Meaningful Use Core Measure 15 Webinar

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Meaningful Use Core Measure 15 Webinar

  1. 1.         Meaningful  Use  and  Core  Requirement  15    How    can  I  possibly   comply  with  this  part  of  Meaningful  Use  with  the  lack  of   time  and  staff....   www.compliancygroup.com   1  
  2. 2. Meaningful  Use  and  Core  Requirement  15   Meaningful Use – Protection of Protected Health Information So you acquired an (EHR) platform and you want to attest and receive a Government Payment great news, but …… There are 15 Core Requirements that you need to comply with. One has nothing to do with your EHR system, is the protection of protected health information you are storing. CMS is requiring that you perform and comply with the Security Standards of HIPAA, specifically 164.308. HIPAA is over 10 years old and some have still not complied with the regulations for Privacy or Security, at last check CMS estimates upwards of 80 percent. www.compliancygroup.com   2  
  3. 3. Meaningful  Use  and  Core  Requirement  15  When saying yes to the attestation part for number 15 you must have performedand tracked the following:• Security Management ProcessThe first standard under Administrative Safeguards section is the Security Management Process. This standardrequires covered entities to:“Implement Policies and Procedures to prevent, detect, contain and correct security violations.”  The purpose of this standard is to establish the administrative processes and procedures that a covered entity willuse to implement the security program in its environment. There are four implementation specifications in theSecurity Management Process standard.1. Risk Analysis (Required)2. Risk Management (Required)3. Sanction Policy (Required)4. Information System Activity Review (Required) www.compliancygroup.com   3  
  4. 4. Meaningful  use  core  measure  15  1. RISK ANALYSIS - § 164.308(a)(1)(ii)(A)The Risk Analysis implementation specification requires covered entities to:“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.”  In general, a risk analysis can be viewed as:The process of identifying potential security risks, and determining the probability of occurrence and magnitude of risks. www.compliancygroup.com   4  
  5. 5. Meaningful  use  core  measure  15  2. RISK MANAGEMENT - § 164.308(a)(1)(ii)(B)Risk Management is a required implementation specification. It requires an organization to make decisions about how to address security risks and vulnerabilities. The Risk Management implementation specification states that covered entities must:“Implement security measures sufficient to reduce risks and vulnerabilities to a reasonable and appropriate level”  Risk management is the process used to identify and implement security measures to reduce risk to a reasonable and appropriate level within the covered entity based on the covered entity’s circumstances. www.compliancygroup.com   5  
  6. 6. Meaningful  use  core  measure  15  3.  SANCTION POLICY - § 164.308(a)(1)(ii)(C)Another implementation specification in the Security Management Process isthe Sanction Policy. It requires covered entities to:“Apply appropriate sanctions against workforce members who fail to complywith the security Policies and Procedures of the covered entity.”  Appropriate sanctions must be in place so that workforce members understandthe consequences of failing to comply with security policies and procedures, todeter noncompliance. www.compliancygroup.com   6  
  7. 7. Manually    you  will  need    (and  this  is  just  the  short  list):  4. INFORMATION SYSTEM ACTIVITY REVIEW - § 164.308(a)(1)(ii)(D)The Security Management Process standard also includes the Information System Activity Reviewimplementation specification. This required implementation specification states that coveredentities must:“Implement Policies and Procedures to regularly review records of information system activity,such as audit logs, access reports, and security incident tracking reports.”  The information system activity review enables covered entities to determine if any EPHI is usedor disclosed in an inappropriate manner. Information system activity review procedures may bedifferent for each covered entity. The procedure should be customized to meet the covered entity’srisk management strategy and take into account the capabilities of all information systems withEPHI. www.compliancygroup.com   7  
  8. 8. Meaningful  use  core  measure  15  Excel Spreadsheets to track:•  Policies  and  Procedures     •  Along  with  all  of  your  updates  to  the  each  one.  •   Training  for  each  employee     •  When  their  refresher  has  occurred.  •  Security  Audits     •  State  the  regulation   •  The    gap  steps  you  took  to  remediate  them.  •  Your  incidents   •  How  you  investigated     •  How  you  resolved  them.  •  Each  vendor  you  share  PHI  with   •  How  you  determined  them  to  be  compliant   www.compliancygroup.com   8  
