Common HIPAA Violations

Common HIPAA violations include unauthorized access to protected health information, lack of encryption on electronic records, failure to conduct regular risk assessments, improper disposal of patient records, sharing patient information without consent, employees disclosing information, inadequate training of healthcare staff, using mobile devices without proper security measures, loss or theft of unsecured devices containing patient data, and not having business associate agreements in place with third-party service providers. Some frequent examples include unauthorized access or disclosure of PHI, whether intentional or accidental, lack of proper employee training on HIPAA compliance, failure to implement appropriate security measures to protect PHI, such as encryption or access controls, improper disposal of PHI, such as failing to shred or securely dispose of physical records or electronic media, and inadequate business associate agreements with third-party vendors handling PHI. These HIPAA violations can occur in various healthcare settings and may result in legal consequences, financial penalties, damage to reputation, and compromised privacy and security of patients’ health information. To ensure compliance, it is necessary for healthcare organizations and their staff to be well-versed in HIPAA regulations and take proactive measures to protect patient privacy and maintain the integrity of PHI.

A HIPAA violation refers to any act or omission that goes against the requirements and regulations outlined in HIPAA. It involves the improper handling, use, or disclosure of PHI without proper authorization or in violation of individuals’ privacy rights. A HIPAA violation can occur in various forms, such as unauthorized access to PHI, failure to implement adequate security measures to protect PHI, unauthorized disclosure of PHI to unauthorized individuals or entities, failure to provide patients with their rights under HIPAA, or neglecting to adhere to HIPAA’s administrative, physical, and technical safeguards. These violations can lead to legal and financial penalties, reputational damage, and potential harm to individuals’ privacy and security of their health information.

Types of HIPAA Violations

Figure: Types of HIPAA Violations

Common HIPAA Violations by Healthcare Professionals

Healthcare professionals can be susceptible to various common HIPAA violations, which can have consequences for patient privacy and the healthcare organization. One common violation is unauthorized access or disclosure of protected health information (PHI), where healthcare professionals may access or share PHI without a legitimate need or proper authorization. This can occur due to curiosity, negligence, or lack of awareness regarding HIPAA requirements. Another frequent violation is the improper disposal of PHI, such as not securely discarding physical records or failing to adequately delete electronic PHI. Healthcare professionals may inadvertently violate HIPAA by mishandling or carelessly disposing of patient information. Failure to implement appropriate security measures is another common violation, including the lack of encryption or access controls, leaving patient data vulnerable to unauthorized access. Healthcare professionals may breach HIPAA regulations by failing to provide patients with their rights, such as denying access to medical records or not honoring requests for amendments or corrections. The common types of HIPAA violations by healthcare professionals includes:

