Security and Risk Analysis Questionnaire

Risk and Security Analysis
Practice Name: ___________________________________

RISK ANALYSIS (R) 164.308(a)(1)(ii)(A) Conduct an accurate and thorough assessment of the potential risks and vulnerabilities to the confidentiality, integrity, and availability of electronic protected health information held by the covered entity. Have you identified the EPHI within your organization? This includes EPHI that you create, receive, maintain or transmit. Please note that EPHI may be resident on computer workstations, servers or on portable devices such as laptops, and PDAs. RISK MANAGEMENT (R) 164.308(a)(1)(ii)(B) Implement security measures sufficient to reduce risks and vulnerabilities to a reasonable and appropriate level to comply with 164.306(a). What security measures are already in place to protect EPHI - this can be a comprehensive view of all measures, whether administrative, physical or technical, such as an over arching security policy; door locks to rooms where EPHI is stored; or the use of password- protected files. SANCTION POLICY (R) 164.308(a)(1)(ii)(C) Apply appropriate sanctions against workforce members who fail to comply with the security policies and procedures of the covered entity. Have you developed, applied and implemented policies specific to violations of the security policies and procedures? If so, do they provide appropriate sanctions for workforce members who fail to comply with your security policies and procedures? (i.e., have you included your sanction policy in your workforce manual and trained your staff on the policy?)
AUTHORIZATION AND/OR SUPERVISION (A) 164.308(a)(3)(ii)(A) Implement procedures for the authorization and/or supervision of workforce members who work with electronic protected health information or in locations where it might be accessed.
Are the procedures used by your workforce consistent with your access policies (i.e., do people who should have access actually have that access? Are people who should not have access prevented from accessing the information?)
PASSWORD MANAGEMENT (A) 164.308(a)(5)(ii)(D) Implement procedures for creating, changing, and safeguarding passwords.
Does your workforce training address topics such as not sharing passwords with other workforce members or not writing down passwords and leaving them in open areas?
DATA BACKUP PLAN (R) 164.308(a)(7)(ii)(A) Establish and implement procedures to create and maintain retrievable exact copies of electronic protected health information.
Do your procedures identify all sources of EPHI that must be backed up such as patient accounting systems, electronic medical or health records, digital recordings of diagnostic images, electronic test results, or any other electronic documents created or used that contain EPHI?
WRITTEN CONTRACT OR OTHER ARRANGEMENTS (R) 164.308(b)(4) Document the satisfactory assurances required by this section through a written contract or other arrangement with the business associate that meets the applicable requirements of 164.314(a) [(the Business Associate Contracts or Other Arrangements Standard)].
Do you have contracts in place with outside entities entrusted with health information generated by your office? If so, do the contracts provide assurances that the information will be properly safeguarded?
FACILITY SECURITY PLAN (A) 164.310(a)(2)(ii) Implement policies and procedures to safeguard the facility and the equipment therein from unauthorized physical access, tampering, and theft.
Do your office policies and procedures identify controls to prevent unauthorized physical access, tampering, and theft of EPHI? These could include locked doors, signs warning of restricted areas, surveillance cameras, alarms, and identification numbers and security cables on computers.
MAINTENANCE RECORDS (A) 164.310(a)(2)(iv) Implement policies and procedures to document repairs and modifications to the physical components of a facility which are related to security (for example, hardware, walls, doors and locks).
Has your office implemented policies and procedures that specify how repairs and modifications to a building or facility will be documented to demonstrate that the EPHI is protected?
This standard does not have corresponding implementation specifications. However, compliance with the standard itself is required (R).
Do your office policies and procedures specify the use of additional security measures to protect workstations with EPHI, such as using privacy screens, enabling password protected screen savers or logging off the workstation?
DISPOSAL (R) 164.310(d)(2)(i) Implement policies and procedures to address the final disposition of electronic protected health information, and/or the hardware or electronic media on which it is stored.
Does your office have a method of destroying EPHI on equipment and media you are no longer using? For example, have you considered purchasing hard drive erasure software for a planned upgrade of office computers?
DATA BACKUP AND STORAGE (A) 164.310(d)(2)(iv) Create a retrievable, exact copy of electronic protected health information, when needed, before movement of equipment. UNIQUE USER IDENTIFICATION (R) 164.312(A)(2)(I) Assign a unique name and/or number for identifying and tracking user identity.
Do you have a process in place to create a retrievable, exact copy of EPHI before the equipment on which it is stored is moved? Do you have a process in place to assign each user of your system a unique user identifier? If so, can the identifier be used to track user activity within information systems that contain EPHI? This may or may not be reasonable or appropriate for a solo clinician where access has been granted to all office staff.
AUTOMATIC LOGOFF (A) 164.312(a)(2)(iii) Implement electronic procedures that terminate an electronic session after a predetermined time of inactivity.
Do your current information systems have an automatic logoff capability to ensure that unauthorized users do not access data on unattended workstations?
This standard does not have corresponding implementation specifications. However, compliance with the standard itself is required (R).
Does your system require the input of something known only to the person or entity seeking access to EPHI, (such as a password or PIN) prior to granting the requested access?
ENCRYPTION (A) 164.312(e)(2)(ii) Implement a mechanism to encrypt electronic protected health information whenever deemed appropriate.
Based on your required risk analysis, is encryption needed to protect the transmission of EPHI between your office and outside organizations? If not, what measures do you have in place to ensure the protection of this information? Practices and providers might consider password protection of documents or files containing EPHI and/or prohibiting the transmission of EPHI via email.
Risk and Security Analysis Conducted by:
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What security measures are already in place to protect EPHI according to the document?

What policies and procedures does the office have regarding disposal of EPHI and equipment?

Risk and Security Analysis

Practice Name: ___________________________________

Risk and Security Analysis Conducted by:

___________________________________ Printed Name

_________________________________________________ Signature Date

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