E-mail as a Provider-Patient Electronic Communication Medium and its Impact on the Electronic Health Record (AHIMA Practice Brief)
Background
The American Medical Association defines provider-patient
e-mail (electronic mail) as computer-based communication
between providers and patients within a
professional relationship, in which the provider has
taken on an explicit measure of responsibility for the patient's
care.1 Electronic communications have been
shown to be effective in facilitating communication
among providers and patients, thereby allowing for
greater continuity of care and more timely interventions.2
Provider-patient electronic communications, such as e-mail
and text messaging, are healthcare organizational
business records and are therefore subject to the same
storage, retention, retrieval, medicolegal, privacy, security,
and confidentiality provisions as any other patient-identifiable
health information.3 As such, organizations
need to develop policies to manage e-mail records just
as they manage any other medical records.4
Approximately 19 percent to 38 percent of providers
currently use electronic communications with their patients.5
Growth in e-mail use is being hampered by the
lack of reimbursement for these types of communications
for Medicare patients. However, some third-party
payers have begun to reimburse in some instances, with
demonstrated improvements in both cost and workflow.
If Medicare reimbursement for electronic provider-patient
communications occurs, electronic communications
between provider and patient are likely to increase.5
Examples of provider-patient e-mail applications include
- Appointment scheduling
- Prescription refill
- Transferring lab reports or results
- Patient education
Although e-mail communication is most common,
other means of provider-patient electronic communications
include
- PDA text messaging
- Online consultations
- Online prescribing
- Web messaging
- Digital transfer of lab reports or results
Benefits
Time/production/workflow efficiencies: Electronic
communication can reduce interruptions caused by
phone calls, reduce nonessential office visits, and save
time relative to communication by telephone. Traditional
telephone calls are not always a practical means of communication.
Often, one of the parties is not available to
communicate or does not have the time or appropriate
information at hand to complete the communication.
Telephone messages are not always private or confidential.
Many telephone messaging systems do not allow
enough time to leave complete messages. E-mail allows
both parties to read and respond to the message when it
is convenient to do so. E-mails allow for enough space
in the document to send a complete message. Finally,
because e-mail messages allow for attachments of supporting
documentation, Web site and e-mail addresses
can be added to complete the communication.
Improved quality of care: E-mail can improve communication
between provider and patient by documenting
instructions, educational materials, or interpretation
of lab results, or it can allow for more timely communication
of test results to patients. E-mail allows both the
provider and the patient more options than traditional
face-to-face, written, and telephone interaction so communication
is enhanced.
- Cost efficiencies: Using e-mail for provider-patient
communications can result in cost savings as compared
to a face-to-face encounter.
- Provides a business record of the conversation and
transaction: Unlike face-to-face conversations or telephone
conversations, e-mail communication provides a
ready-made record of the communication.
- Liability protections: An e-mail message documents
the precise communication between provider
and patient.
- Convenience: Providers and patients can schedule
time to send or answer e-mail messages.
Risks
Security and Privacy Risks
- An e-mail message may be intercepted and threaten
patient privacy. E-mail message content can be altered
and/or forwarded to unintended recipients.
- Numbers and letters in an e-mail address can be easily
transposed, and e-mail may be delivered to the
wrong person or not delivered at all.
- Difficulty can arise in establishing or confirming the
identity of the patient in an e-mail request. A patient
name without other identifiers may be insufficient to establish
the identity of the patient. Accepting e-mail mes-sages
containing only the patient name and/or e-mail
address without other identifiers can result in confusion
with other patients with like names and e-mail addresses.
The individual sending the e-mail may not be the
patient, but an imposter using the patient's e-mail.
- Group e-mail messages present a risk for loss of
confidentiality. Individual confidentiality is not protected
when recipients are able to see the names
and/or e-mail addresses of other group e-mail recipients.
- Word documents sent as attachments that stay on a
hard drive present a risk for unauthorized access and
breach of confidentiality.
- Clinicians answering patient e-mail messages from
an unsecured location such as home computers could
present a problem. Protected health information
would be retained on private personal computers and
in files maintained by Internet service providers.
- Opening an attachment with a virus may cause serious
damage.
Administrative and Medicolegal Risks
- Delays in turnaround time could nullify the benefits
of the electronic medium. Work flow efficiencies potentially
gained from e-mail are lost if a patient does
not receive a response and initiates either further e-mail
messages or telephone calls that require a response
as well. E-mail can serve as a protection
against liability because precise communication between
the provider and patient is documented. This
can become a liability, however, if the provider's documentation
is not complete or lacks timeliness.
