1. 1 Health Insurance Portability & Accountability Act (HIPAA) April 2005

2. 2 Overview of Privacy & the new Security Standards

3. 3 Agenda Review HIPAA Privacy Standards Introduce HIPAA Security Standards What the Security Standards require What it means to the way you work Examples of how things will be different

4. 4 Legislation Federal Law: HIPAA Privacy & Security Standards mandate protection and safeguards for access, use and disclosure of PHI and/or ePHI with sanctions for violations.

5. 5 Pertinent Law Security Breach Notification (SB 1386): requirement to notify California residents if their electronically held personal information may have been acquired by an unauthorized person

6. 6 Security Breach Notification (SB 1386) Personal information includes: Individual’s first name or initial and last name in combination with one or more of the following: Social Security Number Driver’s License Number Account number, credit card or debit card number with security or access code

7. 7 What is HIPAA? HIPAA is a federal law enacted to: Ensure the privacy of an individual’s protected health information (PHI) Provide security for electronic and physical exchange of PHI Provide for individual rights regarding PHI.

8. 8 HIPAA is Federal Law that requires HIPAA-Covered Entities to: Protect the privacy and security of an individual’s Protected Health Information (PHI): health information created, stored or maintained by a health care provider, health plan, health care clearinghouse; and relates to the past, present or future physical or mental health or condition of the individual, the provision of health care to the individual or the payment for the provisions of health care; and identifies the individual.

9. 9 Personal Identifiers under HIPAA include: Name, all types of addresses including email, URL, home Identifying numbers, including Social Security, medical records, insurance numbers, account numbers Full facial photos Dates, including birth date, dates of admission and discharge, or death Personal identifiers coupled with a broad range of health, health care or health care payment information creates PHI

10. 10 Why it affects your work at UC UC health plans are Covered Entities; UC, on behalf of employees, may use or access PHI; As an employee, you need to understand how HIPAA and other laws allow you to use, access, or disclose a member’s health information.

11. 11 Who or what are HIPAA “Covered Entities”? HIPAA's regulations directly cover three basic groups of individual or corporate entities: health care providers, health plans, and health care clearinghouses. Health Care Provider means a provider of medical or health services, and entities who furnishes, bills, or is paid for health care in the normal course of business Health Plan means any individual or group that provides or pays for the cost of medical care, including employee benefit plans Healthcare Clearinghouse means an entity that either processes or facilitates the processing of health information, e.g., billing service

12. 12 UC as a “Covered Entity?” UC’s Group Health Plans Self-Funded plans – UC is the covered entity –Subject to all HIPAA Rules Insured Plans – UC is not the covered entity –When participating in the administration of the plan (e.g., assisting employees with health claim issues, fielding healthcare complaints, and assisting with claim payment resolution) but, UC has certain obligations under HIPAA To be safe & for consistency, treat individually- identifiable health information as PHI

13. 13 UC has various roles PLAN ADMINSTRATOR/PLAN SPONSOR ROLE Some 'covered' activities under HIPAA are: –handling of a member complaint –resolving a claim payment with a carrier –assisting a member with a health claim issue EMPLOYER ROLE Some 'non-covered' activities not subject to HIPAA are: - facilitating enrollment into the health plans - verifying eligibility - when a staff member reports an absence - performing Family Medical Leave Act (FMLA) functions

14. 14 HIPAA is on you!

15. 15 Understand your individual responsibility Always maintain a separation between your covered and non-covered activities and know what additional state or federal laws apply to the privacy of an individual’s health information Never disclose PHI to other non-covered entities (UC or third parties) without Authorization or unless required or permitted by law Always apply the Minimum Necessary Standard to uses and disclosures of PHI 90/10 Rule

16. 16 Minimum Necessary Standard Use or disclose only the minimum PHI that you need to know to do your job A Covered Entity should have in place procedures that limit access according to job class Limit access, use or disclosure of PHI by others to the minimum amount necessary to accomplish the intended purpose “Think Twice” Rule: –Is it reasonable? –Is it necessary?