1. Unauthorized access or disclosure of PHI: Healthcare professionals may access or disclose patient PHI without a legitimate need or authorization. This violation can occur when healthcare professionals inappropriately access medical records out of curiosity or personal interest, or when they share patient information with unauthorized individuals. Examples include accessing the medical records of friends, family members, or colleagues without a valid reason or disclosing patient information to individuals who are not involved in the patient’s care.
2. Improper disposal of PHI: Healthcare professionals must ensure the proper disposal of PHI to prevent unauthorized access or disclosure. Violations can occur when they fail to dispose of PHI securely. For example, improperly disposing of paper records containing PHI by discarding them in regular trash bins without shredding them or not securely deleting electronic files containing PHI, leaving them vulnerable to unauthorized access.
3. Lack of patient consent: Healthcare professionals must obtain patient consent or authorization before using or disclosing their PHI for certain purposes. Violations occur when healthcare professionals use or disclose PHI without obtaining the necessary consent or authorization, disregarding patients’ privacy preferences. This can include sharing patient information with third parties without obtaining the required consent, such as disclosing PHI to pharmaceutical companies for marketing purposes without patient approval.
4. Failure to provide patients with access to their PHI: HIPAA grants individuals the right to access and obtain copies of their PHI held by healthcare professionals. Violations occur when healthcare professionals deny or unreasonably delay patients’ requests for accessing their own health information or charge excessive fees for providing access. It is necessary for healthcare professionals to respond promptly to patient requests for access and ensure that the process for accessing PHI is clear and accessible.
5. Inadequate safeguarding of PHI: Healthcare professionals are responsible for implementing appropriate security measures to protect PHI. Violations can occur when they fail to implement safeguards, such as secure storage of physical records, password protection for electronic systems, or encryption for transmitted PHI. This can include leaving patient records unattended in public areas, using weak passwords that are easily guessable, or failing to encrypt emails or other forms of electronic communication that contain PHI.
6. Inadequate training on HIPAA requirements: Healthcare professionals must receive proper training on HIPAA regulations, including privacy and security requirements. Violations occur when healthcare professionals lack awareness of their obligations under HIPAA or fail to follow established policies and procedures for safeguarding PHI. Healthcare professionals must receive regular training and education on HIPAA to ensure they understand their responsibilities and how to protect patient privacy.
7. Breach notification failures: If a healthcare professional experiences a breach of PHI, they must promptly notify the affected individuals, the covered entity, and sometimes the Office for Civil Rights (OCR). Violations occur when healthcare professionals fail to provide timely and accurate breach notifications, restricting individuals’ ability to take appropriate steps to protect themselves and potentially delaying the investigation and mitigation of the breach. This includes not promptly identifying and reporting breaches or failing to provide sufficient information in breach notifications.
8. Lack of patient education on privacy rights: Healthcare professionals have a responsibility to educate patients about their privacy rights under HIPAA. Violations occur when healthcare professionals fail to inform patients about their rights to access their health information, request amendments, or file complaints with the OCR. This can include not providing patients with the necessary information or resources to understand their rights and how to exercise them.
9. Failure to maintain adequate medical records: HIPAA requires healthcare professionals to maintain accurate and complete medical records for their patients. Violations can occur when healthcare professionals fail to maintain proper documentation, leading to missing or incomplete records that compromise the continuity and quality of patient care. This includes not documenting important patient information and failing to update medical records with relevant details.

Common HIPAA Violations by Administrators and Managers

Healthcare administrators and managers can also be involved in common HIPAA violations if proper safeguards and protocols are not in place. Administrators and managers must ensure that BAAs are in place with third-party vendors handling PHI and that these agreements include the necessary HIPAA provisions to protect patient data. Healthcare administrators and managers may inadvertently violate HIPAA by not providing sufficient training and education to employees on HIPAA requirements, leading to mishandling or unauthorized disclosure of PHI. To prevent these violations, healthcare administrators and managers must prioritize HIPAA compliance, establish robust policies and procedures, provide thorough training, and regularly assess and update security measures to protect patient privacy and maintain regulatory compliance. The common types of HIPAA violations by administrators and managers include:

