Welcome to EMR and HIPAA

Today I found a really interesting article in Utah’s local paper the Deseret Morning News. In the story, a box of medical charts was lost by UPS after being sent from a Hospital to somewhere in Las Vegas for a medicare audit. You can read the article for all the facts, but essentially the box somehow got misdirected and ended up being bought by a Utah school teacher purchasing some “scrap” paper.

I was kind of surprised by how long it took the hospital to get in touch with UPS after the box was lost. Ok, so I’m not really surprised that the hospital is not watching all of the HIPAA information they sent out to make sure that it arrives safely, but maybe it should. UPS has some pretty incredible tracking tools these days that really aren’t that hard to use.

The other interesting thing to consider is how these types of audits/information transfer happens in an electronic world. I know that we transfer eligibility lists to insurance companies using Secure FTP and that works quite well. We’ve worked with a scanning company who is scanning our old paper charts and when we need to access one of those old records, they send us an encrypted file through email. That works pretty smoothly.

Unfortunately, I think if a patient wants a record right now or if we needed to send some health information out for an audit (not sure why we would need to) then we’d have to pretty much just print out the electronic record like we do when a patient makes a . In fact, we’ve even made a request to our EMR software company to give us a one click method that will allow us to print the entire chart. It’s a pain to print out everything in the paper chart from what’s scanned in, to prescriptions, to lab results, to referrals, etc etc etc. Any EMR companies have a better way to do this?

This information is a little bit dated, but it was sitting in my draft posts and I think that it’s still very relevant to those interested in HIPAA compliance. Computer World posted an article about Atlanta’s Piedmont hospital being the first organization to have a HIPAA audit by the HHS.

In the report they identified 42 questions that HHS reportedly asked Piedmont hospital during the HIPAA audit. Regardless of how accurate this is, I think that it’s interesting for all those in the healthcare industry to evaluate these questions and how they apply in their environment.

Here’s the list of questions:

1. Establishing and terminating users’ access to systems housing electronic patient health information (ePHI).
2. Emergency access to electronic information systems.
3. Inactive computer sessions (periods of inactivity).
4. Recording and examining activity in information systems that contain or use ePHI.
5. Risk assessments and analyses of relevant information systems that house or process ePHI data.
6. Employee violations (sanctions).
7. Electronically transmitting ePHI.
8. Preventing, detecting, containing and correcting security violations (incident reports).
9. Regularly reviewing records of information system activity, such as audit logs, access reports and security incident tracking reports.
10. Creating, documenting and reviewing exception reports or logs. Please provide a list of examples of security violation logging and monitoring.
11. Monitoring systems and the network, including a listing of all network perimeter devices, i.e. firewalls and routers.
12. Physical access to electronic information systems and the facility in which they are housed.
13. Establishing security access controls; (what types of security access controls are currently implemented or installed in hospitals’ databases that house ePHI data?).
14. Remote access activity i.e. network infrastructure, platform, access servers, authentication, and encryption software.
15. Internet usage.
16. Wireless security (transmission and usage).
17. Firewalls, routers and switches.
18. Maintenance and repairs of hardware, walls, doors, and locks in sensitive areas.
19. Terminating an electronic session and encrypting and decrypting ePHI.
20. Transmitting ePHI.
21. Password and server configurations.
22. Antivirus software.
23. Network remote access.
24. Computer patch management.

HHS also had a slew of other requests:

1. Please provide a list of all information systems that house ePHI data, as well as network diagrams, including all hardware and software that are used to collect, store, process or transmit ePHI.
2. Please provide a list of terminated employees.
3. Please provide a list of all new hires.
4. Please provide a list of encryption mechanisms use for ePHI.
5. Please provide a list of authentication methods used to identify users authorized to access ePHI.
6. Please provide a list of outsourced individuals and contractors with access to ePHI data, if applicable. Please include a copy of the contract for these individuals.
7. Please provide a list of transmission methods used to transmit ePHI over an electronic communications network.
8. Please provide organizational charts that include names and titles for the management information system and information system security departments.
9. Please provide entity wide security program plans (e.g System Security Plan).
10. Please provide a list of all users with access to ePHI data. Please identify each user’s access rights and privileges.
11. Please provide a list of systems administrators, backup operators and users.
12. Please include a list of antivirus servers, installed, including their versions.
13. Please provide a list of software used to manage and control access to the Internet.
14. Please provide the antivirus software used for desktop and other devices, including their versions.
15. Please provide a list of users with remote access capabilities.
16. Please provide a list of database security requirements and settings.
17. Please provide a list of all Primary Domain Controllers (PDC) and servers (including Unix, Apple, Linux and Windows). Please identify whether these servers are used for processing, maintaining, updating, and sorting ePHI.
18. Please provide a list of authentication approaches used to verify a person has been authorized for specific access privileges to information and information systems.

Since most of my interest is in ambulatory care, I wonder if an audit would be this extensive for ambulatory care. Talk about putting a company out of business. This would be an extensive report for a hospital but could be really detrimental to a small doctor’s office. Still interesting to think about.

I expect that no one is fully compliant with this list. Of course, that raises the question of what’s full compliance, but we’ll save that topic for another day.

The HIPAA enforcement rule is published.

Rick Brady mentioned that “HIPAA has no teeth.” I agree in principle. Martin Jensen mentioned that he used to agree with it not having teeth until he had a conversation with one of the regulators.

I think there are really a few important points. The penalties really are rather small and incosequential compared to the costs of compliancy. Every good business has to weigh those two factors. However, the more difficult concept to calculate is the shame of a HIPAA violation. I can tell you now that this is something for which people are very interested. The most often google search I get is for HIPAA Lawsuits. People are scared of this possibility and want to know who is going to take the fall at HIPAA’s hands. I really feel like I’m stuck between a rock and a hard place. HIPAA compliancy and budgeting.

My only relief is in the following excerpt:

[A] civil money penalty may not be imposed ‘‘if it is established to the satisfaction of the Secretary that the person liable for the penalty did not know, and by exercising reasonable diligence would not have known, that such person violated the provision’’,…if the failure to comply was due ‘‘to reasonable cause and not to willful neglect’’ and is corrected within a certain time, [and] a civil money penalty may be reduced or entirely waived ‘‘to the extent that the payment of such penalty would be excessive relative to the compliance failure involved.’’

My desire is to post things I find of importance related to HIPAA and EMR. My personal experience is in College Health so I will focus on posting items related more specifically to College Health. However, I will try to incorporate any aspects of EMR and HIPAA because I think best practices across the industry are important to know. Please feel free to post all you want if you find some good information that I haven’t seen and correct me if I’m wrong. This is my best knowledge from my research and is not guaranteed in anyway.

EMR BLOG