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CIHI Submission: 2011 Prescribed Entity Review - PDF
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1 pic pic CIHI Submission: 2011 Prescribed Entity Review October 2011
3 Table of Contents Introduction... 1 Background... 1 Review Process... 2 Part 1 Privacy Documentation... 5 General Privacy Policies, Procedures and Practices Privacy Policy in Respect of CIHI s Status as Prescribed Entity Policy and Procedures for Ongoing Review of Privacy Policies, Procedures and Practices Policy on the Transparency of Privacy Policies, Procedures and Practices... 9 Collection of Personal Health Information Policy and Procedures for the Collection of Personal Health Information List of Data Holdings Containing Personal Health Information Policy and Procedures for Statements of Purpose for Data Holdings Containing Personal Health Information Statements of Purpose for Data Holdings Containing Personal Health Information Use of Personal Health Information Policy and Procedures for Limiting Employee Access To and Use of Personal Health Information Log of Employees Granted Approval to Access and Use Personal Health Information Policy and Procedures for the Use of Personal Health Information for Research Log of Approved Uses of Personal Health Information for Research Disclosure of Personal Health Information Policy and Procedures for Disclosure of Personal Health Information for Purposes other than Research Policy and Procedures for Disclosure of Personal Health Information for Research Purposes and the Execution of Research Agreements Template Research Agreement Log of Research Agreements Data Sharing Agreements Policy and Procedures for the Execution of Data Sharing Agreements Template Data Sharing Agreement Log of Data Sharing Agreements Agreements with Third Party Service Providers Policy and Procedures for Executing Agreements with Third Party Service Providers in Respect of Personal Health Information Template Agreement for All Third Party Service Providers Log of Agreements with Third Party Service Providers Data Linkage Policy and Procedures for the Linkage of Records of Personal Health Information Log of Approved Linkages of Records of Personal Health Information Data De identification Policy and Procedures with Respect to De identification and Aggregation Privacy Impact Assessments Privacy Impact Assessment Policy and Procedures Log of Privacy Impact Assessments Privacy Audit Program Policy and Procedures in Respect of Privacy Audits... 28
4 28. Log of Privacy Audits Privacy Breaches, Inquiries and Complaints Policy and Procedures for Privacy Breach Management Log of Privacy Breaches Policy and Procedures for Privacy Complaints Log of Privacy Complaints Part 2 Security Documentation General Security Policies and Procedures Information Security Policy Policy and Procedures for Ongoing Review of Security Policies, Procedures and Practices Physical Security Policy and Procedures for Ensuring Physical Security of Personal Health Information Log of Employees with Access to the Premises of the Prescribed Person or Prescribed Entity Retention, Transfer and Disposal Policy and Procedures for Secure Retention/Storage of Records of Personal Health Information Policy and Procedures for Secure Retention of Records of Personal Health Information on Mobile Devices Policy and Procedures for Secure Transfer of Records of Personal Health Information Policy and Procedures for Secure Destruction of Records of Personal Health Information Information Security Policy and Procedures Relating to Passwords Policy and Procedures for Maintaining and Reviewing System Control and Audit Logs Policy and Procedures for Patch Management Policy and Procedures Related to Change Management Policy and Procedures for Back Up and Recovery of Records of Personal Health Information Policy and Procedures on the Acceptable Use of Technology Security Audit Program Policy and Procedures in Respect of Security Audits Log of Security Audits Information Security Breaches Policy and Procedures for Information Security Breach Management Log of Information Security Incidents Part 3 Human Resources Documentation Privacy and Security Training and Awareness Policy and Procedures for Privacy and Security Training and Awareness Log of Attendance at Initial Privacy and Security Orientation and Ongoing Privacy and Security Training 64 Confidentiality Agreement Policy and Procedures for the Execution of Confidentiality Agreements by Employees Template Confidentiality Agreement with Employees Log of Executed Confidentiality Agreements with Employees Responsibility for Privacy and Security Job Description for the Chief Privacy Officer Job Description for the Vice President and Chief Technology Officer Termination of Relationship Policy and Procedures for Termination or Cessation of the Employment or Contractual Relationship Discipline Policy and Procedures for Discipline and Corrective Action Part 4 Organizational and Other Documentation... 70
5 Governance Privacy and Security Governance and Accountability Framework Terms of Reference for Committees with Roles with Respect to the Privacy Program and/or Security Program Risk Management Corporate Risk Management Framework Corporate Risk Register Policy and Procedures for Maintaining a Consolidated Log of Recommendations Consolidated Log of Recommendations Business Continuity and Disaster Recovery Business Continuity and Disaster Recovery Plan PHIPA Review Indicators Part 1 Privacy Indicators Part 2 Security Indicators Part 3 Human Resources Indictors Part 4 Organizational Indicators Approved Data Linkages. 95 Privacy Impact Assessment Log CIHI S Privacy Impact Assessment Program Summary of Recommendations CIHI s Privacy Audit Program Physical TRA Assessment CIHI S Security Audit Program InfoSec Staff Awareness, Education and Communication Log Affidavit Table of Contents 3
