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For disclosures for judicial and administrative proceedings, can notice be provided to the individual's lawyer instead of the individual?


Yes. A covered entity that is not a party to litigation must obtain or receive the satisfactory assurances required by 45 CFR 164.512(e) before making a disclosure for a judicial or administrative proceeding. Where the satisfactory assurances are in the form of notice to the individual, a written statement and accompanying documentation of notice to the individual’s lawyer is considered to be notice to the individual and, thus, suffices, provided the documentation otherwise meets the requirements of 45 CFR 164.512(e)(1)(iii). Specifically, the written statement and accompanying documentation must demonstrate that the notice included sufficient information about the litigation to permit the individual to raise an objection to the court; and that the time for the individual to raise objections has elapsed, with no objections having been filed, or all filed objections having been resolved.

Date Created: 01/07/2005

Content created by Office for Civil Rights (OCR)
Content last reviewed on July 26, 2013