17. 17 HIPAA Security Standards The Security Standards require information security, confidentiality, integrity, and availability of electronic Protected Health Information (ePHI)

18. 18 What are the Security Rule General Requirements? Ensure the confidentiality, integrity and availability of all electronic protected health information ( ePHI ) that the covered entity creates, receives, maintains, or transmits. Protect against reasonably anticipated threats or hazards to the security or integrity of ePHI, e.g., hackers, viruses, data back-ups Protect against unauthorized disclosures Train workforce members (“awareness of good computing practices”) Compliance required by April 20, 2005

19. 19 What this means to You “Information Security” means to ensure the confidentiality, integrity, and availability of information through safeguards. “Confidentiality” – that information will not be disclosed to unauthorized individuals or processes “Integrity” – the condition of data or information that has not been altered or destroyed in an unauthorized manner. Data from one system is consistently and accurately transferred to other systems. “Availability” – the property that data or information is accessible and useable upon demand by an authorized person.

20. 20 Definition of “ePHI” ePHI or electronic Protected Health Information is patient/member health information which is computer based, e.g., created, received, stored or maintained, processed and/or transmitted in electronic media. Electronic media includes computers, laptops, disks, memory stick, PDAs, servers, networks, dial-up modems, Email, web-sites, e-fax.

21. 21 Good Security Standards follow the “90 / 10” Rule: 10% of security safeguards are technical 90% of security safeguards rely on the computer user (“YOU”) to adhere to good computing practices – Example: The lock on the door is the 10%. You remembering to lock, check to see if it is closed, ensuring others do not prop the door open, keeping control of keys is the 90%. 10% security is worthless without YOU! Why do I need to learn about Security – “Isn’t this just a Systems Problem?”

22. 22 Culture Change is Coming The way we at Human Resources & Benefits do business will change Your work will be impacted as new paths are found

23. 23 Easiest Solution Don’t do it!

24. 24 So what do we do and why are we doing it?

25. 25 Workstation Security “Workstations” include any electronic computing device, for example, a laptop or desktop computer, plus electronic media stored in its immediate environment (e.g., diskettes, CDs, e-fax).

26. 26 Workstation Controls Lock-up when you leave your desk! – Offices, files, workstations, sensitive papers and PDAs, laptops, mobile devices / media. – Lock your workstation (Cntrl+Alt+Del and Lock Computer) – Windows XP, Windows 2000 – Do not leave sensitive information on printers, fax machines or copiers.

27. 27 Workstation Controls Automatic Screen Savers : Set to 15 minutes with password protection. Shut down before leaving your workstation unattended or leaving work. – This will prevent other individuals from accessing information under your User-ID and limit access by unauthorized users.

28. 28 Unique User Log-In / User Access Controls/ Passwords Access Controls: Users are assigned a unique “User ID” for log-in purposes Each individual user’s access to ePHI system(s) is appropriate and authorized Unauthorized access to ePHI by former employees is prevented by terminating access Follow procedures to terminate accounts in a timely manner

29. 29 Your Account Is Only As Secure As Its Password Change your password often (at least once every 180 days) Don't let others watch you log in Don ’ t write your password on a post-it note Don ’ t attach it to your video monitor or under the keyboard

30. 30 Password Construction It can’t be obvious or exist in a dictionary. Every word in a dictionary can be tried within minutes. Don’t use a password that has any obvious significance to you.

31. 31 Pick a sentence that reminds you of the password. For example: If my car makes it through 2 semesters, I'll be lucky (imcmit2s,Ibl) Only Bill Gates could afford this $70.00 textbook (oBGcat$7t) Just what I need, another dumb thing to remember! (Jw1n,adttr!)

32. 32 We share offices, equipment and ideas, but... Do not share your password with anyone, anytime! Password Management Do not use the same password for critical services at work as you do for personal use.

33. 33 This is what the Systems staff does for you: Uses an Internet firewall Uses up-to-date anti-virus software Installs computer software updates & patches Does automated back-ups & storage for TSM users only In addition you should routinely backup all important data and documents Cleans devices/media before recycling or destroying ― If you want to reuse or recycle zip disks or diskettes send them to BENHUR. ― If you need to destroy CDs send them to BENHUR ― BENHUR will overwrite or clean a workstation before releasing for re-use or discarding

34. 34 Automated Data Backup & Storage Tool = TSM Systems staff controls backup for critical data for those with TSM (Tivoli Storage Management)** If you don’t have TSM, you will need to backup your computer manually Contact your supervisor to determine if you have sensitive & critical data, and need TSM Supervisors may download forms from http://hr- iss.ucop.edu/op/access/ **You should manually backup your computer periodically even if you have TSM

35. 35 Device and Media

36. 36 Security for USB Flash Drives & Other Storage Devices Flash Drives are devices which pack big data in tiny packages, e.g., 256MB, 512MB, 1GB. Flash Drives are devices which pack big data in tiny packages, e.g., 256MB, 512MB, 1GB. HR/Benefits strongly recommends that these devices not be used to house sensitive & critical data HR/Benefits strongly recommends that these devices not be used to house sensitive & critical data If these devices must be used, all files must be password protected. If these devices must be used, all files must be password protected. Delete temporary ePHI files from local drives & portable media too!