7 CANADIAN INSTITUTE FOR HEALTH INFORMATION Introduction The Canadian Institute for Health Information ( CIHI ) is an independent, not for profit, pan Canadian organization whose mandate, as agreed to by the federal, provincial and territorial Ministers of health, is to analyze and provide accurate and timely information to establish sound health policy, to effectively manage the health system and to generate public awareness about factors affecting good health. Further to this mandate, CIHI collects and analyses personal health information and reports on health system performance, health spending, health human resources and population health in order to improve health system performance and to improve the health of Canadians. In order to support its national mandate, CIHI has offices located in Ottawa and Toronto in addition to regional offices in Victoria, Montreal and St. John s. Background The Personal Health Information Protection Act, 2004 (the Act) came into effect on November 1, The Information and Privacy Commissioner of Ontario has been designated as the oversight body responsible for ensuring compliance with the Act. The Act establishes rules for the collection, use and disclosure of personal health information by health information custodians that protect the confidentiality of, and the privacy of individuals with respect to, that personal health information. In particular, the Act provides that health information custodians may only collect, use and disclose personal health information with the consent of the individual to whom the personal health information relates or as permitted or required by the Act. Subsection 45(1) of the Act permits health information custodians to disclose personal health information without consent to certain prescribed entities for the purpose of analysis or compiling statistical information with respect to the management of, evaluation or monitoring of, the allocation of resources to or planning for all or part of the health system, including the delivery of services, provided the prescribed entities meet the requirements of subsection 45(3). Subsection 45(3) of the Act requires each prescribed entity to have in place practices and procedures to protect the privacy of individuals whose personal health information it receives and to maintain the confidentiality of that information. Subsection 45(3) further requires each prescribed entity to ensure that these practices and procedures are approved by the IPC in order for health information custodians to be able to disclose personal health information to the prescribed entity without consent and for the prescribed entity to: be able to collect personal health information from health information custodians; use personal health information as if it were a health information custodian for the purposes of paragraph 37(1)(j) or subsection 37(3) of the Act; Background 1
8 disclose personal health information as if it were a health information custodian for the purposes of sections 44, 45 and 47 of the Act; disclose personal health information back to health information custodians who provided the personal health information; and disclose personal health information to governmental institutions of Ontario or Canada as if it were a health information custodian for the purposes of section 43(1) (h). CIHI was first recognized as a prescribed entity on October 31, 2005 and, following a second statutory review by the Information and Privacy Commissioner of Ontario, CIHI had its status renewed on October 31, While the Commissioner was satisfied that CIHI had practices and procedures in place that sufficiently protected the privacy of individuals whose personal health information it received, in both instances the Commissioner did make certain recommendations to further enhance these practices and procedures. The recommendations made during the 2005 and 2008 reviews to enhance CIHI s privacy and security program have all been addressed by CIHI. Subsection 18(2) of Regulation 329/04 to the Act further requires each prescribed entity to make publicly available a plain language description of its functions. This includes a summary of the practices and procedures to protect the privacy of individuals whose personal health information it receives and to maintain the confidentiality of that information. In addition, subsection 18(7) of Regulation 329/04 to the Act permits CIHI to disclose personal health information to a person outside Ontario where the disclosure is for the purpose of health planning or health administration; the information relates to health care provided in Ontario to a person who is a resident of another province or territory of Canada; and the disclosure is made to the government of that province or territory. Review Process Subsection 45(4) of the Act requires that the practices and procedures implemented by CIHI to protect the privacy of individuals whose personal health information it received and to protect the confidentiality of that information must be reviewed by the Information and Privacy Commissioner of Ontario every three years. Subsection 45(4) of the Act also requires that such approvals are required in order for a health information custodian to be able to continue to disclose personal health information to CIHI and for CIHI to be able to continue to collect, use and disclose personal health information as permitted by the Act and its Regulation. The Information and Privacy Commissioner of Ontario has prepared the Manual For The Review and Approval of Prescribed Persons and Prescribed Entities (the IPC Manual) which outlines the new review process to be followed, commencing January 31, The IPC Manual sets out in detail the requirements imposed on such entities arising from the new review process. This Report is the result of an iterative review process between CIHI and the Office of the Information and Privacy Commissioner of Ontario, as well as telephone discussions and meetings between officials of 2 Background
