Common HIPAA Violations by Physicians Or Their Employed Staff–And How to Avoid Them

As a physician, ensuring patient health is very important. Protecting patient information is also extremely important. The Health Insurance Portability and Accountability Act (HIPAA) sets stringent guidelines to ensure that patient data is kept confidential and secure. Despite these regulations, violations still occur, often due to simple oversights or misunderstandings. Here is a look at common HIPAA violations by physicians or their employed staff and how you can prevent them.

Examples of HIPAA Violations and Prevention Methods

The following examples show just how easily HIPAA violations can occur if physicians and staff are not vigilant about handling patient data securely and privately. Tips for prevention are also included to facilitate healthcare compliance.

Not Using Secure Communication 

Sending sensitive data through unsecured email or messaging platforms can expose the information to unauthorized parties. Let’s suppose a physician in a busy clinic frequently texts patient information, such as lab results, to other staff members. While this might be done for efficiency, the text messages were not sent through a secure, encrypted platform. This could result in a HIPAA violation due to the risk of exposing sensitive patient information.

Prevention: Always use secure, encrypted messaging systems when communicating patient information electronically:

• Encrypted Emails: Use encryption for emails containing sensitive patient information.
• Secure Messaging: Implement secure messaging platforms designed for healthcare communication.
• Policies: Develop and enforce policies regarding secure communication methods.

Discussing Patient Cases in Public Areas

In a hospital setting, a physician was overheard discussing a patient’s diagnosis with another healthcare provider in a crowded elevator. Even though the discussion was medically relevant, it occurred in a public space, violating HIPAA’s privacy rule.

Prevention: Patient information should only be discussed in private, secure areas, away from the public.

Allowing Unrestricted Access to Patient Records

One of the most common HIPAA violations involves unauthorized access to patient records. This can occur when staff members access patient records without a legitimate reason or purpose related to their role.

Prevention: To prevent unauthorized access, healthcare facilities should implement strict access controls. This includes:

• Role-Based Access: Ensure that staff members have access only to the information necessary for their job functions.
• Regular Audits: Conduct routine audits of access logs to identify and address any suspicious activity.
• Training: Educate staff on the importance of accessing only the records needed for their work.

Improper Disposal of Patient Information

Another common issue is the improper disposal of patient information. This includes throwing away documents with sensitive information in regular trash bins or not properly shredding documents.

Prevention: Implement secure disposal procedures:

• Shredding: Use shredders or professional shredding services for paper records.
• Secure Deletion: For electronic records, ensure they are securely deleted and not just moved to a recycle bin.
• Training: Train staff on proper disposal methods and the importance of secure destruction of patient information.

Sharing Patient Information Without Their Consent

Sharing patient information without explicit consent is a serious HIPAA violation. This can happen through casual conversations, emails, or even social media posts.

Prevention: Consider the following good tips:

• Confidential Communication: Use encrypted channels to share sensitive patient information.
• Patient Consent: Ensure that patient consent is obtained before sharing their information, and verify the consent is documented.
• Policies: Develop and enforce strict policies regarding the sharing of patient information both within and outside the organization.

Inadequate Training of Staff

Often, HIPAA violations occur due to inadequate training on HIPAA regulations and the importance of patient confidentiality.

Prevention: Regular and comprehensive training is essential. You will want to provide and undergo:

• Initial Training: Provide thorough HIPAA training to new employees as part of their onboarding process.
• Ongoing Education: Conduct regular refresher courses to keep staff updated on any changes in HIPAA regulations and best practices.
• Assessment: Evaluate staff understanding through assessments to ensure they grasp the importance of HIPAA compliance.

Failing to Secure Physical Records

Physical records that are not properly secured can be a significant risk. This includes leaving documents unattended in open areas or not using locked storage.

Prevention: To secure physical records:

• Locked Storage: Store physical documents in locked cabinets or rooms.
• Control Access to Records: Restrict access to areas where patient records are kept.
• Clean Desk Policy: Encourage staff to keep workspaces clear of sensitive information when not in use.

Inadequate Data Encryption

Failing to encrypt electronic patient data can lead to unauthorized access in case of a breach. This includes data stored on servers, computers, or mobile devices.

Prevention: Implement robust encryption protocols:

• Data Encryption: Use encryption for all electronic patient data, both at rest and in transit.
• Secure Devices: Ensure all devices that access patient information are encrypted and password-protected.
• Regular Updates: Keep encryption methods and security software up-to-date to protect against vulnerabilities.

Lost Mobile Devices

Phones and computers get lost. Unfortunately, HIPAA violations can happen if these mobile devices get lost. Let’s suppose a physician’s unencrypted laptop containing patient information was stolen from their car. Since the laptop did not have proper encryption or password protection, the physician violated HIPAA’s security rules, potentially exposing patient data to unauthorized individuals.

Prevention: Always use encryption and secure login methods for any device that stores or accesses patient information.

Neglecting to Perform Risk Assessments

Not performing regular risk assessments can lead to unidentified vulnerabilities and potential breaches.

Prevention: Regular risk assessments are crucial:

• Periodic Assessments: Conduct risk assessments at least annually to identify and address potential vulnerabilities.
• Action Plans: Develop and implement action plans based on risk assessment findings.
• Documentation: Keep detailed records of risk assessments and any measures taken to address identified issues.

Contact a HIPAA Attorney

HIPAA compliance is not something that occurs once but is a continuous effort that requires vigilance and commitment from all staff members. By understanding and addressing common HIPAA violations, physicians and their employed staff can significantly reduce the risk of breaches and will maintain patient trust. Regular training, secure practices, and stringent HIPAA policies are key to safeguarding patient information and ensuring compliance with HIPAA regulations. A HIPAA attorney can ensure that your practice is on the right track, helping you to avoid significant legal and financial challenges in the future, as well as avoid damage to your reputation. Contact our office to discuss your situation.