  9. 9. The  Guard  –  Compliance  made  easy   www.compliancygroup.com   9  
  10. 10. Meaningful  use  core  measure  15  Assigned Security ResponsibilityThe second standard in the Administrative Safeguards section is Assigned SecurityResponsibility. There are no separate implementation specifications for this standard. Thestandard requires that covered entities:“Identify the security official who is responsible for the development and implementation ofthe Policies and Procedures required for the entity.”  The purpose of this standard is to identify who will be operationally responsible for assuring thatthe covered entity complies with the Security Rule. Covered entities should be aware of thefollowing when assigning security responsibility:The Security Official and Privacy Official can be the same person, but are not required to be.While one individual must be designated as having overall responsibility, other individuals in thecovered entity may be assigned specific security responsibilities (e.g., facility security ornetwork security). www.compliancygroup.com   10  
  11. 11. Meaningful  use  core  measure  15  Workforce SecurityThe third standard is Workforce Security, which states that covered entities must:“Implement Policies and Procedures to ensure that all members of its workforce have appropriateaccess to electronic protected health information”  Within a covered entity’s environment, workforce members that need access to EPHI to carry outtheir duties must be identified. For each workforce member, or job function, the covered entity mustidentify the EPHI that is needed, when it is needed, and make reasonable efforts to control access tothe EPHI. This will also include identification of the computer systems and applications that provideaccess to the EPHI. Covered entities must provide only the minimum necessary access to EPHI thatis required for a workforce member to do his or her job.Within Workforce Security there are three implementation specifications.A. Authorization and/or SupervisionB. Workforce Clearance ProcedureC. Termination Procedures www.compliancygroup.com   11  
  12. 12. Meaningful  use  core  measure  15  AUTHORIZATION AND/OR SUPERVISION – § 164.308(a)(3)(ii)(A)Where the Authorization and/or Supervision implementation specification is a reasonable and appropriate safeguardfor a covered entity, the covered entity must:“Implement Policies and Procedures for the authorization and/or supervision of workforce members who workwith electronic protected health information or in locations where it might be accessed.”  Authorization is the process of determining whether a particular user (or a computer system) has the right to carryout a certain activity, such as reading a file or running a program. Implementation of this implementationspecification will vary among covered entities, depending upon the size and complexity of the workforce, and theinformation systems that contain EPHI. For example, in a very small provider office, all staff members may need toaccess all EPHI in their information system, since they may perform multiple functions. In this case, the coveredentity might document the reasons for implementing policies and procedures allowing this kind of global access. Ifthe documented rationale is reasonable and appropriate, this may be an acceptable approach.To determine the most reasonable and appropriate authorization and/or supervision procedures, covered entitiesmay want to ask some basic questions about existing policies and procedures. Covered entities should review theauthorization and supervision policies already present in the organization’s current operating environment.Depending on the existing policies, covered entities may need to reinforce them, make modifications for EPHI, and/or develop corresponding documentation. www.compliancygroup.com   12  
  13. 13. Meaningful  use  core  measure  15  WORKFORCE CLEARANCE PROCEDURES - § 164.308(a)(3)(ii)(B)Covered entities need to address whether all members of the workforce with authorizedaccess to EPHI receive appropriate clearances. Where the Workforce ClearanceProcedure implementation specification is a reasonable and appropriate safeguard for acovered entity, the covered entity must:“Implement Policy and Procedures to determine that the access of a workforcemember to electronic protected health information is appropriate.”  In other words, the clearance process must establish the procedures to verify that aworkforce member does in fact have the appropriate access for their job function. Acovered entity may choose to perform this type of screening procedure separate from oras a part of the authorization and/or supervision procedure. www.compliancygroup.com   13  
