The Top 10 Most Common HIPAA Violations & Strategies To Avoid Them

Unauthorized Access to Protected Health Information (PHI)

Unauthorized access to PHI is a grave concern in the healthcare industry. It occurs when individuals who do not have the right to access certain information manage to do so. This can lead to serious consequences, with fines ranging from $100 to $50,000 per violation. To avoid this, it’s important to have stringent access control systems in place. Regular staff training on privacy rules is also essential, as is routinely monitoring access logs to ensure no unauthorized entry occurs.

Lack of Encryption

Encryption is a critical tool in protecting PHI. It’s like creating a secret language that only authorized individuals can understand. When PHI isn’t encrypted, it’s vulnerable to theft and misuse, which can result in penalties of up to $1.5 million. To prevent this violation, ensure all PHI is encrypted and access is strictly limited to those who need it for their role.

Improper Disposal of PHI

The improper disposal of PHI, such as not shredding paper records or failing to permanently delete electronic records, can lead to unauthorized individuals accessing patient information. This can attract fines of up to $50,000 per violation. Adopting and following robust disposal procedures is a must to avoid this violation.

Unauthorized Disclosure of PHI

Unauthorized disclosure can happen accidentally, like a staff member discussing patient information in a public space, or intentionally, as in sharing information without proper consent. Both scenarios can lead to penalties of up to $50,000. Frequent training on HIPAA disclosure policies can help staff understand the importance of maintaining patient privacy.

Unsecured Electronic Devices

Thieves often target electronic devices containing PHI. If you don’t secure these devices properly, any loss or theft can result in a data breach. Fines for such breaches can be as high as $1.5 million. Implementing policies for device security and encouraging staff to immediately report lost or stolen equipment can help mitigate this risk.

Non-Compliant Third Parties

Third parties handling PHI need to comply with HIPAA regulations. Failure to ensure their compliance can result in your practice being held responsible for any violations, attracting fines of up to $1.5 million. Always conduct due diligence before engaging with third parties to ensure they follow HIPAA regulations.

Absence of Risk Analysis

Not conducting regular risk analyses can leave your organization exposed to unseen threats. Under HIPAA, regular risk analyses are required to identify and address potential vulnerabilities in the security of PHI. Failure to do so can attract fines up to $50,000 per violation. To avoid this, ensure you’re conducting consistent risk analyses and implementing strong security measures based on the findings.

Denying Patients Access to Their PHI

Patients have the right to access their own PHI. If a patient requests their records and access is denied, it can result in a HIPAA violation. Penalties can range from $100 to $50,000 per violation. Therefore, it is crucial to have a clear process in place for patients to access their PHI and to educate staff on this process.

Insufficient Staff Training

Staff who don’t understand HIPAA regulations are more likely to make mistakes leading to violations. These can range from minor mishaps to major breaches, attracting penalties from $100 to $1.5 million. Regular, comprehensive training programs can ensure that all employees are well-versed in HIPAA regulations and their responsibilities.

No Incident Response Plan

Without an incident response plan, your practice can be slow to react to a data breach, leading to greater harm. Not having a response plan can lead to penalties up to $50,000 per violation. Having a clear, rehearsed incident response plan can ensure a quick, effective reaction to any breaches, reducing potential damage and demonstrating compliance with HIPAA regulations.

Steering clear of these common violations will not only help you avoid fines, but also bolster trust with patients, protect your reputation, and ensure a culture of compliance within your practice.

Examples of HIPAA Violations by Healthcare Employees

Now that we’ve explored the most common types of HIPAA violations, let’s delve into real-world examples. These instances will help you understand how these violations can occur in day-to-day operations, and the immense importance of vigilance and training in avoiding them.

• Snooping on Patient Records – Curiosity isn’t always harmless. In a Utah hospital, a healthcare employee was found guilty of viewing the PHI of a high-profile patient without a valid reason. The hospital faced a fine of $100,000, highlighting the costly consequences of unauthorized access.
• Disposal Mishaps – A major pharmacy chain was fined $2.25 million when they improperly disposed of PHI. Prescription labels and old pharmacy records were found in dumpsters, illustrating the importance of proper disposal procedures.
• Mishandling of PHI – A healthcare worker took home patient records to catch up on work. Unfortunately, the records were stolen from their car. This unauthorized disclosure led to a fine of $1.5 million, showcasing the risks associated with removing PHI from secure premises.
• Non-compliant Emailing – An employee at a medical center mistakenly sent an email containing PHI of over 500 patients to a job applicant. The accidental unauthorized disclosure resulted in a fine of $125,000, emphasizing the need for thorough staff training and secure communication protocols.
• Loss of Unencrypted Devices – An insurance company reported the theft of an unencrypted laptop containing PHI of over a million individuals. The lack of device security measures led to a hefty $1.2 million fine, demonstrating the critical importance of encryption and device security policies.

These examples underscore the need for stringent HIPAA compliance measures. Proper training, strong policies, and vigilant monitoring can help healthcare practices avoid such costly and damaging violations.

How To Avoid These HIPAA Violations?

Prevention is always better than cure, especially when it comes to HIPAA violations. Let’s explore some effective strategies to help your healthcare practice avoid stepping into the HIPAA violation minefield.

• Regular Training: Ensure employees are well-informed about HIPAA regulations, the importance of compliance, and the consequences of violations.
• Robust Policies and Procedures: Develop and implement stringent policies and procedures for handling PHI.
• Conduct Risk Analysis: Performing regular risk analyses can help identify potential vulnerabilities in your PHI security measures.
• Implement Incident Response Plan: Having a well-defined and rehearsed incident response plan can help mitigate the damage of any data breach and demonstrate your practice’s commitment to HIPAA compliance.
• Ensure Third-Party Compliance: Before engaging with any third-party vendors who will handle PHI, conduct due diligence to ensure they are HIPAA compliant.

Conclusion

So, this was the ultimate list of HIPAA violations that can cause your organization hefty fines. But, with the right strategies, your healthcare practice can successfully dodge the costly errors of violations. By embracing a culture of compliance, you not only safeguard your practice from hefty fines but also strengthen your reputation and build deeper trust with your patients.

And if you’re ready to take your compliance efforts to the next level, Impanix is here to help. We specialize in implementing various Infosec compliance frameworks, including SOC 2 compliance, HIPAA, ISO 27001, and GDPR compliance. Book a free consultation call with our experts today. For any inquiries, feel free to email us at  [email protected]