9 the two organizations held on April 19, 2010, May 20, 2010, March 2011 and May 5, 2011, where CIHI s Chief Privacy Officer provided additional information which would enable the IPC/Ontario to satisfy itself fully of the means by which CIHI has met the requirements under PHIPA and in the Manual. Throughout the IPC Manual, prescribed entities are asked to comment on overall compliance and audit processes across a span of corporate wide activities. CIHI has chosen to address this here. At CIHI, all employees are expected to comply with the terms and conditions of all CIHI policy instruments. Compliance is enforced through various means depending on the policy itself. For example, the President and CEO, via the Director of Human Resources and Administration, is responsible to ensure compliance with CIHI s Code of Business Conduct. CIHI implemented in 2010 a Code of Business Conduct that describes the ethical and professional behaviour related to work relationships, information, including personal health information, and the workplace. In particular, the Code spells out the general obligations imposed on CIHI employees around the rules of use and disclosure of personal health information. This includes obligations to comply with all privacy and security policies and procedures. The Code applies to members of CIHI s Board of Directors and its staff.. The Code does not apply to external consultants or third party service providers. However, similar obligations are contained in agreements that are used to retain these individuals, and these agreements also contain breach provisions. It requires all individuals to comply with the Code and all CIHI s policies, protocols and procedures. Violations of the Code may result in disciplinary action up to and including dismissal. All employees are responsible to report actual, potential or suspected violations of the Code of Conduct to their immediate supervisor. Employees, on a biennial basis, are required to reaffirm that they have read and will comply with the terms of the Code. The Code is distributed to each new employee upon commencement of his or her employment. Moreover, compliance with CIHI s privacy and security programs is monitored in various ways. The goal of CIHI s Privacy Audit Program is to ensure compliance with its statutory privacy requirements, contractual obligations and privacy policies and procedures. The Privacy Audit Program is also designed to ensure that external third parties who enter into an agreement with CIHI meet their contractual obligations. CIHI has implemented a risk based audit program and developed criteria to be used in the selection of privacy audit activities. In addition to CIHI s Privacy Audit Program, CIHI s Information Security Audit Program is designed to assess the following: Compliance with information security policies, standards, guidelines and procedures, Technical compliance of information processing systems with best practices and published architectural and security standards, Inappropriate use of information processing systems, Inappropriate access to information or information processing systems, Security posture of CIHI s technical infrastructure, including networks, servers, firewalls, software and applications, and Background 3
10 CIHI s ability to safeguard against threats to its information and information processing systems. Other means of monitoring compliance include the logging of privacy and security incidents and through Human Resources. Pursuant to the IPC Manual, CIHI must submit a detailed written report and sworn affidavit to the Information and Privacy Commissioner of Ontario by January 10, 2011, in order to have its status renewed. The following is CIHI s submission. 4 Background
11 Part 1 Privacy Documentation General Privacy Policies, Procedures and Practices 1. Privacy Policy in Respect of CIHI s Status as Prescribed Entity Home to 27 databases (see CIHI s Products and Services Guide), CIHI is a leading source of unbiased, credible and comparable information. CIHI has developed, therefore, an overarching privacy policy that sets out its commitment to protect the privacy of individuals whose personal health information it receives. This commitment is at the core of all of CIHI s practices and informs CIHI s actions and decisions at all levels of the organization. The Privacy and Security Framework, 2010, is the backbone of CIHI s overall privacy program which also includes CIHI s Privacy Policy, 2010, and other privacy specific policies, procedures and protocols. Status under the Act Section 45 of the Act allows health information custodians to disclose personal health information to prescribed entities and authorizes prescribed entities to collect personal health information for the purposes of analysis or the compiling of statistical information for the planning and management of a health system. In order to be a prescribed entity, CIHI must have policies, practices and procedures to protect the privacy of individuals whose information it receives and to maintain the confidentiality of the information. These policies must be approved by the Information and Privacy Commissioner of Ontario. The policies, practices and procedures are subject to review by the Information and Privacy Commissioner of Ontario every three years; this report forms part of that review process. CIHI s Privacy and Security Framework, 2010, sets out CIHI s status as a prescribed entity under section 45 of the Act. The Framework describes how CIHI has implemented policies, procedures and practices to protect privacy and the confidentiality of the information it receives and for ongoing review of these privacy policies, procedures and practices. Privacy and Security Accountability Framework CIHI recognizes the vital importance of a clear accountability framework to ensure compliance with its own privacy and security policies, practices and procedures, as with the Act and its Regulation. Accountability must start at the top of the organization and therefore CIHI s Privacy and Security Framework, 2010, clearly indicates that the President and Chief Executive Officer is ultimately accountable for such compliance. It also clearly indicates that day to day authority to manage the privacy program and security program has been delegated to the Chief Privacy Officer and the Vice President and Chief Technology Officer respectively. The duties and functions of the key privacy and security roles and structures are clearly articulated in section 2 of CIHI s Privacy and Security Framework, Part 1 Privacy Documentation 5