  14. 14. Meaningful  use  core  measure  15  TERMINATION PROCEDURES - § 164.308(a)(3)(ii)(C)Where the Termination Procedures implementation specification is a reasonable andappropriate safeguard for a covered entity, the covered entity must:“Implement Policy and Procedures for terminating access to electronic protectedhealth information when the employment of a workforce member ends or asrequired by determinations made.”  Termination procedures must be implemented to remove access privileges when anemployee, contractor, or other individual previously entitled to access information nolonger has these privileges. Whether the employee leaves the organizationvoluntarily or involuntarily, procedures to terminate access must be in place. www.compliancygroup.com   14  
  15. 15. Meaningful  use  core  measure  15  Information Access ManagementThe fourth standard in the Administrative Safeguards section is Information Access Management. Coveredentities are required to:“Implement Policies and Procedures for authorizing access to electronic protected health information thatare consistent with the applicable requirements”  Restricting access to only those persons and entities with a need for access is a basic tenet of security. Byimplementing this standard, the risk of inappropriate disclosure, alteration, or destruction of EPHI isminimized. Covered entities must determine those persons and/or entities that need access to EPHI within theirenvironment.Compliance with this standard should support a covered entity’s compliance with the HIPAA Privacy Ruleminimum necessary requirements, which requires covered entities to evaluate their practices and enhancesafeguards as needed to limit unnecessary or inappropriate access to and disclosure of protected healthinformation.The Information Access Management standard has three implementation specifications.A. Isolating Health Care Clearinghouse FunctionsB. Access AuthorizationC. Access Establishment and Modification www.compliancygroup.com   15  
  16. 16. Meaningful  use  core  measure  15  ISOLATING HEALTH CARE CLEARINGHOUSE FUNCTIONS -  164.308(a)(4)(ii)(A)(May not be applicable)The Isolating Health Care Clearinghouse Functions implementation specification states:“If a health care clearinghouse is part of a larger organization, the clearinghouse mustimplement policies and procedures that protect the electronic protected health informationof the clearinghouse from unauthorized access by the larger organization.”  This implementation specification only applies in the situation where a health careclearinghouse is part of a larger organization. In these situations, the health careclearinghouse is responsible for protecting the EPHI that it is processing. www.compliancygroup.com   16  
  17. 17. Meaningful  use  core  measure  15  ACCESS AUTHORIZATION - § 164.308(a)(4)(ii)(B)Authorization is defined as the act of determining whether a particular user (or computer system)has the right, based on job function or responsibilities, to carry out a certain activity, such asreading a file or running a program. Where this implementation standard is a reasonable andappropriate safeguard for a covered entity, the covered entity must:“Implement Policies and Procedures for granting access to electronic protected healthinformation, for example, through access to a workstation, transaction, program, process, orother mechanism.”Once the covered entity has determined that the person or system is authorized, there arenumerous ways to grant access to EPHI. In general, a covered entity’s policies and proceduresmust identify who has authority to grant access privileges. It must also state the process forgranting access. To create and document policies and procedures to grant access, covered entitiesshould address the following questions. www.compliancygroup.com   17  
  18. 18. Meaningful  use  core  measure  15  ACCESS ESTABLISHMENT AND MODIFICATION - § 164.308(a)(4)(ii)(C)Where the Access Establishment and Modification implementation specification is areasonable and appropriate safeguard for a covered entity, the covered entity must:“Implement Policies and Procedures that, based upon the entity’s access authorizationpolicies, establish, document, review, and modify a user’s right of access to aworkstation, transaction, program, or process.”  This means that a covered entity must implement and manage the creation andmodification of access privileges to workstations, transactions, programs or processes.Covered entities must evaluate existing procedures, update them (if needed), anddocument procedures as necessary. www.compliancygroup.com   18  
