HIPPA Security Rule Compliance for Dental Practices: Protecting Your Patients' Data - And Yourself.
Dave Argentar • September 17, 2019
The care that dentists need to provide their patients doesn’t end when they get up from the chair. Dental offices, and the computers, networks, servers, and files maintained within (and outside of) their walls contain patient information that must be kept secure and protected from data breaches and unauthorized disclosure. If your practice doesn’t have the systems, protocols, and policies in place to comply with HIPAA’s multitude of patient privacy and security requirements, even inadvertent and seemingly “harmless” violations can lead to significant financial and legal headaches.
HIPAA security compliance simply cannot be an afterthought for dental practices, nor is it a matter of “set it and forget it.” It requires constant vigilance, proactive planning, and regular audits and updates. This is particularly true when it comes to ensuring the security of electronic health records. Dentists need to commit people, time, and resources to the protection of patient information and should regularly consult with attorneys who can assist them in making their HIPAA compliance efforts robust and effective.
HIPAA Application to Dental Practices
After HIPAA became law in 1996, the U.S. Department of Health and Human Services (HHS) issued a set of national standards governing the use and disclosure of patients’ protected health information (PHI). Commonly known as the Privacy Rule, the Standards for Privacy of Individually Identifiable Health Information apply to “covered entities” as defined in HHS regulations.
The odds that your dental practice is a “covered entity” under HIPAA sit pretty close to 100%. If you send claims, eligibility inquiries and requests, pre-determinations, claim status inquiries, or treatment authorization requests to third parties through electronic means, you must comply with HIPAA.
HIPAA obligations don’t end at the Privacy Rule, which limits how and to whom PHI can be disclosed. Dental practices must also comply with the Security Rule ( Security Standards for the Protection of Electronic Protected Health Information ) as well as the Breach Notification Rule.
The HIPAA Security Rule
While the Privacy Rule addresses who may have access to PHI, the Security Rule sets the standards for ensuring that only those authorized individuals can access that information. One important distinction between the Privacy Rule and Security Rule is that while the former applies to PHI in whatever form – paper, oral, electronic - the Security Rule only covers electronic health records (ePHI). Since dental practices increasingly rely on electronic means to create, store, and transmit records, ensuring that your practice satisfies the Security Rule’s mandates is the centerpiece of any HIPAA compliance program.
The safeguards required under the Security Rule are divided into three categories:
· Administrative – As defined in the rules, these are policies and procedures designed “to manage the selection, development, implementation, and maintenance of security measures to protect electronically protected health information and to manage the conduct of the covered entity’s workforce in relation to the protection of that information.”
Practices must sufficiently implement and monitor their “performance of security management process, assignment or delegation of security responsibility, training requirements, and evaluation and documentation of all decisions.”
The essence of administrative compliance is people: people who are in charge of security, people who are trained about security, and people who are responsible for administering, monitoring, and auditing security compliance.
· Physical Access Controls – This involves safeguards established to control physical access to data and information and the systems which store them. This includes such essential elements as:
o Facility Access Controls – policies and procedures that limit physical access to all areas and devices where ePHI is stored, such as locked doors, restricted areas, surveillance systems, security guards, etc.
o Workstation Access and Security – policies and procedures that specify the proper functions to be performed on workstations, how employees should perform those functions, and physical workstation security.
o Device and Media Controls – thumb drives, laptops, phones, tablets, and other devices represent a significant vulnerability for unauthorized access to or distribution of ePHI. Dental practices need to establish policies and procedures that govern how hardware and electronic media containing ePHI can enter or exit dental offices. These controls must include disposal, media reuse, accountability, and data backup and storage.
· Technical controls – this involves “the technology and the policy and procedures for its use that protect electronic protected health information and control access to it.” Firewalls, encryption, data security measures, and other systems put in place to prevent data breaches, cyberattacks, and unauthorized access to ePHI fall into this category.
Your Practice Could Be Held Responsible for Any HIPAA Violations by a “Business Associate”
Many if not most practices contract at least some of their billing, claims management, and other back-office responsibilities to third-party vendors. If a practice fails to obtain “satisfactory assurances” from a “business associate” that it is HIPAA-compliant before retaining their services, and a PHI breach subsequently occurs, the practice entity may be considered liable for any damages that result
That is why every dental practice that shares PHI with outside contractors enter into a written HIPAA-Compliant Business Associate Agreement with such vendors. These agreements should specify:
·the types of PHI that the practice will provide to the business associate;
·the permissible uses and disclosures of PHI by the business associate;
·the measures that the business associate must implement to protect PHI;
·the actions that the business associate will take in the event of a data breach.
HIPAA Compliance Questions? Call Grogan, Hesse & Uditsky Today
At Grogan, Hesse & Uditsky, P.C., we focus a substantial part of our practice on providing exceptional legal services for dentists and dental practices, as well as orthodontists, periodontists, endodontists, pediatric dentists, and oral surgeons. We bring unique insights and deep commitment to protecting the interests of dental professionals and their practices and welcome the opportunity to work with you.
If you have questions or concerns about your practice’s compliance with HIPAA, please call us at (630) 833-5533 or contact us online to arrange for your free initial consultation.
Jordan Uditsky, an accomplished businessman and seasoned attorney, combines his experience as a legal counselor and successful entrepreneur to advise dentists and other business owners in the Chicago area. Jordan grew up in a dental family, with his father, grandfather, and sister each owning their own dental practices, and this blend of legal, business, and personal experience provides Jordan with unique insight into his clients’ needs, concerns, and goals.
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Another company may acquire the DSO; the practice could be transferred to another affiliated entity; and other management changes can alter or threaten the carefully negotiated dynamic reflected in the underlying agreements. Those agreements should address whether clinical-independence provisions survive such events and, where appropriate, whether they bind successors and affiliated entities. Selling a dental practice does not necessarily mean surrendering professional judgment. But clinical autonomy should not be left to assumptions, informal assurances, or legislators or regulators. It should be addressed explicitly in the transaction documents by sellers and their counsel. By doing so, dentists can reap the benefits of a DSO sale while retaining control over the one thing that no corporation or entity can or should: the practice of dentistry. If you are considering selling your dental practice to a DSO, please call Grogan Hesse & Uditsky at (630) 833-5533 or contact us online to arrange for your free initial consultation. We Focus on You So You Can Focus on Your Patients At Grogan, Hesse & Uditsky, P.C., we focus a substantial part of our practice on providing exceptional legal services for dentists and dental practices, as well as orthodontists, periodontists, endodontists, pediatric dentists, and oral surgeons. We bring unique insights and deep commitment to protecting the interests of dental professionals and their practices and welcome the opportunity to work with you. Jordan Uditsky, an accomplished businessman and seasoned attorney, combines his experience as a legal counselor and successful entrepreneur to advise dentists and other business owners in the Chicago area. Jordan grew up in a dental family, with his father, grandfather, and sister each owning their own dental practices, and this blend of legal, business, and personal experience provides Jordan with unique insight into his clients’ needs, concerns, and goals.
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