- Misfiles or lost communications can nullify the benefit
of an electronic medium. E-mail messages provide
precise documentation between the provider and patient
only if the documentation can be easily referenced
and retrieved.
- Electronic communication can be misinterpreted due
to lack of verbal and nonverbal cues. Electronic communication
requires a certain level of patient e-mail/
health literacy. It may be difficult for the
provider to determine if the patient is able to understand
the medical terms and concepts contained in the
e-mail messages.
- Web pages used as links that are not "active" or contain
information that is not credible present problems.
- E-mails are returned to the sender when addresses are
incorrect or outdated.
- There is a lack of documentation that the intended recipient
received and read the e-mail message sent by
the provider.
- E-mail may overburden provider schedules.
- Laws may vary between states on use of e-mail for
patient care or provider licensure requirements.
- Inappropriate utilization by patients, such as an emergency
situation, could result in an adverse outcome
for patients.
Recommendations
Security and Privacy
- Security is a primary concern. The e-mail system security
must be sufficient to ensure, to the highest degree
possible, the following
-Nonrepudiation
-Messages are read only by their intended recipients
-Verification of delivery/receipt
-Labeling of sensitive material
-Control of access by those other than the provider
-Security of computer hardware
-Completeness
-Trustworthiness4
- Strive to retain the integrity of the message and authentication
of source.
- Whenever feasible, instruct users to copy and paste
addresses or use the e-mail reply button.
- The availability of secured (encrypted) e-mail transmission
will be the determining factor limiting the
content and use of e-mail.
- Browser-based communication with patients has advantages
because it provides additional security as compared
to e-mail. For example, log-ins are required and
audit trails are accessible. Security/encryption, physical
security, structured messaging, approval/revocation options,
and group access versus single access are more
characteristics of browser-based communication.
- Maintaining a secure mail server is an ongoing
process. A critical role in a secure mail server is an
extensive network infrastructure (firewalls, routers,
intrusion detection systems). Internet/intranet issues
must be addressed. E-mail may be secure on an intranet
and not secure on the Internet.
- Encryption software is available for wired and wireless
communication. Configuration management is an
essential part of maintaining a secure system. The
complex mathematic algorithms involved in the highest
levels of confidentiality increase e-mail size and
slow servers. Also, encryption may interfere with
virus scanning and mail content filtering. Administrative
overhead is often required. Software must be
monitored even after installation for upgrades, patches,
and correct versus default settings, especially after
a server crash.
- The HIPAA security rule provides guidelines as to
the appropriate use of transmission security.6 The associated
risk to electronic protected health information
should drive the decision to use transmission
security tools. Following is the Department of Health
and Human Services response to comments and
questions regarding the use of encryption tools to secure
protected health information transmitted from
one point to another.7
Response: In general, we agree with the commenters
who asked for clarification and revision. This final
rule has been significantly revised to reflect a much
simpler and more direct requirement. The term
"Communications/network controls" has been replaced
with "Transmission security" to better reflect
the requirement that, when electronic protected
health information is transmitted from one point to
another, it must be protected in a manner commensurate
with the associated risk.
We agree with the commenters that switched,
point-to-point connections, for example, dial-up
lines, have a very small probability of interception.
Thus, we agree that encryption should not be a
mandatory requirement for transmission over dial-up
lines. We also agree with commenters who mentioned
the financial and technical burdens
associated with the employment of encryption
tools. Particularly when considering situations
faced by small and rural providers, it became clear
that there is not yet available a simple and interoperable
solution to encrypting e-mail communications
with patients. As a result, we decided to make
the use of encryption in the transmission process
an addressable implementation specification. Covered
entities are encouraged, however, to consider
use of encryption technology for transmitting electronic
protected health information, particularly
over the Internet.
As business practices and technology change, there
may arise situations where electronic protected
health information being transmitted from a covered
entity would be at significant risk of being accessed
by unauthorized entities. Where risk analysis
showed such risk to be significant, we would expect
covered entities to encrypt those transmissions, if
appropriate, under the addressable implementation
specification for encryption.
We do not use the term "open network" in this final
rule because its meaning is too broad. We include
as an addressable implementation specification the
requirement that transmissions be encrypted when
appropriate based on the entity's risk analysis.
From Sec. 164.312, Technical Safeguards:
(e)( 1) Standard: Transmission security. Implement
technical security measures to guard against unauthorized
access to electronic protected health information
that is being transmitted over an electronic
communications network.
