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Conducting a HIPAA-Compliant Risk Assessment

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Patrick Smith
Conducting a HIPAA-Compliant Risk Assessment

Neither the authors of the HIPAA legislation nor the Health and Human Services´ Office for Civil Rights have ever issued guidance about the methodology that should be used to conduct a HIPAA-compliant risk assessment. Though frustrating for many, this was a deliberate effort to ensure that HIPAA did not need to be constantly updated with new codes of practice. Much like the “addressable requirements” found throughout the HIPAA document (particularly the Security Rule), it gives the CE or BA flexibility to decide how best to protect PHI based on their available resources.


Thus, each individual Covered Entity and Business Associate has to determine what areas should be covered by the risk assessment and how they will be assessed. This can be daunting for organizations entering a healthcare-related industry with no previous exposure to HIPAA – even those whose access to PHI will be limited.


CEs and BAs are not, however, left totally in the dark about how to conduct risk assessments. The Office of the National Coordinator for Health Information Technology has developed a free Security Rule Assessment (SRA) tool that organizations can download and use in the risk assessment process. As this tool only covers the Security Rule element of HIPAA, organizations – particularly those applying for Meaningful Use incentive payments – will also need to conduct a risk assessment to assess their compliance with the Privacy Rule. There is professional help available for organizations who need it.


Generally, when conducting a risk assessment, organizations should focus divide threats into “internal” vs “external” threats. Internal threats are often the result of human error – phones left on buses, documents left on desks, cabinets left unlocked. These are easily identified though can be hard to address, as human errors are almost unavoidable. External threats often take a much larger scale – cyberattacks pose an ever-increasing threat to patient privacy. It may seem like there’s little an employee can do to tackle this, but education about phishing scams and similar schemes can be very helpful.

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