  19. 19. Meaningful  use  core  measure  15  • Security Awareness and TrainingRegardless of the Administrative Safeguards a covered entity implements, those safeguards will not protect theEPHI if the workforce is unaware of its role in adhering to and enforcing them. Many security risks andvulnerabilities within covered entities are internal. This is why the next standard, Security Awareness andTraining, is so important.Specifically, the Security Awareness and Training standard states that covered entities must:“Implement a security awareness and training program for all members of its workforce includingmanagement).”  Security training for all new and existing members of the covered entity’s workforce is required by thecompliance date of the Security Rule. In addition, periodic retraining should be given whenever environmental oroperational changes affect the security of EPHI. Changes may include: new or updated policies and procedures;new or upgraded software or hardware; new security technology; or even changes in the Security Rule.The Security Awareness and Training standard has four implementation specifications.A. Security RemindersB. Protection from Malicious SoftwareC. Log-in MonitoringD. Password Management www.compliancygroup.com   19  
  20. 20. Meaningful  use  core  measure  15  • SECURITY REMINDERS - § 164.308(a)(5)(ii)(A)Where this implementation specification is a reasonable and appropriate safeguard for acovered entity, the covered entity must implement:“Periodic security updates.”  There are many types of security reminders that covered entities may choose toimplement. Examples might include notices in printed or electronic form, agenda itemsand specific discussion topics at monthly meetings, focused reminders posted in affectedareas, as well as formal retraining on security policies and procedures. Covered entitiesshould look at how they currently remind the workforce of current policies andprocedures, and then decide whether these practices are reasonable and appropriate or ifother forms of security reminders are needed. www.compliancygroup.com   20  
  21. 21. Meaningful  use  core  measure  15  PROTECTION FROM MALICIOUS SOFTWARE - § 164.308(a)(5)(ii)(B)One important security measure that employees may need to be reminded of is security software thatis used to protect against malicious software. Where this implementation specification is areasonable and appropriate safeguard for a covered entity, the covered entity must implement:“Policy  and  Procedures for guarding against, detecting, and reporting malicious software”  Malicious software can be thought of as any program that harms information systems, such asviruses, Trojan horses or worms. As a result of an unauthorized infiltration, EPHI and other data canbe damaged or destroyed, or at a minimum, require expensive and time-consuming repairs.Malicious software is frequently brought into an organization through email attachments, andprograms that are downloaded from the Internet. Under the Security Awareness and Trainingstandard, the workforce must also be trained regarding its role in protecting against malicioussoftware, and system protection capabilities. It is important to note that training must be an ongoingprocess for all organizations. www.compliancygroup.com   21  
  22. 22. Meaningful  use  core  measure  15  LOG-IN MONITORING - § 164.308(a)(5)(ii)(C)Security awareness and training should also address how users log onto systems and how they are supposed tomanage their passwords. Where the Log-in Monitoring implementation specification is a reasonable andappropriate safeguard for a covered entity, the covered entity must implement:“Policy  and  Procedures for monitoring log-in attempts and reporting discrepancies.”  An inappropriate or attempted log-in is when someone enters multiple combinations of usernames and/orpasswords to attempt to access an information system. Once capabilities are established the workforce must bemade aware of how to use and monitor them.• PASSWORD MANAGEMENT - § 164.308(a)(5)(ii)(D)The last specification in this standard is Password Management. Where this implementation specification is areasonable and appropriate safeguard for a covered entity, the covered entity must implement:“Policy  and  Procedures for creating, changing, and safeguarding passwords”In addition to providing a password for access, entities must ensure that workforce members are trained on how tosafeguard the information. Covered entities must train all users and establish guidelines for creating passwords andchanging them during periodic change cycles. www.compliancygroup.com   22  