(2) Implementation specifications:
(i) Integrity controls (Addressable). Implement security
measures to ensure that electronically transmitted
electronic protected health information is not improperly
modified without detection until disposed of.
(ii) Encryption (Addressable). Implement a mechanism
to encrypt electronic protected health information
whenever deemed appropriate.
- Cryptosystems provide a means to ensure confidentiality,
authenticity, nonrepudiation, and integrity of e-mail
messages. Three common types of cryptographic
hardware and/or software systems are:
-Symmetric cryptography: A single key is shared
by the sender and the recipient. The encryption algorithm
(e. g., data encryption standard [DES],
3DES) is much simpler and thus faster.
-Asymmetric cryptography (e. g., public key infrastructure):
Each user owns a pair of keys, one public
and one private. The public key is given to the
sender to encrypt the messages, and the corresponding
private key is used by the recipient to decrypt
messages. The encryption algorithm (e. g., Rivest-Shamir-
Aldeman, a public-key cryptographic algorithm
that hinges on the assumption that the
factoring of the product of two large primes is difficult)
has to match the decryption algorithm, which
makes it very complex and thus much slower.
-Hybrid cryptography (e. g., pretty good privacy
[PGP]): This is a combination of symmetric and
asymmetric cryptography. A session key is randomly
generated for each message. The plain text is then
encrypted with this session key. The public key-encrypted
session key is then transmitted, along with the session key-encrypted cipher text, to the recipient.
In this method, the encryption (session) key is
securely distributed by the public key and the plain
text is encrypted by faster symmetric cryptography.
- Virtual private networks (VPN) allow use of the public
Internet to securely connect remote offices and
employees at a fraction of the cost of dedicated, private
telephone lines such as frame relay. A VPN supports
at least three different modes of use:
-LAN-to-LAN internet working connects two or
more geographically separated networks, such as
those at a main office and a remote branch office.
-Remote access client connections allow telecommuters
to safely log into company networks.
-Controlled access within an intranet can also use
VPN technology to implement controlled access to
individual subnets on the private network.
The most important component of a VPN is the gateway.
The symmetric encryption (e. g., 3DES) is done
between gateways of two networks.
With the hype that has surrounded VPNs historically,
the potential pitfalls or "weak spots" in the VPN model
can be easy to forget. These four concerns with VPN
solutions are often raised:
1. VPNs require an in-depth understanding of public
network security issues and taking proper precautions in
VPN deployment.
2. The availability and performance of an organization's
wide-area VPN (over the Internet in particular) depend
on factors largely outside of the organization's control.
3. VPN technologies from different vendors may not
work well together due to immature standards.
4. VPNs need to accommodate protocols other than IP
and existing (" legacy") internal network technology.
- Web e-mail with a domain name and secure socket connection
provides a higher level of security than standard
secured e-mail messages.8 A secure Web server is purchased
and managed by system security professionals.
- Hard drives used by providers for patient e-mail communication
must be cleaned using a "wipe" utility before
the processor is surplused or reassigned to
another person.
Administrative and Medicolegal Recommendations
- Create a policy that establishes criteria for the
provider-patient e-mail communication and consent
process before initiating electronic communication
with the patient. The provider and patient should have
an established relationship. Differentiate among preexisting
conditions, ongoing treatment, follow-up
questions related to a previous discussion, and a new
diagnosis and treatment addressed exclusively online.
New diagnosis and treatment of conditions addressed
exclusively online may increase liability.
- Develop procedures for the patient's
authorization/agreement to use e-mail as a communication
medium. The procedures must outline where
patient authorization will be filed, how it will be retrieved,
and what indicators or flags in the patient
record, if any, show that the patient wishes to participate
in electronic communication with the provider.
- Develop policies addressing issues that require the
e-mail documentation to become part of the patient
record.
- Establish and enforce retention policies. Original e-mail,
with reply, should be filed in the electronic
health record or printed for the paper record. The
provider should initial and date the paper copy for the
paper record.
- Develop policies and procedures to guide the use of
group e-mail messages that describe the necessity of
protecting the identities of individual group members
from other members in the group and provide instructions
to users (i. e., blind copy [bcc] feature).
- Develop criteria to determine a patient's health literacy
level and ability to use an e-mail application.
- Establish procedures to instruct the patient to follow
up in person or by phone for requests that do not
meet content guidelines. Lengthy e-mail messages or
prolonged correspondence with a patient may necessitate
scheduling an appointment with the patient or
calling the patient.
- Establish a policy for e-mail turnaround time. The
policy should prioritize e-mail messages by type of
request, clearly identifying what may constitute an urgent
or emergent request. It should also include actions
to take when the turnaround time is not met.
