Skip to main content


U.S. flag
      An official website of the United States government
              Here’s how you know
        Here’s how you knowDot gov**Official websites use .gov**
                 A **.gov** website belongs to an official government organization in the United States.
                  HTTPS**Secure .gov websites use HTTPS**
                 A **lock** (A locked padlock) or **https://** means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites. 
  Menu Close
          HHS Search (hipaa)
    Search
        








  
  
    

  
      

                                      About HHS
    
                        
                              
      
      
      Programs & Services
    
                        
                              
      
      
      Grants & Contracts
    
                        
                              
      
      
      Laws & Regulations                  
Health Information Privacy
  HIPAA for Individuals
    
                        
                                            
      
      
      Filing a Complaint
    
                        
                                            
      
      
      HIPAA for Professionals
    
                        
                                            
      
      
      Newsroom

              

    



Breadcrumb
    HHS
                              HIPAA Home
                              For Professionals
                              HIPAA Compliance and Enforcement
                              Enforcement Data
                              Enforcement Highlights - Current
                              Enforcement Highlights - September 2011


    

    

    Navigate to:
  HIPAA for Professionals
    
                                    
                                            
            
      
      
      
      Regulatory Initiatives
    
                                                  
                                                                  
            
      
      
      
      Privacy
                                            
            
            Summary of the Privacy Rule
    
                                                  
                                            
            
      
      
      
      Guidance
    
                                                  
                                            
            
      
      
      
      Combined Text of All Rules
    
                                                  
                                            
            
      
      
      
      HIPAA Related Links
    
                                                  
                                                                  
            
      
      
      
      Security
                                            
            
            Summary of the Security Rule
    
                                                  
                                            
            
      
      
      
      Security Guidance
    
                                                  
                                            
            
      
      
      
      Cyber Security Guidance
    
                                                  
                                                                  
            
      
      
      
      Breach Notification
                                            
            
            Breach Reporting
    
                                                  
                                            
            
      
      
      
      Guidance
    
                                                  
                                            
            
      
      
      
      Reports to Congress
    
                                                  
                                            
            
      
      
      
      Regulation History
    
                                                  
                                                                  
            
      
      
      
      Compliance & Enforcement
                                            
            
            Enforcement Rule
    
                                                  
                                            
            
      
      
      
      Enforcement Process
    
                                                  
                                            
            
      
      
      
      Enforcement Data
    
                                                  
                                            
            
      
      
      
      Resolution Agreements
    
                                                  
                                            
            
      
      
      
      Case Examples
    
                                                  
                                            
            
      
      
      
      Audit
    
                                                  
                                            
            
      
      
      
      Reports to Congress
    
                                                  
                                            
            
      
      
      
      State Attorneys General
    
                                                  
                                                                  
            
      
      
      
      Special Topics
                                            
            
            HIPAA and Part 2
    
                                                  
                                            
            
      
      
      
      Change Healthcare Cybersecurity Incident FAQs
    
                                                  
                                            
            
      
      
      
      HIPAA and COVID-19
    
                                                                
                                                                  
            
      
      
      
      HIPAA and Reproductive Health
                          
            
            HIPAA and Final Rule Notice
    
                                                  
                                            
            
      
      
      
      HIPAA and Telehealth
    
                                                  
                                            
            
      
      
      
      HIPAA and FERPA
    
                                                  
                                            
            
      
      
      
      Research
    
                                                  
                                            
            
      
      
      
      Public Health
    
                                                  
                                            
            
      
      
      
      Emergency Response
    
                                                  
                                            
            
      
      
      
      Health Information Technology
    
                                                  
                                            
            
      
      
      
      Health Apps
    
                                                  
                                                                  
            
      
      
      
      Patient Safety
                                            
            
            Statute & Rule
                          
            
            PSQIA Statute
    
                                                  
                                            
            
      
      
      
      Patient Safety Rule
    
                                                  
                                            
            
      
      
      
      Enforcement
    
                                                  
                                            
            
      
      
      
      Guidance
    
                                                  
                                                                  
            
      
      
      
      Covered Entities & Business Associates
                                            
            
            Business Associate Contracts
    
                                                  
                                            
            
      
      
      
      Business Associates
    
                                    
                                            
            
      
      
      
      Training & Resources
    
                                    
                                            
            
      
      
      
      FAQs for Professionals
    
                                    
                                            
            
      
      
      
      Other Administrative Simplification RulesText resize icon

                    




Enforcement Highlights








  
  
    

  
      