  23. 23. Meaningful  use  core  measure  15  Security Incident ProceduresThe next standard is Security Incident Procedures, which states that covered entities must:“Implement Policies and Procedures to address security incidents.”  The purpose of this standard is to require covered entities to address security incidentswithin their environment. Addressing security incidents is an integral part of the overallsecurity program. Implementing the Security Rule standards will reduce the type andamount of security incidents a covered entity encounters, but security incidents will occur.Even covered entities with detailed security policies and procedures and advancedtechnology will have security incidents. The Security Rule defines a security incident as:“The attempted or successful unauthorized access, use, disclosure, modification, ordestruction of information or interference with system operations in an informationsystem”   www.compliancygroup.com   23  
  24. 24. Meaningful  use  core  measure  15  Security incident procedures must address how to identify security incidents and provide that the incident bereported to the appropriate person or persons. Whether a specific action would be considered a security incident,the specific process of documenting incidents, what information should be contained in the documentation, andwhat the appropriate response should be will be dependent upon an entity’s environment and the informationinvolved. An entity should be able to rely upon the information gathered in complying with the other SecurityRule standards, for example, its risk assessment and risk management procedures and the privacy standards, todetermine what constitutes a security incident in the context of its business operations.RESPONSE AND REPORTING - § 164.308(a)(6)(ii)The Response and Reporting implementation specification states that covered entities must:“Identify and respond to suspected or known security incidents; mitigate, to the extent practicable, harmfuleffects of security incidents that are known to the covered entity; and document security incidents and theiroutcomes.”   www.compliancygroup.com   24  
  25. 25. Meaningful  use  core  measure  15  RESPONSE AND REPORTING - § 164.308(a)(6)(ii) ContinuedSecurity incident procedures must describe how workforce members are to respond to an incident. This mayinclude: preserving evidence; mitigating, to the extent possible, the situation that caused the incident;documenting the incident and the outcome; and evaluating security incidents as part of ongoing riskmanagement. Covered entities must be aware of any number of possible incidents that they may have to dealwith. For example:• Stolen or otherwise inappropriately obtained passwords that are used to access EPHI• Corrupted backup tapes that do not allow restoration of EPHI• Virus attacks that interfere with the operations of information systems with EPHI• Physical break-ins leading to the theft of media with EPHI• Failure to terminate the account of a former employee that is then used by an unauthorized user to accessinformation systems with EPHI• Providing media with EPHI, such as a PC hard drive or laptop, to another user who is not authorized to accessthe EPHI prior to removing the EPHI stored on the media. www.compliancygroup.com   25  
  26. 26. Meaningful  use  core  measure  15  Contingency PlanThe purpose of contingency planning is to establish strategies for recovering access to EPHI should theorganization experience an emergency or other occurrence, such as a power outage and/or disruption of criticalbusiness operations. The goal is to ensure that organizations have their EPHI available when it is needed. TheContingency Plan standard requires that covered entities:“Establish and implement as needed, Policies and Procedures for responding to an emergency or otheroccurrence (for example, fire, vandalism, system failure, and natural disaster) that damages systems thatcontain electronic protected health information”The Contingency Plan standard includes five implementation specifications.A. Data Backup PlanB. Disaster Recovery PlanC. Emergency Mode Operation PlanD. Testing and Revision ProceduresE. Applications and Data Criticality Analysis www.compliancygroup.com   26  
  27. 27. Meaningful  use  core  measure  15  DATA BACKUP PLAN - § 164.308(a)(7)(ii)(A)The Data Backup Plan implementation specification requires covered entities to:“Establish and implement Policy and Procedures to create and maintain retrievable exact copies ofelectronic protected health information.”  Most covered entities may have backup procedures as part of current business practices. Data Backup plans arean important safeguard for all covered entities, and a required implementation specification.DISASTER RECOVERY PLAN - § 164.308(a)(7)(ii)(B)The Disaster Recovery Plan implementation specification requires covered entities to:“Establish (and implement as needed) procedures to restore any loss of data”  Some covered entities may already have a general disaster plan that meets this requirement; however, eachentity must review the current plan to ensure that it allows them to recover EPHI. www.compliancygroup.com   27  