- Develop a policy and educate patients about appropriate
types of e-mail (e. g., prescription refills, appointment
scheduling, lab results).
- Laws regarding e-mail communication may vary between
states. Research your state's laws and those of
surrounding states regarding the use of e-mail for
medical treatment. (Alllaw. com is a Web site for researching
state laws regarding the use of e-mail for
medical treatment.)
- Develop a policy that addresses security issues when
using remote access. Providers must not communicate
with patients in the context of their professional relationship
using personal e-mail accounts such as
America Online, Earthlink, or any other nonemployer
e-mail system.
- Develop a policy that addresses the following topics
that should not be discussed in e-mail transactions
and procedures that include a response to patients
whose e-mail addresses these issues:
-Protected diagnoses or treatments such as mental
health or chemical health (based on state or federal
privacy regulations)
-HIV status
-Workers' compensation injuries and disability
-Urgent health conditions
- Develop and enforce policies defining and prohibiting
emergency e-mail messages.
- Develop procedures addressing a workable documentation
mechanism for responding to an e-mail
via telephone call and responding to a telephone call
via e-mail.
- Develop a policy and procedure to guide termination
of a patient from e-mail communication (e. g., patient
notice, registration indicator).
- Establish a methodology to audit all e-mail correspondence
to ensure appropriate
-Customer service
-Quality of care provided via the e-mail communication
-Quality of the response provided to the patient via
e-mail
-Review for possible legal risk issues
-Patient privacy and confidentiality
-Tracking e-mail messages returned because of incorrect
address
- Organizational procedures for cleaning computer
hard drives must be established and enforced.
- Update current confidentiality policies to incorporate
references to e-mail if they are not already in place.
(See Appendix A, "HIM Managers Tasks and Skills with
Regard to Administrative-Medicolegal Risks.")
E-mail Recommendations
Patient Education: Confidentiality Recommendations
- Inform patients regarding practices of screening e-mail
(e. g., if office personnel screen e-mail for the
provider). Point out the need for the patient to develop
privacy practices. Point out that patients are
charged with the responsibility to handle their information
in a secure manner.
- Instruct patients regarding the type of information
that must be included in the e-mail message. The subject
line should include the category or type of request
to facilitate prioritizing and routing messages (e. g., appointment,
prescription refill, lab results). The specific
provider's name should be included as well.
- Define patient identifiers, besides the patient's full
legal name, that will be used to verify patient identity
and facilitate filing in the electronic or paper medical
record. Suggested patient identifiers are
-Date of birth
-Last four to six digits of social security number
-Phone number
-Mother's maiden name
-Password created by the patient
Organization procedures must support the retention
of these data elements in the patient registration system,
and e-mail templates may include these items on the
form as prompts to the patient.
- Inform patients that the provider will terminate e-mail
correspondence with patients who repeatedly do
not adhere to the written e-mail guidelines.
- It is a commonly accepted axiom that communication
is 7 percent words, 38 percent voice, and 55 percent
body language. If this axiom is true, e-mail must be
considered to be a communication media with limited
effectiveness. Providers communicating via e-mail
must be aware of its limitations and adjust their communication
accordingly.
- Inform patients about the risk of loss of confidentiality
when using their employer's e-mail account.
- Inform patients in advance if e-mail messages may be
forwarded to other clinics/providers (e. g., referrals).
- Inform patients that e-mail communications are retained
as part of the patient's permanent legal medical
record.
- Inform the patient about indemnity for information
loss due to technical failures.
- Patients should be educated about the appropriate
types of transactions for e-mail communications. E-mail
templates may be created to assist the patient in
identifying the type of request (e. g., check boxes). Examples
of when e-mail is appropriate include
-Prescription renewals
-Nonurgent medical advice
-Test results, based on professional judgment
-Insurance inquiries
-Benefit information
-Provider network information
-Billing information
-Scheduling/canceling/rescheduling appointments
-Clinic/provider changes
-Other nonurgent communication
- Document patient education in the patient's medical
record and reference education materials given to
the patient.
Electronic Document Management Recommendations
E-mail must be treated like any other healthcare organizational
business record (e. g., patient medical record,
patient financial record, employee record) because it is
subject to the same course of evidentiary discovery and
has a life cycle that requires management guidelines
(i. e., it is created, indexed, searched, retrieved, routed,
stored, and purged).
E-mail management is an enormous, complex problem.