12 Finally, both the Framework and CIHI s Privacy Policy, 2010, clearly state that CIHI remains responsible for the personal health information used by its employees 1. More specifically, CIHI policies, procedures and practices ensure that its employees only collect, use, disclose, retain and dispose of personal health information in compliance with the Act and its Regulation and in compliance with CIHI s privacy and security programs. Collection of Personal Health Information Entities prescribed under section 45 of the Act are permitted to collect personal health information that is disclosed to them for the purpose of analysis or compiling statistical information with respect to the management of, evaluation or monitoring of, the allocation of resources to or planning for all or part of the health system, including the delivery of services. Section 1 of CIHI s Privacy Policy, 2010, identifies the purposes for which personal health information is collected, the types of personal health information collected and the persons or organizations from which personal health information is typically collected. These identified purposes are all consistent with the Act. Further, section 2 of the Privacy Policy, 2010, articulates CIHI s commitment not to collect personal health information if other information will serve the purpose and not to collect more personal health information than is reasonably necessary to meet the purpose. Use of Personal Health Information Although subsection 45(6) of the Act provides that CIHI may only use the personal health information it receives for the purposes for which it was received, it also provides that it may use the information for research provided that it meets the research related requirements set out in subsection 37(3). Section 1 and 2 of CIHI s Privacy Policy, 2010, identify the purposes for which CIHI uses personal health information and distinguishes between the use of personal health information and the use of de identified and/or aggregate information. In fact, all of CIHI s uses are consistent with the uses of personal health information permitted by the Act and its Regulation. Further, section 3 of CIHI s Privacy Policy, 2010, articulates CIHI s commitment not to use personal health information if other information will serve the purpose and not to use more personal health information than is reasonably necessary to meet the purpose. CIHI does not use personal health information for research purposes as contemplated by paragraph 37(1)(j) of the Act. 1. Employees, for purposes of access and use of personal health information, include staff, external consultants or other third party service providers, on a need to know basis when required to perform their duties and/or services. 6 Part 1 Privacy Documentation
13 Disclosure of Personal Health Information The Act permits a prescribed entity to disclose personal health information for research purposes in compliance with section 44 of the Act, to another prescribed entity for planning and management of the health system in compliance with section 45 of the Act and to a health data institute in compliance with section 47 of the Act. Permissible disclosures include disclosures to prescribed persons for purposes of facilitating or improving the provision of health care pursuant to section 39(1)(c) of the Act and subsection 18(4) of the Regulation. It further permits a prescribed entity to disclose personal health information back to health information custodians who provided the personal health information and to disclose personal health information to governmental institutions of Ontario or Canada as if it were a health information custodian for purposes of paragraph 43(1)(h), if permitted or required by law. The disclosure of personal health information back to the health information custodian that provided the personal health information must not contain additional identifying information as required pursuant to subsection 18(4) of the Regulation. In addition, subsection 18(7) of Regulation 329/04 to the Act permits CIHI to disclose personal health information to a person outside Ontario where the disclosure is for the purpose of health planning or health administration; the information relates to health care provided in Ontario to a person who is a resident of another province or territory of Canada; and the disclosure is made to the government of that province or territory. Section 40 of CIHI s Privacy Policy, 2010, sets out clear rules for the disclosure of personal health information and the statutory requirements that must be satisfied prior to such disclosures. Sections 40 and 45 of CIHI s Privacy Policy, 2010, clearly distinguish between the purposes for which and the circumstances in which personal health information is disclosed and the circumstances in which and the purposes for which de identified and/or aggregate information is disclosed. Further, section 51 states that, prior to disclosure, programs areas will evaluate the de identified data to assess and subsequently minimize privacy risks of re identification and residual disclosure, and to implement the necessary mitigating measures to manage residual risks. Finally, as with collection and use, section 45 of CIHI s Privacy Policy, 2010, articulates its commitment not to disclose personal health information if and when aggregate or de identified record level data will serve the purpose. In all instances CIHI is committed to only disclosing the amount of information that is reasonably necessary to meet the purpose. The Policy further identifies procedures to this end. Secure Retention, Transfer and Disposal of Records of Personal Health Information Section 4 d. of CIHI s Privacy and Security Framework, 2010, addresses, at a high level, the secure retention of records in both paper and electronic form. It recognizes that information is only secure if it is secure throughout its entire lifecycle: creation and collection, access, retention and storage, use, disclosure and disposition. Accordingly, CIHI has a comprehensive suite of policies that specifies the necessary controls for the protection of information in both physical and electronic formats, up to and including robust encryption and secure destruction. This suite of policies and the associated standards, Part 1 Privacy Documentation 7