37. 37 Security for PDAs ( Personal Digital Assistants) PDA or Personal Digital Assistants are personal organizer tools, e.g., calendar, address book, phone numbers, productivity tools, and can contain databases of information and data files with ePHI. PDAs are at risk for loss or theft. HR/Benefits strongly recommends that these devices not be used to house sensitive & critical data Examples: Palm Pilot; HP; Treo; Compaq iPAQ

38. 38 Remote Access The following minimum standards are required for remote access by personal home computer. More stringent standards may apply in individual units. Minimum security standards that you are required to have: 1.Software security patches up-to-date 2.Anti-virus software running and up-to-date 3.Turn-off unnecessary services & programs 4.Physical security safeguards to prevent unauthorized access HR/Benefits strongly recommends that your personal home computer not be used to house sensitive & critical data Apply these same standards to all portable devices.

39. 39 Email Security Email is like a “postcard”. Email may potentially be viewed in transit by many individuals, since it may pass through several switches enroute to its final destination (e.g., forwarded, misdirected or never received). Although the risks to a single piece of email are small given the volume of email traffic, emails containing ePHI need a higher level of security.

40. 40 New Email Policy Use the Minimum Necessary Standard Do not send ePHI outside the department (scrub an email before replying to members and others) Destroy the original email containing PHI as soon as it is not needed

41. 41 New Email Policy Response to a member sending an email with unnecessary medical information: We have received your email requesting ____________. We are working (have worked) on a resolution of your issue (and the status is______________). For your protection, due to HIPAA and other privacy requirements, we may delete your initial email or the unnecessary personal medical information contained in your email, because we did not require it to address your problem. It is the policy of the University to use only the minimum necessary information to resolve our plan members’ issues.

42. 42 New Email Policy TO: Customer.service@ucop.eduCustomer.service@ucop.edu From: AnxiousAnnie@sbc.netAnxiousAnnie@sbc.net Subject: I need an Operation Dear Vice President Judy Boyette: I retired from the University in 1998 after thirty-five years at UC Berkeley. I have always been with Health Net for my medical plan, and have had no problems with them until recently. They even took care of my treatment with Dr. Freud for severe anxiety disorder after my husband died in 1995. But now they have cancelled my coverage. I have been seeing my doctor recently for back pain and back aches, which he has diagnosed as degenerative disc disease of the lower lumbar. He thinks I will need an operation in the next few months. The Percodan prescription he gave me for pain over the last few months is no longer working. I need surgery soon and can’t get it without my medical coverage. Please help me. Anxious Annie

43. 43 New Email Policy To: AnxiousAnnie@sbc.netAnxiousAnnie@sbc.net From: Customer.service@ucop.eduCustomer.service@ucop.edu Subject: Your Health Net coverage Dear Annie: We have received your email requesting reinstatement of your Health Net medical coverage. We are working on a resolution of your issue. You should hear from us in the next few days. For your protection, due to HIPAA and other privacy requirements, we may delete your initial email or the unnecessary personal medical information contained in your email, because we did not require it to address your problem. It is the policy of the University to use only the minimum necessary information to resolve our plan members’ issues. UC Employee

44. 44 New Email Policy If you must send PHI to someone, this is what you should do: Use the alternate delivery method of: phone, dedicated fax machine, dedicated carrier line, or hardcopy.

45. 45 New Email Policy This is also acceptable for sending PHI 1.Send an email with the PHI in an attached password protected Word document. 2.Call the recipients and give them the password over the phone, or send a separate email with the password.

