides the mechanisms to receive authenticated electronic requests from an entire industry (e.g., the insurance industry) and from all other legitimate, patient-authorized requestors, including the patients themselves. Accordingly, the system provides the tools to receive and respond to patient-initiated requests to retrieve, review, and comment on the data that the enterprise has on file for the patients. As a result, the system eliminates the burden on the data sources to provide the information directly to the requestors, and in accordance with established regulations.
  • an entire industry e.g., the insurance industry
  • Clearinghouse system 120 includes one or more servers 122 and one or more storage devices 124, and is in communication with a variety of medical centers 140 (e.g., hospitals, clinics, laboratories, etc.), wherein each medical center 140 includes a corresponding gatekeeper system 142.
  • each gatekeeper system 142 selectively provides information to clearinghouse system 120.
  • a report is provided to requestor 110 in response to a request.
  • the information of the report is archived for a period of time (e.g., 6 years) to satisfy the time limit set by regulation.
  • step 150 an authenticated request for information is received.
  • decision block 152 a determination is made as to whether or not the request is authorized by the patient. If it is determined that the request is not authorized by the patient, execution proceeds to step 154, where patient authorization is obtained and then to step 156. Alternatively, if it is determined at decision block 152 that the request is authorized by the patient, execution proceeds directly to step 156.
  • step 156 the requested information is retrieved.
  • a report is then assembled at step 158.
  • the report includes such information as the request made, the response being provided, the corresponding audit trail, and other related information that is useful.
  • a determination is made at decision block 160 as to whether or not to perfomi a review of the report. If it is determined at decision block 160 that a review of the report is to be performed, execution proceeds to step 162 for the performance of the review of the report, and then to step 164, where the review is included in the report. Execution then proceeds to step 166. Alternatively, it is determined at decision block 160 that a review is not to be performed on the report, execution proceeds directly to step 166.
  • the report is encrypted and at step 168 the report is archived in a storage device. Execution then proceeds to decision block 170 for a determination as to whether or not the archive is complete. If it is determined that the archive is not complete, execution returns back to 168 to allow the report to be completely archived. Alternatively, if it is determined at decision block 170 that the archival of the report is complete, execution proceeds to step 172, where a copy of the report is transmitted to the authorized requestor.
  • Figure 6 illustrates a flowchart that provides a representative embodiment of processing that is performed to create, archive, and transmit a de-identified report
  • execution begins at step 180, where an authenticated request for information is received. The requested information is then retrieved at step 182 and the retrieved information is de-identified at step 184. At step 186 the report is assembled. Execution then proceeds to decision block 188 for determination as to whether or not to perform a review. If it is determined at decision block 188 to perform a review, execution proceeds to step 190 for the performance of the review and then to decision block 192. Alternatively, it is determined at decision block 188 that a review is not to be performed execution proceeds directly to decision block 192.
  • decision block 196 a determination is made as to whether or not to encrypt the report that has been assembled. If it is determined at decision block 196 that the report is to be encrypted, execution proceeds to step 198 for the encryption of the report and then to step 200. Alternatively, if the report is not to be encrypted, execution proceeds directly to step 200, where the report is transmitted to the requestor.
  • FIG. 7 a representative system is illustrated that enables a requestor to selectively obtain information from a public domain clearinghouse 214 and/or from a member clearinghouse 216, wherein the member clearinghouse enables members to selectively update and/or modify personal information.
  • Member clearinghouse 216 obtains information from information sources 218, which provide personal information, such as medical/health, financial, academic, and/or any other type of information that would be useful to a requestor.
  • the member clearinghouse provides a single point of entry and a single point of exit to manage and oversee the information that is provided to the requestor.
  • at least some embodiments of the present invention embrace the use of a fax machine that is configured to transmit and receive information.
  • a physician or representative of the physician uses the fax machine (illustrated as client 50) to transmit a set of information across a communications medium (network 70) to one or more servers 44, which preserve a digital copy of the transmission set and enable selective use of the digital copy.
  • network 70 is a set of telephone lines that connect a fax machine to a server.
  • the transmission set includes an information sheet having a bar code configured for scanning, an information sheet without a bar code, patient information, and an end of transmission sheet.
  • the bar code enables the server or another computer device to recognize/obtain information from scanning the bar code.
  • the information obtained may include, for example a physician's name, a patient's name, a clinic's name, or any other useful information.
  • the server when the server receives the transmission set, it scans the bar code and recognizes which client/patient/clinic corresponds to the transmission set.
  • the information sheet without a bar code is optional. It provides a backup to the bar code just in case the bar code is not encoded or scanned correctly.
  • the information sheet without the bar code provides information associated with the transmission set, such as the physician' s, patient' s, and/or clinic's name, or any other useful information associated with the transmission set.
  • the patient information is any information that is to be preserved and/or provided, hi one embodiment, the patient information includes data that is to be sent to, for example, an insurance company.
  • the end of transmission sheet separates transmissions and ensures that the entire transmission was received.
  • the transmission set is provided to a server, which preserves the transmission set in a digital format
  • the server acknowledges receipt of the transmission set by sending to the fax machine a confirmation as to the receipt of the transmission set.
  • the confirmation includes an identifier (e.g., number, code, etc.) that is associated with the digital copy that may be used to selectively obtain a copy of the digital copy.
  • the confirmation received at the fax machine indicates receipt of the transmission set by the server and may selectively provide information relating to the transmission set, such as the physician name, patient name, or any other information.
  • the server preserves the digital copy of the transmission set for a period of time, such as a period established by regulation (e.g., 7 years). Meanwhile, the physician maintains the confirmation along with the transmission set in a file and can selectively obtain the digital copy of the transmission set from the server by utilizing the identifier associated with the transmission set.
  • the fax machine is used to manage data in compliance with regulated privacy, security, and electronic transaction standards.
  • embodiments of the present invention embrace the utilization of a fax machine to convert a hardcopy of one or more documents into a digital format and to transport information to a remote location (e.g., server) for storage.
  • embodiments of the present invention embrace selectively processing the digital copy as provided herein, such as de-identifying the information to provide it to a third-party.
  • the embodiments of the present invention embrace information management, hi particular, the present invention relates to systems and methods for managing data in compliance with regulated privacy, security, and electronic transaction standards.
  • the present invention may be embodied in other specific forms without departing from its spirit or essential characteristics.
  • the described embodiments are to be considered in all respects only as illustrative and not restrictive.
  • the scope of the invention is, therefore, indicated by the appended claims rather than by the foregoing description. All changes that come within the meaning and range of equivalency of the claims are to be embraced within their scope. What is claimed is:

Abstract

L'invention porte sur des systèmes et des procédés de gestion de données en conformité avec des normes réglementant la protection de la vie privée, la sûreté et les transactions électroniques. On utilise à cet effet un ou plusieurs dispositifs informatiques pour gérer les données en conformité avec lesdites normes. Le système comporte un point unique d'entrée de demandes internes et/ou externes, et/ou un point unique de sortie pour la transmission d'informations, comportant des renseignements sur les patients identifiables individuellement, et légitimant les demandes approuvées par le patient. L'information est dés-identifiée (184) pour être utilisée sélectivement et/ou vendue. La dés-identification (184) empêche l'identification de patients correspondant à l'information médicale, ce qui permet d'utiliser l'information tout en conservant le secret professionnel. On peut de plus utiliser (180) des autorisations et consentements numériques pour des recherches dans des sources extérieures de données. Dans une exécution, on utilise un photocopieur pour fournir un ensemble de transmission à un système informatique qui accuse réception dudit ensemble et le garde pendant un certain temps pour satisfaire à une réglementation.
PCT/US2003/015580 2002-05-15 2003-05-15 Gestion de donnees en conformite avec des normes reglementant la protection de la vie privee, la surete et les transactions electroniques WO2003098427A1 (fr)

Priority Applications (2)

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AU2003233554A AU2003233554A1 (en) 2002-05-15 2003-05-15 Managing data in compliance with regulated privacy, security, and electronic transaction standards
CA002485760A CA2485760A1 (fr) 2002-05-15 2003-05-15 Gestion de donnees en conformite avec des normes reglementant la protection de la vie privee, la surete et les transactions electroniques

Applications Claiming Priority (6)

Application Number Priority Date Filing Date Title
US38067902P 2002-05-15 2002-05-15
US60/380,679 2002-05-15
US10/192,175 US6804787B2 (en) 2002-05-15 2002-07-09 Managing data in compliance with regulated privacy, security, and electronic transaction standards
US10/192,175 2002-07-09
US10/294,156 US7191463B2 (en) 2002-05-15 2002-11-13 Managing data in compliance with regulated privacy, security, and electronic transaction standards
US10/294,156 2002-11-13

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Citations (2)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US20010041991A1 (en) * 2000-02-09 2001-11-15 Segal Elliot A. Method and system for managing patient medical records
US20020165736A1 (en) * 2001-03-05 2002-11-07 Jill Tolle System and methods for generating physician profiles concerning prescription therapy practices

Patent Citations (2)

* Cited by examiner, † Cited by third party
Publication number Priority date Publication date Assignee Title
US20010041991A1 (en) * 2000-02-09 2001-11-15 Segal Elliot A. Method and system for managing patient medical records
US20020165736A1 (en) * 2001-03-05 2002-11-07 Jill Tolle System and methods for generating physician profiles concerning prescription therapy practices

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AU2003233554A1 (en) 2003-12-02
WO2003098427A9 (fr) 2004-02-26
WO2003098427B1 (fr) 2003-12-18
CA2485760A1 (fr) 2003-11-27

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