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Compliance and Security: A Match Made in HIPAA Heaven

December 29, 2020

Peanut butter and jelly, macaroni and cheese, rock and roll – there’s really no mistaking that some things are just better in pairs. While these might be the obvious examples to tag along with the old 80’s hit “It Takes Two to Make a Thing Go Right”  there’s another dynamic duo that plays an important role in your practices’ daily operations: Compliance and Security. 

Compliance and security go hand-in-hand, making the perfect team when it comes to protecting patient data. But falling into the trap of thinking that achieving one means meeting the other can mean double trouble for your practice – so it’s important to understand the differences between the two and how to ensure you’re checking both off your list. 

What is compliance?

Compliance is kind of like the bread and butter of your practice. It essentially focuses on the regulatory requirements involved in the protection of sensitive patient data – meaning that you not only have a secure technical environment but also have the know-how and documentation to prove it. Compliance is a comprehensive set of standards that practices must meet to avoid fines but should be viewed as more of a baseline when it comes to security, not the end all be all. Complying with HIPAA means meeting various requirements outlined in the HIPAA Security and Privacy Rule – but there’s more to the story when it comes to ensuring that patient data is fully protected. 

What is security? 

Security is the whole system of policies, processes, and technical controls specific to your practice. The goal of security is to ensure the best possible protection of the confidentiality, integrity, and availability of patient data – which in the age of technology means constantly updating to mitigate the risk of ever-changing threats. When we think of security we often think of locks on practice doors and passwords on computers but those safeguards only brush the surface of true security.  Having the proper technical safeguards in place, and staying up to date on any new threats, such as the recent threat to Microsoft Exchange vulnerabilities knowing how to properly mitigate a potential threat, and staying educated are just some ways to meet your practice’s security needs.  

So, what’s the difference? 

While both are crucial in protecting patient data, security and compliance are not one and the same. The key distinction between the two is that compliance requirements are a bit more predictable whereas security standards are rapidly evolving with current risks and threats. This, unfortunately, means that even if you check off each of the compliance requirement boxes doesn’t exactly mean that your practice is 100% secure –  which is why you are still at risk for a cyberattack even if you have a complete HIPAA compliance program in place. 

Why you need both! 

Just like Batman and Robin, when you put the two forces together – they’re pretty unstoppable. And with cyberattackers playing the role of the modern-day villain, establishing strong compliance AND security programs are the best, and perhaps the only way to ensure you’re taking every measure to protect patient data. 

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October 9, 2026 Penelope Schweitzer No comments yet

October 9, 2026 The latest HIPAA settlement doesn’t involve a hospital system or a massive ransomware attack. It involves a practice that probably looks a lot like yours. Shen Smiles is a solo dental practice in Drums, Pennsylvania. It started with a former patient’s complaint about getting their health records. It led to a broader OCR investigation and a $140,000 settlement. The lesson? Every HIPAA-regulated organization, big or small, can face enforcement.   What happened? Under federal law, patients must be given access to their records within 30 days, with one possible 30-day extension if the patient is notified in writing within the first 30 days. In April 2020, a former patient’s attorney filed a complaint with the Office for Civil Rights (OCR). The complaint alleged that the patient had requested their records multiple times without receiving access. The public documents don’t say when the first request was made. OCR’s investigation went beyond the original complaint. According to the resolution agreement, OCR found that patient records weren’t properly maintained and that staff hadn’t received formal HIPAA Privacy Rule training. OCR also said the practice couldn’t produce evidence that it had HIPAA policies and procedures in place, including for patient access requests, or that it had reasonably safeguarded patient information. During the investigation, the practice stated that it couldn’t provide the records because a workforce member had stolen them. The public documents don’t address whether a breach assessment was done. As a general rule, though, HIPAA presumes that an impermissible acquisition, access, use, or disclosure of unsecured patient information is a breach. A breach can require notifying HHS and affected patients, including steps patients can take to protect themselves. These are baseline requirements every covered entity is expected to have in place. Policies and training give a team a HIPAA playbook. Without one, staff at any practice may not know what to do when a patient asks for records or records go missing. OCR proposed a $140,000 civil money penalty in July 2024. Shen Smiles requested a hearing before an administrative law judge, but the two sides reached a resolution agreement in August 2026, before the hearing took place. Under the agreement, the practice agreed to pay $140,000. The agreement is not an admission of liability.   The Takeaway for Practices Patient access has been an OCR priority for years through its HIPAA Right of Access Initiative, and this case marks its 56th Right of Access enforcement action. It also took more than six years from complaint to resolution. As this case shows, a single complaint can lead to a broader look at your compliance program. Now is the time to ask: Do we have written HIPAA policies our team can find? Do we have a process to answer every record request within 30 days? Can we prove every team member has completed HIPAA training? If any of those gave you pause, now’s the time to fix it, before OCR comes asking. Looking for the first step? Meet with one of our compliance experts to see where you currently stand. 

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September 1, 2026   The Office for Civil Rights (OCR) announced its 55th settlement under the HIPAA Right of Access Initiative, and this one is a good reminder that “we’ll get to it” is an easy shortcut to a massive financial penalty.   What happened Azul Vision, Inc., a California optometry enterprise healthcare provider, took nearly two years to provide a patient her healthcare records failed to give a patient timely access to her health records. She requested her records in January 2023. She didn’t actually receive them until January 2025, or two years later, and only after OCR opened an investigation following her complaint in April 2023.   The importance of Right of Access The HIPAA Privacy Rule’s Right of Access is straightforward: patients are entitled to their healthcare records within 30 days of a request, with one possible 30-day extension if needed.    The cost Azul Vision agreed to a two-year, OCR-monitored corrective action plan and paid $50,000. The corrective action plan requires the practice to: Review and revise its written policies and procedures for Privacy Rule compliance.  Regularly report to HHS a log of every PHI access request it receives, including when it came in and when it was resolved, Train all workforce members on right of access requirements and the practice’s own procedures.   Practical takeaways Have a documented, assigned process for access requests: not an informal “someone will handle it” arrangement. Track every request against the 30-day (or extended 60-day) clock: If nothing is timestamping requests, nothing is catching the ones that slip. Train staff specifically on right of access: this is a distinct Privacy Rule obligation from general HIPAA awareness, and it’s clearly one OCR is actively enforcing.   The bottom line A single records request that went unanswered turned into a $50,000 penalty, two years of federal monitoring, and a detrimental hit to the organization’s reputation. That’s a steep price for what really comes down to a missing process. If your team can’t answer “what happens the moment a patient asks for their records?” right now, that’s the gap to close before your practice ends up as OCR’s next enforcement case. Want a streamlined way to close your compliance gaps? Meet with an Abyde expert today!

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