Health Information Compliance Alert

Published on Wed Feb 28, 2007 PDF

Read the question below and decide how you would handle it before you compare it to our expert's advice.

Question: What recommendations can you make for steps to take when a protected health information violation occurs?

Answer: Providers should include in their policies the following steps to eliminate or alleviate damage when an accidental PHI leak occurs and should make sure staff receive training in these procedures, attorneys counsel:

1. Report suspected violations immediately to the privacy officer, advises attorney Robyn Meinhardt with Foley & Lardner in Denver.

2. Investigate the violation promptly. The privacy officer should speak to the person who submitted the report and other people identified by that reporter, says Meinhardt. It's up to the privacy officer to examine all of the systems to determine why the accident happened.

3. Decide what the mitigation should be. This should be done by the privacy officer in consultation with the organization's legal counsel, advises Meinhardt. There should be some sort of disciplinary review of the employee who is responsible for the privacy breach, she notes.

If the accident occurred via e-mail, recall an e-mail if it can be recalled, send out another e-mail specifically directing all the recipients to destroy the message and not to forward, and if they make use of the information, they would be subject to legal penalties.

4. Document the violation. Make sure you establish a good record that you've acted on this, taken it seriously, and done everything reasonable under the circumstances.
The privacy officer should keep a log that contains the following information: written documentation of the concern, who reported it, the identity of the subject of the PHI, what was done about the mistake and a description of how you're going to prevent it in the future, counsels attorney Phyllis Granade with Epstein Becker & Green in Atlanta.

5. Take steps to fix the problems so they don't occur again. "Once the organization's privacy officials have decided what mitigation is practicable, they're still not done because they have to go back and analyze what went wrong to fix their internal processes," explains Meinhardt. "This isn't a HIPAA requirement. It just makes good business sense," she notes.

Often the problem goes back to staff indifference about privacy issues, so strategies to prevent future violations should include clear directions to staff on the importance of being vigilant about the way they handle PHI, adds Granade. It's a good idea to develop a condensed checklist of PHI do's and don'ts to post near their telephones or computer terminals for quick reference.