14 guidelines and operating procedures reflect best practices in privacy, information security and records management for the protection of the confidentiality, integrity and availability of CIHI s information assets. Section 3 of CIHI s Privacy Policy, 2010, states that, consistent with its mandate and core functions, CIHI may retain personal health information and de identified data recorded in any way regardless of format or media, for as long as necessary to meet the identified purposes, with the exception of ad hoc linked data, which will be destroyed in a manner consistent with section 29 of the Policy. The manner in which records of personal health information will be securely transferred and disposed of is detailed in CIHI s Privacy Policy Procedures Preferred Methods of Dissemination and the Secure Destruction Policy and the related Information Destruction Standard. Implementation of Administrative, Technical and Physical Safeguards Section 4 d. of CIHI s Privacy and Security Framework, 2010, clearly states that CIHI has in place administrative, technical and physical safeguards to protect the privacy of individuals whose personal health information CIHI receives and to maintain the confidentiality of that personal health information, and references the suite of policies CIHI has implemented to this end. These safeguards, or controls, include but are not limited to confidentiality agreements, encryption technologies, physical access controls to CIHI premises in addition to various steps taken to protect personal health information against theft, loss and unauthorized use or disclosure and to protect records of personal health information against unauthorized copying, modification or disposal. Part 2 of this Report entitled Security Documentation, outlines many of the safeguards implemented by CIHI. Inquiries, Concerns or Complaints Related to Information Practices Section 64 of CIHI s Privacy Policy, 2010, identifies the Chief Privacy Officer as the contact person to whom individuals can direct inquiries, concerns or complaints relating to CIHI s privacy policies, procedures and practices, as well as CIHI s compliance with the Act and its Regulation. Section 65 of the Policy also specifies that individuals may direct complaints regarding such compliance to the Privacy Commissioner of the appropriate jurisdiction, including to the Information and Privacy Commissioner of Ontario, as the case may be. Transparency of Practices in Respect of Personal Health Information Section 66 of CIHI s Privacy Policy, 2010, identifies that individuals may obtain further information in relation to CIHI s privacy policies, procedures and practices from the Chief Privacy Officer. 2. Policy and Procedures for Ongoing Review of Privacy Policies, Procedures and Practices CIHI is committed to the ongoing review of its privacy policies, procedures and practices in order to determine whether any amendments are needed or whether new privacy policies, procedures and practices are required. CIHI s Privacy and Security Framework, 2010, clearly sets out that the CPO and the CTO will assume the responsibility to coordinate the review of all privacy and security policies respectively. The review will 8 Part 1 Privacy Documentation
15 take place at least yearly. As indicated in CIHI s Privacy and Security Framework, 2010, the CPO and/or the CTO will ensure that the required approval process is followed. In the case of material changes to the Privacy Policy, 2010, approval from CIHI s Board of Directors is required. In other cases, the approval process and the extent of internal and external communication are dependent on the nature of the document and may require approval, for example, by the Executive Committee, Senior Management Committee or other internal committee. In undertaking the review and determining whether amendments and/or new privacy policies, procedures and practices are necessary, the Privacy and Security Framework, 2010, indicates that updates or changes to CIHI s privacy policies, procedures and practices will take into consideration: Any orders, guidelines, fact sheets and best practices issued by the Information and Privacy Commissioner of Ontario under the Act and its Regulation; Evolving industry privacy standards and best practices; Amendments to the Act and its Regulation relevant to the prescribed person or prescribed entity; Recommendations arising from privacy and security audits, privacy impact assessments and investigations into privacy complaints, privacy breaches and information security breaches; Whether the privacy policies, procedures and practices of the prescribed person or prescribed entity continue to be consistent with its actual practices; and Whether there is consistency between and among the privacy and security policies, procedures and practices implemented. CIHI will communicate all updates or changes by ensuring that all documents available on the Internet are current and continue to be made available to the public and other stakeholders. As for internal communication to staff, this is guided by the Privacy and Security Training Policy which clearly stipulates at sections 4 and 5 that the CPO and CTO will be responsible for determining the content of privacy and security training. Transparency Regulation 329/04, s. 18 (2) to the Act provides that an entity that is a prescribed entity for the purposes of subsection 45 (1) of the Act shall make publicly available a plain language description of the functions of the entity including a summary of the practices and procedures described in subsection 45 (3) of the Act. 3. Policy on the Transparency of Privacy Policies, Procedures and Practices CIHI s commitment to transparency and accessibility is prevalent throughout its key policy instruments. For example, section 2 b. of CIHI s Privacy and Security Framework, 2010, describes CIHI s commitment to the principle of openness and transparency, and describes generally the information made available to the public and other stakeholders relating to CIHI s privacy policies, practices and procedures, and identifies the means or media by which this information is made available. As such, CIHI makes the Framework and it privacy and security policies, including the Privacy Policy, 2010, accessible to the Part 1 Privacy Documentation 9
