A Definitive Guide to HIPAA Audit Checklist 2021

Last Updated | March 1, 2021

HIPAA is the Health Insurance Portability & Accountability Act which is the federal law passed in 1996. HIPAA demands the development of national regulations for ensuring the protection of patients’ health data. It requires the protection of data from breaching or disclosing without the knowledge or consent of the patients. According to the stats of 2018, ten companies paid up to $28.7 million fines for not being able to comply with HIPAA compliance.

This means that complying with HIPAA regulations is mandatory for all healthcare facilities including hospitals, clinics, and private practitioners because getting fined is the last thing one wants. For every healthcare facility, HIPAA audit and HIPAA compliance services have become a crucial matter. In this article, we are sharing a guide for HIPAA audit compliance. This guide will ensure that your healthcare facility is able to protect the crucial Patient Health Information (PHI) in compliance with HIPAA regulations. So, let’s see the checklist and guide!

HIPAA Audit Services & Being HIPAA Compliant

To begin with, the HSS-OIG (Office of Inspector General) provides the compliance resource portal. According to this portal, seven elements derive effective and high-end compliant healthcare programs. The elements listed by the portal include the following;

  1. Procedures, policies, and standards
  2. Evaluation and screening of the physicians, employees, agents, and physicians
  3. The administration of the compliance program
  4. Training, communication, and education on the compliance standards
  5. The preventive and investigation measures
  6. Internal reporting systems and auditing and monitoring systems
  7. Discipline for the non-compliance

The above-mentioned HIPAA audit checklist acts as a guiding resource for all healthcare facilities to remain HIPAA audit compliant and thereby needs to be practiced across all healthcare institutions in the country.

HIPAA Compliance Services Checklist For 2021

Previously, we outlined the essentials that must be achieved by the healthcare facilities for becoming compliant with HIPAA audit services. However, it is important to note that HIPAA compliance and standards have been around for more than two decades. And the legislation and prerequisites have been altered various times with the advancement in technology to meet the changing need of the industry. The four primary amendments to HIPAA compliance services include;

  • The security rule amendment from 2003 includes the administrative, physical, and technical precautions
  • The breach notification rule from 2009
  • The privacy rule amendment from 2003
  • The final omnibus rule from 2013

The Security Rule

The security role by HIPAA defines the electronic health information’s protection. It’s often referred to as security. It includes multiple technical measures.

  • It includes the network encryption that’s responsible for encrypting the ePHI for meeting the cryptographic standards of NIST. The technical measures also include the control access with which the users are assigned with an exclusive PIN code and username, and the login credentials are controlled centrally
  • The security rule includes the authentication of ePHI that demands the identification and authentication of ePHI while ensuring protection from destruction, unlicensed changes, and corruption.
  • It demands the healthcare facilities encrypt and decrypt the data; it applies to laptops and mobiles.
  • There is control of activity audits that demands in-depth logging for tracking the access attempts.
  • It demands the users log out of the app or system within thirty seconds to three minutes.

The Physical Rules 

  • It includes the controlled facility access with which the individuals with access to data storage must be tracked. The tracking not only applies to engineers but the custodians and repair staff as well. It demands the blockage of unlicensed entries.
  • The healthcare facilities must manage the workstations. The policies must be developed to control access to the data and how the information is guarded, along with apt utilization of the workspace.
  • The healthcare facilities must endorse the mobile device policy, which deletes the data before it’s circulated to other users.
  • The healthcare facilities must ensure the complete backup of data before changing the servers

The Administrative Rules 

  • The first factor is risk assessment, with which the risks are identified and analyzed for devising the actions to mitigate risks.
  • It includes the systematic risk management with which the risk assessment processes are implemented at regular intervals with risk reduction measures. It involves the development of sanctions for employees who don’t comply with the HIPAA standards.
  • The administrative rules also demand employee training on ePHI access protocols. It must outline the potential risks from a cybersecurity point of view, such as hacking and phishing.
  • The healthcare facilities must build the contingencies to achieve streamlined operations and effective response to the mishaps.
  • After the development of contingencies, the facilities must check them with regular interims to check if it implies suitably with shifting dynamics.
  • The unauthorized access must be blocked, and the associate agreements must be signed with the stakeholders.
  • The security incidents must be documented, and the reports must be developed.

OCR HIPAA Audits

HIPAA is managed by the HSS, the department of health & human services, while the endorsement is done through the office for civil rights. With the increased cases of data breaches and cybersecurity threats, OCR launched the first phase of the notification HIPAA audit program of privacy, security, and breach in 2014. Furthermore, the second phase was launched in 2016, and the third phase was launched in 2017, with which the on-site audits were launched.

That being said, the OCR has the capacity to check the HIPAA compliance of the organization or individual without prior notice. The primary objective of maintaining the HIPAA compliance checklist can be deciphered as providing the proof for HIPAA compliance for the OCR audit. Nonetheless, even if not for the OCR audit, HIPAA compliance is a crucial need of the hour for all healthcare facilities to ensure the protection of Protected Health Information (PHI).

Audit Protocol

For ensuring that checklists comply with HIPAA standards, the organizations or individuals can utilize the audit protocol. The audit protocols explain the areas that are usually accessed during the OCR audits. It outlines various audit types and outlines the key activities.

FAQs

What is HIPAA Audit?

The OCR tends to work with the healthcare businesses and healthcare providers to ensure they are compliant with the HIPAA standards, regulations, security, and privacy. These audits are conducted to track the progress on HIPAA compliance. Besides, it also outlines the areas that can be improved.

Why is it important for healthcare companies to have HIPAA audit compliance?

HIPPA audit compliance guarantees the safety and protection of patients’ health records. That is to say, the compliance with HIPAA audit ensures that patients trust the healthcare facilities. It’s essential to note that trust is a foundation for every healthcare facility, so if the organization has HIPAA audit compliance, the patients always prefer your healthcare facility as the go-to healthcare provider.

What are some key HIPAA audit compliance services?

Some keys of HIPAA audience compliance services include the integrity, confidentiality, and availability of PHI through timely implementation of the security, physical, and administrative rules.