46. 46 World Wide Web

47. 47 On the Wire Universal Access… Estimated 500 million people with Internet access All of them can communicate with your connected computer Any of them can “rattle” the door to your computer to see if it’s locked

48. 48 Opportunities for Abuse To break into a safe, the safe cracker needs to know something about safes To break into your computer, the computer cracker only needs to know where to download a program

49. 49 Use of UC’s Internet UC's Electronic Communications Policy governs use of its computing resources, web-sites, and networks. – Appropriate use of UC's electronic resources must be in accordance with the University principles of academic freedom and privacy. Protection of UC's electronic resources requires that everyone use responsible practices when accessing online resources. – Be suspicious of accessing sites offering questionable content. These often result in spam or the release of viruses. Be careful about providing personal, sensitive or confidential information to an Internet site or to web-based surveys that are not from trusted sources. http://www.ucop.edu/ucophome/policies/ec/brochure.pdf

50. 50 90/10 Rule Information ownership rests with you. System ownership rests with systems staff, systems managers and executive staff

51. 51 Your Responsibility to Adhere to UC-Information Security Policies Users of electronic information resources are responsible for familiarizing themselves with and complying with all University policies, procedures and standards relating to information security. Users are responsible for appropriate handling of electronic information resources (e.g., ePHI data)

52. 52 Safeguards: Your Responsibility Protect your computer systems from unauthorized use and damage by using: –Common sense –Simple rules –Technology Remember – By protecting yourself, you're also doing your part to protect UC and our members’ data and information systems.

53. 53 Security Incidents and ePHI (HIPAA Security Rule) Security Incident defined: “The attempted or successful or improper instance of unauthorized access to, or use of information, or mis-use of information, disclosure, modification, or destruction of information or interference with system operations in an information system.”

54. 54 Another Security Breach Law SB 1386 “ Security breach ” per UC Information Security policy (IS-3) is when a California resident’s unencrypted personal information is reasonably believed to have been acquired by an unauthorized person. Personal Identifiable information means: –Name + SSN + Drivers License + –Financial Account /Credit Card Information Good faith acquisition of personal information by a University employee or agent for University purposes does not constitute a security breach, provided the personal information is not used or subject to further unauthorized disclosure.

55. 55 Examples of Security Breach UC Berkeley library data base hacked UC Berkeley laptop stolen UCSF accounting department test server compromised UCLA laptop with blood bank information stolen UCSD student database hacked

56. 56 Report Security Incidents You are responsible for: Reporting and responding to security incidents and security breaches. Reporting security incidents & breaches to: HIPAA Privacy Liaison & HR/B IT Security Officer: Eva Devincenzi Or, HR/B Security Coordinator : Stephanie Rosh

57. 57 What are the Consequences for Security Violations? Risk to integrity of sensitive & critical information, e.g., data corruption or destruction Risk to security of personal information, e.g., identity theft Loss of valuable business information Loss of confidentiality, integrity & availability of data (and time) due to poor or untested disaster data recovery plan

58. 58 What are the Consequences for Security Violations? Embarrassment, bad publicity, media coverage, news reports Loss of members’, employees’, and public trust Costly reporting requirements for SB 1386 issues Internal disciplinary action(s), termination of employment Penalties, prosecution and potential for sanctions/lawsuits

59. 59 Sanctions for Violators Employees who violate UC policies and procedures regarding privacy/security of confidential, restricted, and/or protected health information or ePHI are subject to corrective and disciplinary actions according to existing policies.

60. 60 Want to Learn More? References & Resources UC Systemwide HIPAA Website ( http://www.universityofcalifornia.edu/hipaa/) http://www.universityofcalifornia.edu/hipaa/ ISS Website ( http://hr-iss.ucop.edu ) Exchange ( under Benefits Information/HIPAA folder ) UC Information Security Policy (http://www.ucop.edu/ucophome/policies/bsfb/bfbis.html) Guidelines for HIPAA Security Rule Compliance, University of California ( On Exchange under Benefits Information/HIPAAfolder/HIPAA policies.doc)

61. 61 Summary Review of HIPAA Privacy Standards Introduce HIPAA Security Standards What the Security Standards require What it means to the way you work Examples of how things will be different Effective April 20, 2005

62. 62 You are finished If you have questions about HR/B HIPAA compliance or procedures, email your questions to the HIPAA Privacy Liaison for HR/B & HR/B IT Security Officer - Eva.Devincenzi@ucop.edu If you have no questions, complete the Certification form in these materials (see next page) and send to Information Systems Support.

63. 63 Security Awareness Training HR/B CERTIFICATE Security Awareness Training Module completed by: Print Name: First: ___________Last: _________ Date of Training: _________ Unit: ___________ Phone # ______________ ___________________________ Signature Print this page out, complete it, and return it to Eva Devincenzi at HR/Benefits, Information Systems Support.

64. 64 This completes your HIPAA Security Training