The Office for Civil Rights (OCR) at the Department of Health and Human Services announced a settlement with a Massachusetts dermatology practice over the improper disposal of protected health information (PHI), a potential violation of the Health Insurance Portability and Accountability Act (HIPAA) Privacy Rule. As a result, the practice paid $300,640 to OCR and agreed to implement a corrective action plan to resolve this investigation.
On May 11, 2021, the practice filed a breach report with OCR stating that empty specimen containers with protected health information on the labels were placed in a garbage bin in their parking lot. The containers’ labels included patient names and dates of birth, dates of sample collection, and name of the provider who took the specimen. OCR’s investigation, conducted by OCR’s New England Regional Office, found potential violations of the HIPAA Privacy Rule including the impermissible use and disclosure of PHI and failure to maintain appropriate safeguards to protect the privacy of PHI.
“Improper disposal of protected health information creates an unnecessary risk to patient privacy,” said Acting OCR Director Melanie Fontes Rainer. “HIPAA regulated entities should take every step to ensure that safeguards are in place when disposing of patient information to keep it from being accessible by the public.”
In addition to the monetary settlement, the practice will undertake a robust corrective action plan that includes two years of monitoring.
OCR offers helpful FAQs concerning HIPAA and the disposal of protected health information: https://www.hhs.gov/sites/default/files/disposalfaqs.pdf.
Compliance Perspective
Issue
Depositing PHI in a trash receptacle generally accessible by the public or other unauthorized persons is not an appropriate privacy or security safeguard. The HIPAA Privacy Rule requires that covered entities apply appropriate administrative, technical, and physical safeguards to protect the privacy of PHI, in any form, including in connection with the disposal of such information. In general, a covered entity may not dispose of PHI in paper records, labeled prescription bottles, hospital identification bracelets, PHI on electronic media, or other forms of PHI in dumpsters, recycling bins, garbage cans, or other trash receptacles generally accessible by the public or other unauthorized persons. Failing to implement reasonable safeguards to protect PHI in connection with disposal could result in impermissible disclosures of PHI.
Discussion Points
- Review policies and procedures related to PHI, including proper disposal of such information. Update as needed.
- Train all staff on HIPAA and PHI upon hire, annually, and when any issues arise. Ensure that staff receive training on the disposal policies and procedures as necessary and appropriate for each member of staff. Any workforce member involved in disposing of PHI, or who supervises others who dispose of PHI, must receive training on disposal. This includes any volunteers. Document that these trainings occurred.
- Periodically audit to ensure that appropriate disposal policies and procedures are in place to protect the privacy of medical records and other PHI, that they are consistently implemented, and that any identified issues are addressed timely and in full compliance with HIPAA requirements.
*This news alert has been prepared by Med-Net Concepts, LLC for informational purposes only and is not intended to provide legal advice.*