1. Improper access to PHI: Healthcare administrators and managers may have privileged access to PHI, and violations occur when they abuse their access rights. This can include accessing patient records out of curiosity, viewing the PHI of friends or family members without authorization, or using PHI for personal reasons. Such unauthorized access breaches patient privacy and violates HIPAA regulations, which require access to be limited to those with a legitimate need for the information.
2. Failure to provide adequate training: Healthcare administrators and managers have a responsibility to ensure that employees receive HIPAA training. Violations can occur when they fail to implement robust training programs or fail to emphasize the importance of HIPAA compliance. Insufficient training can lead to employees being unaware of their responsibilities, mishandling PHI, or inadvertently violating HIPAA regulations. Administrators and managers must prioritize ongoing training and education to maintain compliance.
3. Insufficient risk assessment and mitigation: Healthcare administrators and managers are responsible for conducting regular risk assessments to identify vulnerabilities and implement appropriate safeguards. Violations occur when they fail to perform thorough risk assessments or do not properly address identified risks. This can result in inadequate security measures, leaving PHI exposed to breaches or unauthorized access. Administrators and managers should ensure risk assessments are conducted, documented, and followed by appropriate risk mitigation strategies to protect patient information.
4. Inadequate security measures: Healthcare administrators and managers must prioritize the implementation of administrative, physical, and technical safeguards to protect PHI. Violations occur when they do not allocate sufficient resources or fail to enforce security measures, such as encryption, access controls, or secure storage of records. Inadequate security measures can leave PHI vulnerable to unauthorized access, breaches, or theft. It is necessary for administrators and managers to invest in robust security protocols and regularly evaluate and update them to align with evolving threats and industry best practices.
5. Failure to enforce HIPAA policies: Healthcare administrators and managers are responsible for enforcing HIPAA policies and procedures within their organizations. Violations occur when they do not actively monitor compliance or fail to take appropriate action when violations are identified. This can lead to non-compliance and increase the risk of PHI mishandling. Administrators and managers should establish clear policies, conduct regular audits, and enforce consequences for non-compliance to ensure HIPAA adherence.
6. Inadequate incident response and breach notification: Healthcare administrators and managers must have robust incident response plans and promptly notify affected individuals and regulatory authorities in the event of a breach. Violations occur when they lack proper incident response protocols or delay breach notifications. Inadequate incident response can prolong the exposure of sensitive information and hinder timely mitigation efforts. Administrators and managers should have incident response plans in place, regularly test them, and ensure a swift and appropriate response to incidents to minimize the impact on patients and comply with notification requirements.
7. Lack of business associate oversight: Healthcare administrators and managers are responsible for managing relationships with business associates and ensuring compliance with HIPAA. Violations can occur when they do not enter into proper business associate agreements (BAAs) or fail to monitor business associates’ compliance. This can expose PHI to unauthorized access through third-party vendors or business partners. Administrators and managers should establish robust processes for selecting and vetting business associates, including signing BAAs, conducting regular audits, and monitoring their adherence to HIPAA requirements.
8. Inadequate documentation and record-keeping: Healthcare administrators and managers must maintain accurate documentation and records related to HIPAA compliance efforts. Violations occur when they fail to document actions, decisions, or incidents, such as risk assessments, training records, or breach investigations. Insufficient documentation can hinder audits, investigations,

Common HIPAA Violations by Covered Entitles

HIPAA covered entities, which include healthcare providers, health plans, and healthcare clearinghouses, can be involved in various common HIPAA violations. Covered entities are required to establish administrative, physical, and technical safeguards to ensure the confidentiality and integrity of PHI. Insufficient encryption, weak access controls, or inadequate risk assessments can result in unauthorized access to PHI. Covered entities may violate HIPAA by not conducting regular risk assessments or neglecting to develop and maintain policies and procedures for HIPAA compliance. It is necessary for covered entities to prioritize HIPAA compliance by implementing robust security measures, providing thorough employee training, regularly reviewing and updating policies, and conducting internal audits to identify and address any potential violations. The common types of HIPAA violations in covered entities include:

1. Unauthorized access and disclosure: This violation involves individuals accessing or sharing PHI without proper authorization. It can occur when employees, contractors, or other individuals in healthcare settings view medical records of patients without a legitimate need. It also includes instances where PHI is shared with unauthorized individuals, such as friends, family members, or individuals not involved in the patient’s care. Unauthorized access and disclosure can lead to breaches of patient privacy and compromise the confidentiality of sensitive information.
2. Failure to conduct risk assessments: HIPAA requires covered entities to regularly assess the risks associated with PHI. Violations occur when organizations neglect to perform these assessments or fail to address identified risks and vulnerabilities adequately. Risk assessments are necessary for identifying potential security gaps, implementing controls, and mitigating the risks associated with PHI handling. Without proper risk assessments, organizations may be unaware of vulnerabilities that could expose PHI to unauthorized access or disclosure.
3. Inadequate data encryption: PHI stored or transmitted electronically should be encrypted to protect it from unauthorized access. Encryption converts the data into an unreadable format, ensuring that even if unauthorized individuals gain access to the data, they cannot decipher its contents. Violations occur when organizations fail to implement appropriate encryption measures, such as not encrypting data at rest or in transit. This can leave PHI vulnerable to breaches if the information is compromised, potentially resulting in significant harm to individuals.
4. Improper disposal of PHI: HIPAA requires covered entities to properly dispose of PHI to prevent unauthorized access or disclosure. Violations occur when organizations fail to dispose of PHI securely. This can include scenarios such as not shredding paper records containing PHI before discarding them or not properly wiping electronic devices (such as hard drives or USB drives) that contain PHI before disposal. Improper disposal increases the risk of PHI falling into the wrong hands and compromises the privacy of individuals.
5. Lack of employee training: HIPAA mandates that covered entities provide appropriate training to employees who handle PHI. Violations occur when organizations fail to provide HIPAA training to their workforce. This training should educate employees about their responsibilities, the importance of safeguarding PHI, the proper handling procedures, and the organization’s policies and procedures. Without training, employees may unknowingly engage in actions that put PHI at risk, such as sharing passwords, mishandling paper records, or falling victim to phishing attempts.
6. Failure to notify breaches: HIPAA requires covered entities to report breaches of PHI to affected individuals, the Office for Civil Rights (OCR), and sometimes the media. Violations occur when organizations fail to provide timely and accurate breach notifications. Breach notifications are necessary for affected individuals to take appropriate steps to protect themselves from potential harm and for the OCR to assess the nature and impact of the breach. Failure to fulfill breach notification requirements can result in penalties and damage trust between the organization and its patients.
7. Insufficient access controls: This violation occurs when organizations fail to implement appropriate access controls to protect PHI. Access controls involve measures such as unique user IDs, strong passwords, and restrictions on accessing PHI based on the principle of least privilege. Violations can include situations where user accounts are shared, weak passwords are used, or unnecessary access to PHI is granted. Insufficient access controls increase the risk of unauthorized individuals gaining access to PHI and potentially misusing or disclosing it.
8. Lack of business associate agreements (BAAs): Covered entities are required to establish BAAs with their business associates who handle PHI on their behalf. BAAs outline the responsibilities of the business associates in protecting PHI and ensuring HIPAA compliance. Violations occur when organizations fail to have these agreements in place or when the agreements lack the necessary privacy and security provisions.

Common HIPAA Violations by HIPAA Business Associates

HIPAA business associates, who are entities that handle protected health information (PHI) on behalf of HIPAA covered entities, sometimes fail to enter into a business associate agreement (BAA) with covered entities. Business associates must have a signed BAA in place that outlines the responsibilities and obligations regarding the protection of PHI. Another common violation is the unauthorized access or disclosure of PHI by business associates. This can occur when business associates access or share PHI without proper authorization or a legitimate need to know. Inadequate security measures to protect PHI, such as weak encryption or insufficient access controls, are also common violations. Business associates must implement appropriate safeguards to ensure the confidentiality and security of PHI. Failure to provide breach notification to covered entities in a timely manner is another violation. If a breach of PHI occurs, business associates are required to notify the covered entity without undue delay. To prevent these violations, business associates should prioritize HIPAA compliance, establish security measures, ensure BAAs are in place, provide employee training, and promptly report any breaches or incidents involving PHI to the covered entity. The common HIPAA violations by business associates include:

1. Failure to execute a business associate agreement (BAA): Business associates are required to establish a written agreement with covered entities that outlines their responsibilities for safeguarding PHI. Violations occur when a business associate fails to execute a BAA, which puts the covered entity at risk of non-compliance and creates ambiguity regarding the roles and responsibilities for protecting PHI.
2. Unauthorized use or disclosure of PHI: Business associates may improperly access, use, or disclose PHI beyond the scope outlined in the BAA or without proper authorization. This violation can occur due to negligence, employee misconduct, or inadequate security controls. It can involve instances where business associates access PHI for reasons unrelated to their authorized services or disclose PHI to individuals who are not part of the covered entity’s healthcare operations.
3. Inadequate safeguards for PHI: Business associates are responsible for implementing appropriate technical, physical, and administrative safeguards to protect PHI. Violations occur when they fail to implement sufficient security measures. This can include inadequate encryption methods for stored or transmitted PHI, insufficient access controls, lack of employee training on security protocols, or neglecting to conduct regular risk assessments to identify vulnerabilities and implement necessary safeguards.
4. Failure to report breaches: Business associates must promptly report any breaches of PHI to the covered entity. Violations occur when they fail to fulfill their breach notification obligations or provide timely and accurate information about the breach. This can hinder the covered entity’s ability to respond effectively, notify affected individuals, and fulfill their own reporting obligations to regulatory authorities, potentially leading to increased harm and legal consequences.
5. Improper disposal of PHI: Business associates must properly dispose of PHI when it is no longer needed. Violations can occur when they fail to implement secure disposal methods. This can include instances where paper documents containing PHI are discarded without shredding or electronic devices storing PHI are not properly wiped or destroyed, leaving the PHI vulnerable to unauthorized access or potential breaches.
6. Insufficient employee training: Business associates must provide adequate HIPAA training to their employees who handle PHI. Violations occur when they fail to educate their workforce about HIPAA requirements. This can result in employees mishandling PHI, falling victim to social engineering attacks, or lacking awareness of the potential risks and safeguards necessary to protect PHI.
7. Non-compliance with individual rights: Business associates must adhere to individuals’ rights regarding their PHI, including access, amendment, and restrictions. Violations occur when they deny or delay individuals’ rights or fail to respond appropriately to their requests. This can include denying an individual’s request for accessing their PHI, not allowing them to make amendments to inaccurate information, or not implementing reasonable restrictions on the use or disclosure of their PHI as requested.
8. Inadequate incident response and breach management: Business associates should have robust incident response plans and procedures in place to address potential security incidents and breaches. Violations occur when they lack or fail to follow an effective incident response plan. This can result in delays in detecting and responding to security incidents, potentially increasing the impact of a breach and impeding the mitigation of risks associated with the breach.
9. Failure to conduct risk assessments: Business associates must regularly assess the risks associated with PHI and implement appropriate safeguards. Violations occur when they neglect risk assessments or fail to address identified risks. This can include not conducting thorough assessments of potential vulnerabilities, not implementing security measures commensurate with identified risks, or disregarding the importance of ongoing risk management practices.
10. Lack of oversight and accountability: Business associates must have systems in place to ensure compliance with HIPAA regulations and maintain accountability for protecting PHI. Violations occur when they lack appropriate oversight, fail to monitor compliance efforts, or fail to address identified compliance gaps.

HIPAA Violation Fines

HIPAA violation fines can vary depending on the severity and extent of the violation, as well as the entity’s level of culpability. The Office for Civil Rights (OCR), the governing body responsible for HIPAA compliance and enforcement, has established a tiered penalty structure based on four categories:

• Tier 1: The lowest level of violation, where the entity was unaware of the violation and could not have reasonably known about it. The penalty range is $100 to $50,000 per violation, with an annual maximum of $25,000.
• Tier 2: Violations due to reasonable cause but not willful neglect. The penalty range is $1,000 to $50,000 per violation, with an annual maximum of $100,000.
• Tier 3: Violations resulting from willful neglect that are corrected within a specified time frame. The penalty range is $10,000 to $50,000 per violation, with an annual maximum of $250,000.
• Tier 4: Violations resulting from willful neglect that are not corrected within a specified time frame. The penalty range is $50,000 per violation, with an annual maximum of $1.5 million.

The OCR considers several factors when determining the final penalty amount, such as the nature and extent of the violation, the entity’s financial resources, the harm caused to individuals, and any history of prior violations. Criminal penalties can be imposed for intentional HIPAA violations, which can lead to fines and imprisonment.

HIPAA Violations FAQs