  28. 28. Meaningful  use  core  measure  15  EMERGENCY MODE OPERATION PLAN - § 164.308(a)(7)(ii)(C)The Emergency Mode Operation Plan implementation specification requires covered entitiesto:“Establish and implement as needed, policy and procedures to enable continuation ofcritical business processes for protection of the security of electronic protected healthinformation while operating in emergency mode”  When a covered entity is operating in emergency mode due to a technical failure or poweroutage, security processes to protect EPHI must be maintained. www.compliancygroup.com   28  
  29. 29. Meaningful  use  core  measure  15  TESTING AND REVISION PROCEDURES - § 164.308(a)(7)(ii)(D)Where the Testing and Revision Procedures implementation specification is a reasonable andappropriate safeguard for the covered entity, the covered entity must:“Implement Policy and Procedures for periodic testing and revision of contingency plans.”  This standard applies to all implementation specifications under the Contingency Plan standard,including the Data Backup Plan, Disaster Recovery Plan, and Emergency Mode Operations Plan.Disaster recovery and emergency mode operations plans might be tested by using a scenario-based walkthrough (to avoid daily operations impacts) or by performing complete live tests. Thecomprehensiveness and sophistication of the testing and revision procedures depends on thecomplexity of the covered entity’s organization and other factors such as size and costs. It isexpected that the frequency and comprehensiveness of the procedures will vary among coveredentities. www.compliancygroup.com   29  
  30. 30. Meaningful  use  core  measure  15  APPLICATION AND DATA CRITICALITY ANALYSIS – § 164.308(a)(7)(ii)(E)The last implementation specification in the Contingency Plan standard is Application andData Criticality Analysis. Where this implementation specification is a reasonable andappropriate safeguard for the covered entity, the covered entity must:“Assess the relative criticality of specific applications and data in support of othercontingency plan components.”  This implementation specification requires covered entities to identify their softwareapplications that store, maintain or transmit EPHI and determine how important each is topatient care or business needs, in order to prioritize for data backup, disaster recovery and/oremergency operations plans. A prioritized list of specific applications and data will helpdetermine which applications or information systems get restored first and/or which must beavailable at all times. www.compliancygroup.com   30  
  31. 31. Meaningful  use  core  measure  15  EvaluationIt is important for a covered entity to know if the security plans and procedures it implements continue toadequately protect its EPHI. To accomplish this, covered entities must implement ongoing monitoring andevaluation plans. Covered entities must periodically evaluate their strategy and systems to ensure that thesecurity requirements continue to meet their organizations’ operating environments.The purpose of the evaluation is to establish a process for covered entities to review and maintain reasonableand appropriate security measures to comply with the Security Rule. Initially the evaluation must be basedon the security standards implemented to comply with the Security Rule.Subsequent periodic evaluations must be performed in response to environmental or operational changesthat affect the security of EPHI. The on-going evaluation should also be performed on a scheduled basis,such as annually or every two years. The evaluation must include reviews of the technical and non-technicalaspects of the security program. www.compliancygroup.com   31  
  32. 32. Meaningful  use  core  measure  15  Conclusion:Knowing that you must comply with these standards to say yes to the attestation for criteria 15 ofMeaningful Use, you have to say to yourself that is a lot of time and effort. How am I going totrack all that, where am I going to get all these policies, who has the time to do this. CompliancyGroup LLC and The Guard can help. Once you have studied this document and realize what isneeded, when you attend The Guard’s demo you will realize it can all be done from one repositorycost effectively with reduced effort.For more information and to sign up for a demo of The Guard, go to www.compliancygroup.com. www.compliancygroup.com   32  
  33. 33. Compliance  is  important  but  often  expensive…Until  Now  The  Guard  Compliance  Tracking  Software   Full  access  annual  site  license:  $1200   To  find  out  more  or  start  a  FREE  30  Day  evaluation   visit  http://info.compliancygroup.com/webinardemo   (931)  4  HIPAA  1  or  (931)  444-­‐7221   www.compliancygroup.com   33  
  34. 34. Meaningful  use  core  measure  15  Questions:Thank you all for attending and have a great day…… www.compliancygroup.com   34  

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