16 public through its external website ( Other documentation is also available publicly such as CIHI s Privacy and Confidentiality brochure, documentation related to the review by the Information and Privacy Commissioner of Ontario of the policies, procedures and practices implemented by CIHI to protect the privacy of individuals whose personal health information is received and to maintain the confidentiality of that information and a list of the data holdings of personal health information maintained by CIHI. Included in this material is the name and/or title, mailing address and contact information of the Chief Privacy Officer to whom inquiries, concerns or complaints regarding compliance with the privacy policies, procedures and practices implemented and regarding compliance with the Act and its Regulation may be directed. In addition, CIHI s Privacy Impact Assessment Policy requires that, once approved, the CPO makes privacy impact assessments publicly available, including posting on the CIHI external website where and when appropriate to do so. This comprehensive approach ensures that CIHI s status as a prescribed entity under the Act, the duties and responsibilities arising from this status and the privacy policies, procedures and practices implemented in respect of personal health information are accessible and available to the public. Collection of Personal Health Information Entities prescribed under section 45 of the Act are permitted to collect personal health information that is disclosed to them by health information custodians for the purpose of analysis or compiling statistical information with respect to the management of, evaluation or monitoring of, the allocation of resources to or planning for or part of the health system, including the delivery of services. 4. Policy and Procedures for the Collection of Personal Health Information Sections 1 and 2 of CIHI s Privacy Policy, 2010, identifies the purposes for which CIHI collects personal health information, the nature of the personal health information that is collected, and from whom the personal health information is typically collected. Section 4 d. of CIHI s Privacy and Security Framework, 2010, articulates CIHI s commitment to the secure collection of personal health information, which is supported by a comprehensive suite of policies and procedures. More specifically, CIHI has developed a Health Data Collection Standard that offers options for the secure transmittal to CIHI of personal health information, based on industry best practices. Review and Approval Process for Collection Program area staff, in developing their programs and activities, establishes data requirements with their relevant stakeholders, including minimum data sets. As well, in many cases, external Advisory Committees comprising representatives from the data providing organizations and other key stakeholders provide advice and guidance on the development and implementation of the particular program. Moreover, CIHI is committed at all times, as stated in sections 1 and 2 of CIHI s Privacy Policy, 2010, to minimal data collection. 10 Part 1 Privacy Documentation
17 Secure Retention of Personal Health Information Collected Section 4 d. of CIHI s Privacy and Security Framework, 2010, articulates CIHI s commitment to the secure retention of personal health information, which is supported by a comprehensive suite of policies and procedures. Secure Transfer of Collected Personal Health Information As stated above, CIHI has developed Health Data Submission Guidelines that offer options for the secure transmittal to CIHI of personal health information, based on best practices. The manner in which records of personal health information is disseminated is detailed in the Privacy Policy Procedures Preferred Methods of Dissemination. Secure Return and Disposal of Collected Personal Health Information Section 6 of CIHI s Privacy Policy, 2010, states that, consistent with its mandate and core functions, CIHI may retain personal health information for as long as necessary to meet the identified purposes. At such time as personal health information is no longer required for CIHI s purposes, it is disposed of in compliance with CIHI s Secure Destruction Policy and the related Information Destruction Standard. 5. List of Data Holdings Containing Personal Health Information CIHI maintains an up to date list of and brief description of its data holdings of personal health information. This may be found in the Products and Services Guide as well as in other documentation available on CIHI s external website relating to its collection activities. A more detailed description of the purpose of the data holding, the personal health information contained in the data holding, the sources(s) of the personal health information and the need for the personal health information in relation to the identified purpose is found in the Privacy Impact Assessments which have been completed for all databases containing personal health information. 6. Policy and Procedures for Statements of Purpose for Data Holdings Containing Personal Health Information As previously indicated, the Products and Services Guide provides a description of CIHI s data holdings, including the purpose for those holdings, and is updated annually and published on CIHI s external website ( Furthermore, sections 1 and 2 of CIHI s Privacy Policy, 2010, state the overall intended purposes of its data holdings, which is consistent with CIHI s pan Canadian mandate. Moreover, data holding specific purpose statements are clearly articulated in every Privacy Impact Assessment, which are updated regularly and made readily available on CIHI s external website ( CIHI recently developed a new tool whereby each privacy impact assessment has a front section entitled 10 Quick Facts about this Database. This particular synopsis was developed to give the general public a quick view and understanding of the data holding and its purpose, scope and usefulness. Part 1 Privacy Documentation 11
