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Print-Friendly VersionBookletHIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesWhat’s Changed? Added Information – Privacy Rule protections andrights, page 3 Added Information – Keeping PHI private andconfidential, page 4 Added Information – Sharing information with otherhealth care professionals, page 4 Added Information – Sharing patient information withfamily members and others, page 4 Added Information – Incidental disclosures, page 5 Added Information – Protecting and securing healthinformation when using a mobile device, page 5You’ll find substantive content updates in dark red font.Page 1 of 11MLN909001 May 2021

HIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesMLN BookletTable of ContentsIntroduction3HIPAA Privacy RulePHIKeeping PHI Private & ConfidentialSharing Information with Other Health Care ProfessionalsSharing Patient Information with Family Members & OthersIncidental DisclosuresSecuring Health Information When Using a Mobile Device3444455HIPAA Security Rule6HIPAA Breach Notification Rule7Who Must Comply with HIPAA Rules?Covered EntitiesBusiness AssociatesEnforcement88910Resources11Page 2 of 11MLN909001 May 2021

HIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesMLN BookletIntroductionThe Health Insurance Portability and Accountability Act (HIPAA) Privacy, Security, and Breach Notification Rules protect the privacy and security ofhealth information and gives individuals rights to their health information. HIPAA establishes standards to protect PHI held by these entities and theirbusiness associates: Health plans Health care clearinghouses Health care providers that conduct certain health care transactions electronicallyWhen you see “you” in this booklet, we’re referring to these covered entities and persons.This booklet discusses: The Privacy Rule, which sets national standards for the use and disclosure of protected health information (PHI) The Security Rule, which specifies safeguards that covered entities and their business associates must use to protect the confidentiality,integrity, and availability of electronic protected health information (ePHI) The Breach Notification Rule, which requires covered entities to notify affected individuals, HHS, and, in some cases, the media of a breachof unsecured PHIHIPAA Privacy RuleThe Privacy Rule protects your patients’ PHI while letting you exchange information to coordinate your patient’s care. The Privacy Rule also givespatients the right to examine and get a copy of their medical records, including an electronic copy of their electronic medical records, and to requestcorrections. Under the Privacy Rule, patients can restrict their health plan’s access to information about treatments they paid for in cash, and mosthealth plans can’t use or disclose genetic information for underwriting purposes. The Privacy Rule allows you to report child abuse or neglect to theauthorities.Page 3 of 11MLN909001 May 2021

HIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesMLN BookletPHIThe Privacy Rule protects PHI held or transmitted by a covered entity or its business associate, in any form,whether electronic, paper, or verbal. PHI includes information about: Common identifiers, such as name, address, birth date, and Social Security number The individual’s past, present, or future physical or mental health or condition The provision of health care to the individual The past, present, or future payment for the provision of health care to the individualKeeping PHI Private & ConfidentialThe Privacy Rule requires you to: Notify patients about their privacy rights and how you use their information Adopt privacy procedures and train employees to follow them Assign an individual to make sure you’re adopting and following privacy procedures Secure patient records containing PHI so they aren’t readily available to those who don’t need to seethemSharing Information with Other Health Care ProfessionalsTo coordinate your patient’s care with other providers, the Privacy Rule lets you: Share information with doctors, hospitals, and ambulances for treatment, payment, and health careoperations, even without a signed consent form from the patient Share information about an incapacitated patient if you believe it’s in your patient’s best interest Use health information for research purposes Use email, telephone, or fax machines to communicate with other health care professionals and with patients, as long as you use safeguardsSharing Patient Information with Family Members & OthersUnless a patient objects, the Privacy Rule lets you: Give information to a patient’s family, friends, or anyone else identified by the patient as involved in their carePage 4 of 11MLN909001 May 2021

HIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesMLN Booklet Give information about the patient’s general condition or location to a patient’s family member or anyone responsible for the patient’s care Include basic information in a hospital directory, such as the patient’s phone and room number Give information about a patient’s religious affiliation to members of the clergyIncidental DisclosuresThe HIPAA Privacy Rule requires you to have policies that protect and limit how you use and disclose PHI, but you aren’t expected to guaranteethe privacy of PHI against all risks. Sometimes, you can’t reasonably prevent limited disclosures, even when you’re following HIPAA requirements.For example, a hospital visitor may overhear a doctor’s confidential conversation with a nurse or glimpse a patient’s information on a sign-in sheet.These incidental disclosures aren’t considered a HIPAA violation as long as you’re following the required reasonable safeguards.The Office for Civil Rights (OCR) offers guidance about how this applies to health care practices, including an Incidental Uses and Disclosuressubcategory in its FAQs.Securing Health Information When Using a Mobile Device Use a password or other user authentication Install and enable encryption Install and activate remote wiping or remote disabling Disable and don’t install or use file sharing applications Install and enable a firewall Install and enable security software Keep your security software up to date Research mobile applications (apps) before downloading Maintain physical control Use adequate security to send or receive health information over public Wi-Fi networks Delete all stored health information before discarding or reusing the mobile devicePage 5 of 11MLN909001 May 2021

HIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesMLN BookletVisit the HHS HIPAA Guidance Materials webpage for information about: De-identifying PHI to meet HIPAA Privacy Rule requirements Individuals’ right to access health information Permitted uses and disclosures of PHIHIPAA Security RuleThe HIPAA Security Rule includes security requirements to protect patients’ ePHI confidentiality, integrity, and availability. The Security Rule requiresyou to develop reasonable and appropriate security policies. In addition, you must analyze security risks in your environment and create appropriatesolutions. What’s reasonable and appropriate depends on your business as well as its size, complexity, and resources. You should always reviewand modify security measures to continue protecting ePHI in a changing environment.Specifically, you must: Ensure the confidentiality, integrity, and availability of all ePHI you create, receive, maintain,or transmit Identify and protect against threats to ePHI security or integrity Protect against impermissible uses or disclosures Ensure employee complianceWhen developing compliant safety measures, consider: Size, complexity, and capabilities Technical, hardware, and software infrastructure The costs of security measures The likelihood and possible impact of risks to ePHIPage 6 of 11MLN909001 May 2021Confidentiality: ePHI can’t be availableor disclosed to unauthorized persons orprocessesIntegrity: ePHI can’t be altered ordestroyed in an unauthorized mannerAvailability: ePHI has to be accessibleand usable on demand by authorizedpersons

HIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesMLN BookletVisit the HHS HIPAA Guidance Materials webpage for guidance on: Administrative, physical, and technical PHI safety measures Cybersecurity Remote and mobile use of ePHIHIPAA Breach Notification RuleWhen you experience a PHI breach, the HIPAA Breach Notification Rule requires you to notify affected individuals, HHS, and, in some cases,the media. Generally, a breach is an unpermitted use or disclosure under the Privacy Rule that compromises the security or privacy of PHI. Theunpermitted use or disclosure of PHI is a breach unless there is a low probability the PHI has been compromised, based on a risk assessment of: The nature and extent of the PHI involved, including types of identifiers and the likelihood of re-identification The unauthorized person who used the PHI or received the disclosed PHI Whether an individual acquired or viewed the PHI The extent to which you reduced the PHI riskYou must notify authorities of most breaches without reasonable delay and no later than 60 days after discovering the breach. Submit notificationsof smaller breaches affecting fewer than 500 individuals to HHS annually. The Breach Notification Rule also requires business associates to notify acovered entity of breaches at or by the business associate.Visit the HHS HIPAA Breach Notification Rule webpage for guidance on: Administrative requirements and burden of proof How to make unsecured PHI unusable, unreadable, or indecipherable to unauthorized individuals Reporting requirementsPage 7 of 11MLN909001 May 2021

HIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesMLN BookletWho Must Comply with HIPAA Rules?Covered entities and business associates must follow HIPAA rules. If you don’t meet the definition of a covered entity or business associate, youdon’t have to comply with the HIPAA rules.For definitions of covered entity and business associate, see the Code of Federal Regulations (CFR) Title 45, Section 160.103.Covered EntitiesCovered entities that must follow HIPAA standards and requirements include: Covered Health Care Provider: Any provider of medical or other health care services or supplies that transmits any health information inelectronic form in connection with a transaction for which HHS has adopted a standard, such as: Doctors Chiropractors Clinics Nursing Homes Psychologists Pharmacies Dentists Health Plan: Any individual or group plan that provides or pays the cost of health care, such as: Health insurance companies Company health plans Health maintenance organizations Government programs that pay for health care Health Care Clearinghouse: A public or private entity that processes another entity’s health care transactions from a standard format to anon-standard format, or vice versa, such as: Billing services Repricing companies Community health management information systems Value-added networksPage 8 of 11MLN909001 May 2021

HIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesBusiness AssociatesMLN BookletA business associate is a person or organization, other than a workforce member of a covered entity, that performs functions on behalf of orprovides services to a covered entity that involve PHI access. Business associates also include subcontractors responsible for creating, receiving,maintaining, or transmitting PHI on behalf of another business associate.Business associates provide services to covered entities that include: Accreditation Financial services Billing Legal services Claims processing Management administration Consulting Utilization review Data analysisNote: A covered entity can be a business associate of another covered entity.If you work with a business associate, a written contract or other arrangement between you must: Detail PHI uses and disclosures the business associate may make Require the business associate protect PHIVisit the HHS HIPAA Covered Entities and Business Associates webpage for more information.Page 9 of 11MLN909001 May 2021

HIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesMLN BookletEnforcementThe HHS Office for Civil Rights (OCR) enforcesthe HIPAA Privacy, Security, and BreachNotification Rules.Violations may result in civil monetary penalties.In some cases, U.S. Department of Justiceenforced criminal penalties may apply. Commonviolations include: Unpermitted PHI use and disclosure Use or disclosure of more than theminimum necessary PHI Lack of PHI safeguards Lack of administrative, technical, or physical ePHI safeguards Lack of individuals’ access to their PHIThe following are actual case examples: HIPAA Privacy and Security Rule: A wireless health service provider agreed to pay 2.5 million to settle potential violations of the HIPAAPrivacy and Security Rules after someone stole a laptop with 1,391 individuals’ ePHI from an employee’s vehicle. The investigation revealedinsufficient risk analysis and management processes at the time of the theft. Additionally, the organization’s HIPAA Security Rule policies andprocedures were in draft form. The organization couldn’t produce any final policies or procedures regarding safeguards for ePHI, including formobile devices. HIPAA Breach Notification Rule: A specialty clinic agreed to pay 150,000 to settle potential violations of the HIPAA rules. An unencryptedthumb drive with the ePHI of about 2,200 individuals was stolen from a clinic employee’s vehicle. The investigation revealed the clinic hadn’taccurately or thoroughly analyzed the potential risks and vulnerabilities to the confidentiality of ePHI as part of its security managementprocess. The clinic also didn’t comply with Breach Notification Rule requirements for written policies and procedures and employee training.This case was the first settlement with a covered entity for not having policies and procedures to address the HIPAA Breach Notification Rule.Page 10 of 11MLN909001 May 2021

HIPAA Basics for Providers: Privacy, Security, & Breach Notification RulesMLN Booklet Criminal prosecution: A former hospital employee pleaded guilty to criminal HIPAA charges after obtaining PHI intending to use it forpersonal gain. He was sentenced to 18 months in federal prison.Find more information on the HHS HIPAA Enforcement webpage.Resources Communicating with a Patient’s Family, Friends, or Others Involved in the Patient’s Care and Model Notices of Privacy Practices FAQs about the Disposal of Protected Health Information Business Associate Contracts and Business Associates FAQs Fast Facts for Covered Entities and Covered Entity Guidance HIPAA FAQs for Professionals Omnibus HIPAA Final Rule (2013 Modifications to the HIPAA Privacy, Security, Enforcement, and Breach Notification Rules) Privacy, Security, and HIPAA Security Rule Guidance Material Training Materials Special Topics in Health Information PrivacyMedicare Learning Network Content Disclaimer, Product Disclaimer, and Department of Health & Human Services DisclosureThe Medicare Learning Network , MLN Connects , and MLN Matters are registered trademarks of the U.S. Department of Health & HumanServices (HHS).Page 11 of 11MLN909001 May 2021

The HIPAA Security Rule includes security requirements to protect patients’ ePHI confidentiality, integrity, and availability. The Security Rule requires you to develop reasonable and appropriate security policies.File Size: 658KB