This problem is expected to get worse as the numbers
and types of senders and receivers (e. g., providers and
patients) increase exponentially. Therefore, the following
guidelines are recommended:
- Identify existing, enterprise-wide repositories that
securely store (or should store) e-mail records and attachments
that merit evidentiary handling.
- Develop or acquire an easy-to-use yet functionally
robust e-mail management system that includes a centralized
archive. The e-mail management system should
-Have intuitive methods for identifying e-mail classifications
and retention rules. For example, one classification might be healthcare-related information that
is linked directly to the master patient index. Another
classification might be meetings and general business
communication information. Different retention rules
could be linked to each classification group.
-Include dependable search capabilities as well as
fast and efficient access to archives.
-Have an "open architecture" allowing for compatibility
with popular e-mail systems.
-Enforce e-mail archiving policies. For example,
when an individual closes an e-mail and is ready to
discard or save it, a prompt should appear with a
yes-or-no choice asking if the user would like to
make this a part of any of the healthcare organization's
"business" records (e. g., classification of patient
medical records). This "opt in/out" e-mail
capture function can be eliminated if the healthcare
organization declares ahead of time that the e-mail
must always be retained to comply with a regulatory,
legal, or business need (e. g., an e-mail correspondence
between a provider and a patient). In
addition, this function can be managed in the background
using Web technology so that, for example,
each new patient added to the master patient index
triggers a domain name, with all inbound and outbound
e-mail captured for patientname. com.
-Include retention rules that are triggered automatically
by actions. This includes automatically deleting
or encrypting a "patient class" of e-mail after X
number of days/months/years so it cannot be accessed.
(Note: Never archive encrypted e-mail
records for fear of losing the algorithms or keys.)
- Create appropriate rules, policies, and procedures specific
to each organization upon system deployment to
eliminate the risk of purging e-mail attachments in a
storage crisis. These systems quickly become overwhelmed
by metadata and attachments.
- Establish a methodology to meet HIPAA's requirement
for providing an accounting of disclosures.
(See also Appendix D, "Summary of Best Practices for
Provider-Patient E-mail Communication.")
Notes
- American Medical Association. "Guidelines for
Physician-patient Electronic Communication." Available
at www. ama-assn. org/ama/pub/category/2386. html.
- Institute of Medicine. "Key Capabilities of an Electronic
Health Record System: Letter Report." Available at
http://books. nap. edu/books/NI000427/html/index. html.
- Kohn, D. "E-mail: Treat It as Just Another Record."
Advance for HIM Professionals. Available at www. advanceforhim.
com/common/editorialsearch/viewer. aspx?
FN= 02oct28_ hip33. html& AD= 10/28/2002& FP= hi.
- Kahn, R. "Beyond HIPAA: The Complexities of
Electronic Records Management." Journal of AHIMA
74, no. 4 (2003). Available in the FORE Library: HIM
Body of Knowledge at www. ahima. org.
- "Handhelds Hot, E-mail Not for US Physicians." Press
release issued Nov. 4, 2002, by the Healthcare Information
and Management Systems Society. Available at
http://www. himss. org/ASP/ContentRedirector. asp? ContentId=
23146.
- "Health Insurance Portability and Accountability Act
of 1996." Public Law 104-191. August 21, 1996. Available
at http://aspe. hhs. gov/admnsimp/.
- "Final Rule for Security Standards." Federal Register
68, no. 34 (February 20, 2003). Available at
http://www. access. gpo. gov/su_ docs/fedreg/a030220c. html.
- Rognehaugh, A., and R. Rognehaugh. Healthcare IT
Ter ms. Chicago: Healthcare Information and Management
Systems Society, 2001.
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Prepared by
This practice brief was developed by the following
AHIMA e-HIM work group:
Marti Adkins, RHIA
Nancy Russell Cardamone, RHIA
Ray Chien, MS
Angela Clark, RHIA
Lynn Crothers, RHIT
Carmella Jackson, MS, RHIA, NMCC
Stephanie John, RHIA
Bassam Kawwass, RHIA
Sandra Kersten, RHIA
Gail Kraft, RHIA
Catherine Krawetz, RHIT, CCS
Lynda Mitchell, RHIA, CPHQ
David Mozie, PhD, RHIA
Deborah Nieves, RHIA
Harry Rhodes, MBA, RHIA, CHP (staff)
David Sweet (staff)
Mary Stanfill, RHIA, CCS, CCS-P (staff)
Acknowledgements For assistance in the development of this practice brief:
Deborah Kohn, MPH, RHIA, CHE, CPHIMS, FHIMSS
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