18 7. Statements of Purpose for Data Holdings Containing Personal Health Information As described above, statements of purposes for all CIHI data holdings containing personal health information is routinely made available to the public through CIHI s external website and is addressed generally through our communication program and through the Privacy Impact Assessment Policy. Use of Personal Health Information 8. Policy and Procedures for Limiting Employee Access To and Use of Personal Health Information CIHI ensures that all access to and use of the personal health information in its data holdings is consistent with the Act and its Regulation. Section 7 of CIHI s Privacy Policy, 2010, states that CIHI uses personal health information and de identified data in a manner consistent with its mandate and core functions, and in compliance with all applicable legislation, including privacy legislation. Moreover, section 10 of CIHI s Privacy Policy, 2010, clearly sets out that access to personal health information by CIHI s employees is limited to a need to know basis when required to perform their duties and/or services, and only after they have met the mandatory education requirements in the areas of privacy and security. This mandatory education requirement extends to certain external consultants and other third party service providers as set out in section 12 of CIHI s Privacy Policy, 2010, where these individuals require access to CIHI data or information systems, as defined in CIHI s Acceptable Use Policy. CIHI has segregated the roles and responsibilities of employees, where feasible and possible, based on a need to know principle, to avoid a concentration of privileges. Review and Approval Analysis at CIHI is generally conducted with the use of record level data, where the health card number has been removed or encrypted. In exceptional instances, Program Area staff will require access to unencrypted health card numbers and personal health information. In both these instances, section 10 of CIHI s Privacy Policy Procedures set out strict controls to ensure the request is duly submitted, access is approved at the appropriate level and in the appropriate circumstances, and that the principle of data minimization is adhered to at all times. The entire request and approval processes are documented as per sections 10.1 to of CIHI s Privacy Policy Procedures. For example, employees identifying a need for access to data must provide a demonstrable justification. Pursuant to section 10.5 of CIHI s Privacy Policy Procedures, the Program Area Directors or Managers must consider the following in approving access: Is access specifically required by the individual(s) to perform job duties and responsibilities? Is the purpose for access generally consistent with CIHI s mandate? Is the access for a short term period? Is access being requested to perform a data linkage? 12 Part 1 Privacy Documentation
19 Can the Service Recipient Index 2 (SRI) be used? Is there an alternate solution/option that can be used? Tracking Approved Access to and Use of Personal Health Information Once approved, access requests are documented and forwarded to Information Technology and Services (ITS), whose responsibility it is to log and track access requests, grant employees with the appropriate level of access (i.e., read only ), prepare the necessary data files, and at the end of the access period, revoke access. Access is automatically terminated yearly as a result of CIHI s internal data access audit, and Managers and/or Directors are required to re approve access requests. Only in certain circumstances is access extended, where employees are able to demonstrate continued need for access. CIHI has implemented a well structured off boarding process which is key to ensuring prompt and timely revocation of access privileges to CIHI s premises and networks, including CIHI s data holdings. In the case of employees who are transferring from one department to another and no longer have a need to access the previously approved data, the previous manager removes all file or folder access to the transferred employee as set out in CIHI s Internal Employee Movement Action Checklist. Secure Retention and Destruction of Accessed/Used Records When access is approved, files are managed to the end of their lifecycle in a manner that is consistent with section 4.d of CIHI s Privacy and Security Framework, Section 4.d recognizes that information is only secure if it is secure throughout its entire lifecycle: creation and collection, access, retention and storage, use, disclosure and disposition. Accordingly, CIHI has a comprehensive suite of policies that specifies the necessary controls for the protection of information in both physical and electronic formats, up to and including robust encryption and secure destruction. This suite of policies and associated standards, guidelines and operating procedures reflect best practices in privacy, information security and records management that are also at par with the requirements of the Information and Privacy Commissioner of Ontario 9. Log of Employees Granted Approval to Access and Use Personal Health Information The log of employees granted approval to access and use personal health information is maintained by ITS. It includes the following fields of information: Name of employee; Data holdings to which access and use was granted; Level or type of access and use; The date access and use was granted; and The termination date or the date of the next audit of access and use. 2. The Service Recipient Index is a central repository that assigns a meaningless but unique number to each record that enables or facilitates record linkages at the patient dimension in an anonymized manner. Part 1 Privacy Documentation 13
