The HIPAA Security Final Rule requires all that all Covered Entities and Business Associates (and, soon likely, their sub contractors) complete a Risk Analysis (45 C.F.R. § 164.308(a)(1)). Here’s a big tip – you can’t simply make up how you’re going to do it! Nor can you always rely on so-called experts who use their own approach. The HHS/OCR Final Guidance on Risk Analysis is clear: Regardless of methodology (and some don’t make the grade!), HHS/OCR cites nine (9) essential elements that must be included in your risk analysis…
9 Essential Elements of a HIPAA Security Risk Analysis
Regardless of the risk analysis methodology employed, your work must include these elements:
- Scope of the Analysis – all ePHI that an organization creates, receives, maintains, or transmits must be included in the risk analysis. (45 C.F.R. § 164.306(a)).
- Data Collection – The data on ePHI gathered using these methods must be documented. (See 45 C.F.R. §§ 164.308(a)(1)(ii)(A) and 164.316 (b)(1).)
- Identify and Document Potential Threats and Vulnerabilities – Organizations must identify and document reasonably anticipated threats to ePHI. (See 45 C.F.R. §§ 164.306(a)(2), 164.308(a)(1)(ii)(A) and 164.316(b)(1)(ii).)
- Assess Current Security Measures – Organizations should assess and document the security measures an entity uses to safeguard ePHI. (See 45 C.F.R. §§ 164.306(b)(1), 164.308(a)(1)(ii)(A), and 164.316(b)(1).)
- Determine the Likelihood of Threat Occurrence – The Security Rule requires organizations to take into account the likelihood of potential risks to ePHI. (See 45 C.F.R. § 164.306(b)(2)(iv).)
- Determine the Potential Impact of Threat Occurrence – The Rule also requires consideration of the “criticality,” or impact, of potential risks to confidentiality, integrity, and availability of ePHI. (See 45 C.F.R. § 164.306(b)(2)(iv).)
- Determine the Level of Risk – The level of risk could be determined, for example, by analyzing the values assigned to the likelihood of threat occurrence and resulting impact of threat occurrence. (See 45 C.F.R. §§ 164.306(a)(2), 164.308(a)(1)(ii)(A), and 164.316(b)(1).)
- Finalize Documentation – The Security Rule requires the risk analysis to be documented but does not require a specific format. (See 45 C.F.R. § 164.316(b)(1).)
- Periodic Review and Updates to the Risk Assessment – The risk analysis process should be ongoing. In order for an entity to update and document its security measures “as needed,” which the Rule requires, it should conduct continuous risk analysis to identify when updates are needed. (45 C.F.R. §§ 164.306(e) and 164.316(b)(2)(iii).)
We suggest you use the list above as an initial screening tool when you’re considering building or buying a methodology or hiring someone to do the work.
A HIPAA Risk Analysis is not to be confused with a HIPAA Security Evaluation (45 C.F.R. § 164.308(a)(8))! We explained the difference in a prior post.
In addition to an express requirement to conduct a risk analysis, the Rule indicates that risk analysis is a necessary tool in reaching substantial compliance with many other standards and implementation specifications. We have assembled many useful documents, tools and resources related to Risk Analysis on our site here. Please feel free to use and enjoy them!
Please avail yourself of any of these free resources which you may access now by clicking on the links below:
- Risk Analysis Buyer’s Guide
- Expert 2nd Opinion on Your HIPAA Risk Analysis
- Clearwater Compliance White Paper: Risky Business: How to Conduct a Bona Fide HIPAA Security Risk Analysis
- Clearwater Recorded Webinar event entitled How to Conduct a Bona Fide HIPAA Security Risk Analysis
- IRM|Analysis™- Clearwater’s Risk Analysis and Risk Management software DataSheet
- IRM|Analysis™- Clearwater’s Risk Analysis and Risk Management software Free Trial for qualified organizations
- More Risk Analysis Resources
Latest posts by Bob Chaput (see all)
- HIPAA Risk Analysis Tip – How Comprehensive Must Your HIPAA Security Risk Analysis Be? - April 25, 2017
- HIPAA Risk Analysis Tip – Does OCR really use the “Guidance on Risk Analysis Requirements under the HIPAA Security Rule”? - April 23, 2017
- HIPAA Risk Analysis Tip – May 3rd Webinar with Leon Rodriguez – What OCR Expects in Your HIPAA Risk Analysis - April 9, 2017