(As of September 30, 2011)
PRIVACY RULE
The HIPAA Privacy Rule is a set of federal standards to protect the privacy of patients' medical records and other health information maintained by covered entities: health plans, which include many governmental health programs, such as the Veterans Health Administration, Medicare and Medicaid; most doctors, hospitals and many other health care providers; and health care clearinghouses. These standards provide patients with access to their medical records and with significant control over how their personal health information is used and disclosed. Compliance with the standards was required as of April 14, 2003 for most entities covered by HIPAA. On that date, OCR began accepting complaints involving the privacy of personal health information in the health care system.
Privacy Rule Enforcement Results as of the Date of This Summary
HHS / OCR has investigated and resolved over 14,527 cases by requiring changes in privacy practices and other corrective actions by the covered entities. Corrective actions obtained by HHS from these entities have resulted in change that is systemic and that affects all the individuals they serve. HHS has successfully enforced the Privacy Rule by applying corrective measures in all cases where an investigation indicates noncompliance by the covered entity. OCR has investigated complaints against many different types of entities including: national pharmacy chains, major medical centers, group health plans, hospital chains, and small provider offices.
	In another 7,548 cases, our investigations found no violation had occurred.
	In the rest of our completed cases (36,334), HHS determined that the complaint did not present an eligible case for enforcement of the Privacy Rule. These include cases in which:
		OCR lacks jurisdiction under HIPAA – such as a complaint alleging a violation prior to the compliance date or alleging a violation by an entity not covered by the Privacy Rule;
			the complaint is untimely, or withdrawn or not pursued by the filer;
			the activity described does not violate the Rule – such as when the covered entity has disclosed protected health information in circumstances in which the Rule permits such a disclosure.In summary, since the compliance date in April 2003, HHS has received over 64,126 HIPAA Privacy complaints. We have resolved over ninety-one percent of complaints received (over 58,409): through investigation and enforcement (over 14,527); through investigation and finding no violation (7,548); and through closure of cases that were not eligible for enforcement (36,334).From the compliance date to the present, the compliance issues investigated most are, compiled cumulatively, in order of frequency:
Impermissible uses and disclosures of protected health information;
	Lack of safeguards of protected health information;
	Lack of patient access to their protected health information;
	Uses or disclosures of more than the Minimum Necessary protected health information; and
	Complaints to the covered entity.The most common types of covered entities that have been required to take corrective action to achieve voluntary compliance are, in order of frequency:
Private Practices;
	General Hospitals;
	Outpatient Facilities;
	Health Plans (group health plans and health insurance issuers); and,
	Pharmacies.Referrals
OCR refers to the Department of Justice (DOJ) for criminal investigation appropriate cases involving the knowing disclosure or obtaining of protected health information in violation of the Rule. As of the date of this summary, OCR made over 495 such referrals to DOJ.
SECURITY RULE
The HIPAA Security Rule establishes national standards for the security of electronic protected health information. The final rule adopting HIPAA standards for security was published in the Federal Register on February 20, 2003. This final rule specifies a series of administrative, technical, and physical security procedures for covered entities to use to assure the confidentiality of electronic protected health information. The standards are delineated into either required or addressable implementation specifications. Compliance with the standards was required as of April 20, 2005, for most entities covered by HIPAA. The authority to administer and enforce the Security Rule was transferred to OCR on July 27, 2009.
Security Rule Enforcement Results as of the Date of This Summary
Since OCR began reporting its Security Rule enforcement results in October 2009, HHS has received approximately 471 complaints alleging a violation of the Security Rule.  During this period, we closed 236 complaints after investigation and appropriate corrective action.  As of September 30, 2011, OCR had 301 open complaints and compliance reviews.**Watch for monthly updates reporting the number of cases received, investigated or resolved.**

                    
  


Content created by Office for Civil Rights (OCR) Content last reviewed October 21, 2015Back to top
    Contact HHS
    
                        
                                            
      
      
      Careers
    
                        
                                            
      
      
      HHS FAQs
    
                        
                                            
      
      
      Nondiscrimination NoticeHHS Archive
    
                        
                                            
      
      
      Accessibility Statement
    
                        
                                            
      
      
      Privacy Policy
    
                        
                                            
      
      
      Viewers & PlayersBudget/Performance
    
                        
                                            
      
      
      Inspector General
    
                        
                                            
      
      
      Web Site Disclaimers
    
                        
                                            
      
      
      EEO/No Fear ActFOIA
    
                        
                                            
      
      
      The White House
    
                        
                                            
      
      
      USA.gov
    
                        
                                            
      
      
      Vulnerability Disclosure Policy
        Sign Up for Email Updates

Receive the latest updates from the Secretary, Blogs, and News Releases.

Sign Up
  HHS Headquarters
          200 Independence Avenue, S.W.
                  Washington, D.C. 20201
                  Toll Free Call Center: 1-877-696-6775​Disclaimer Policy: Links with this icon () mean that you are leaving the HHS website.
              The Department of Health and Human Services (HHS) cannot guarantee the accuracy of a non-federal website.
                  Linking to a non-federal website does not mean that HHS or its employees endorse the sponsors, information, or products presented on the website. HHS links outside of itself to provide you with further information.
                  You will be bound by the destination website's privacy policy and/or terms of service when you follow the link.
                  HHS is not responsible for Section 508 compliance (accessibility) on private websites.For more information on HHS's web notification policies, see Website Disclaimers.
              Continue
                  Go back