20 10. Policy and Procedures for the Use of Personal Health Information for Research Not applicable CIHI does not use personal health information for research purposes as contemplated by paragraph 37(1)(j) of the Act. 11. Log of Approved Uses of Personal Health Information for Research Not applicable. Disclosure of Personal Health Information The following sections deal with disclosures of data by CIHI broken down along the following lines: Disclosures of personal health information for purposes other than research; and Disclosures of personal health information for research purposes. Section 37 of CIHI s Privacy Policy, 2010, states very generally that all disclosures must be consistent with CIHI s mandate. It reads as follows: 37. CIHI discloses health information and analyses on Canada s health system and the health of Canadians in a manner consistent with its mandate and core functions. These disclosures typically fall into one of four categories: (a) Disclosures to parties with responsibility for the planning and management of the health care system to enable them to fulfill those functions; (b) Disclosures to parties with a decision making role regarding health care system policy to facilitate their work; (c) Disclosures to parties with responsibility for population health research and/or analysis; and (d) Disclosures to third party data requesters to facilitate health or health services research and/or analysis. Furthermore, section 38 of CIHI s Privacy Policy, 2010, states that CIHI reviews the requests to ensure that all disclosures are consistent with section 37, above, and meet the requirements of applicable legislation including PHIPA. Sections 45 to 47 of CIHI s Privacy Policy, 2010, set out CIHI s commitment to disclose non identifying information before considering the disclosure of personal health information. They read as follows: 45. CIHI data disclosures are made at the highest degree of anonymity possible while still meeting the research and/or analytical purposes. This means that, whenever possible, data are aggregated. 14 Part 1 Privacy Documentation
21 46. Where aggregate data are not sufficiently detailed for the research and/or analytical purposes, data that have been de identified using various de identification processes may be disclosed to the recipient on a case by case basis, and where the recipient has entered into a data protection agreement or other legally binding instrument with CIHI. 47. Only those data elements necessary to meet the identified research or analytical purposes may be disclosed. 12. Policy and Procedures for Disclosure of Personal Health Information for Purposes other than Research CIHI has adopted a uniform approach to the protection of personal health information for both disclosures for research purposes under section 44 of PHIPA and disclosures for purposes of planning and management of the health system under section 45. Once it has been determined that aggregate or de identified data will not serve the intended purpose, the disclosure of personal health information will be contemplated only in limited circumstances and when permissible by law. Section 40 of CIHI s Privacy Policy, 2010, reads as follows: 40. CIHI will not disclose personal health information if other information will serve the purpose of the disclosure and will not disclose more personal health information than is reasonably necessary to meet the purpose. CIHI does not disclose personal health information except under the following limited circumstances and where the recipients have entered into a data protection agreement or other legally binding instrument(s) with CIHI: (a) The recipient has obtained the consent of the individuals concerned; or (b) The recipient is a prescribed entity under Section 45 of Ontario s Personal Health Information Protection Act, 2004 (PHIPA) for the purpose of research or for the purpose of analysis or compiling statistical information with respect to the management of, evaluation or monitoring of, the allocation of resources to or planning for all or part of the health system, including the delivery of services, provided the requirements of PHIPA and CIHI s internal requirements are met; or (c) The recipient is a prescribed person under Subsection 13(1) O.Reg.329/04 of Ontario s PHIPA for the purposes of facilitating or improving the provision of health care, provided the requirements of PHIPA and CIHI s internal requirements are met; or (d) The disclosure is otherwise authorized by law; or (e) The disclosure is required by law. Part 1 Privacy Documentation 15
22 Review and Approval Process CIHI s Privacy Policy Procedures related to sections 40 to 44 of CIHI s Privacy Policy, 2010, designate Privacy and Legal Services as responsible for determining if there is lawful authority for the disclosure of personal health information in a manner consistent with PHIPA. The Privacy Policy Procedures also set out the process, including what documentation must be completed, provided or executed, who is responsible for same, the content of the documentation and to whom it must be provided prior to the disclosure of personal health information in a manner at par with the Information and Privacy Commissioner of Ontario s requirements as set out in the IPC Manual. Further, section 35 of CIHI s Privacy Policy, 2010, requires that when returning personal health information to an original data provider, it shall not contain any additional identifying information to that originally provided. At CIHI, all disclosures of personal health information for purposes other than research must receive approval by the President and Chief Executive Officer. Conditions and Restrictions on the Approval Certain conditions and restrictions must be satisfied prior to CIHI s disclosure of personal health information. The Privacy Policy, 2010, identifies Privacy and Legal Services as responsible for ensuring that these are met. The conditions and restrictions include a requirement for a Data Sharing Agreement or other legally binding instrument to be executed in accordance with section 42 of CIHI s Privacy Policy, The Data Sharing Agreement or other legally binding instrument must contain the following requirements: (a) (b) (c) (d) (e) (f) (g) (h) Prohibits contacting the individuals; Prohibits linking the personal health information unless expressly authorized in writing by CIHI; Limits the purposes for which the personal health information may be used; Requires that the personal health information be safeguarded; Limits publication or disclosure to data that do not allow identification of any individual; Requires the secure destruction of data, as specified; Permits CIHI to conduct on site privacy audits pursuant to its privacy audit program; and Requires the recipient to comply with any other provision that CIHI deems necessary to further safeguard the data. Secure Transfer The manner in which records of personal health information will be securely transferred is detailed in the Privacy Policy Procedures Preferred Methods of Dissemination, and the Health Data Submission Guidelines. 16 Part 1 Privacy Documentation