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|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1 | 0 | Brooke Army Medical Center | TX | null | 1,000 | 10/16/2009 | Theft | Paper | 2014-06-30 | A binder containing the protected health information (PHI) of up to 1,272 individuals was stolen from a staff member's vehicle. The PHI included names, telephone numbers, detailed treatment notes, and possibly social security numbers. In response to the breach, the covered entity (CE) sanctioned the workforce member and developed a new policy requiring on-call staff members to submit any information created during their shifts to the main office instead of adding it to the binder. Following OCR's investigation, the CE notified the local media about the breach. | 2009-10-16 | null | 2,009 |
2 | 1 | Mid America Kidney Stone Association, LLC | MO | null | 1,000 | 9/22/2009 | Theft | Network Server | 2014-05-30 | Five desktop computers containing unencrypted electronic protected health information (e-PHI) were stolen from the covered entity (CE). Originally, the CE reported that over 500 persons were involved, but subsequent investigation showed that about 260 persons were involved. The ePHI included demographic and financial information. The CE provided breach notification to affected individuals and HHS. Following the breach, the CE improved physical security by installing motion detectors and alarm systems security monitoring. It improved technical safeguards by installing enhanced antivirus and encryption software. As a result of OCR's investigation the CE updated its computer password policy. | 2009-09-22 | null | 2,009 |
3 | 2 | Alaska Department of Health and Social Services | AK | null | 501 | 10/12/2009 | Theft | Other Portable Electronic Device, Other | 2014-01-23 | null | 2009-10-12 | null | 2,009 |
4 | 3 | Health Services for Children with Special Needs, Inc. | DC | null | 3,800 | 10/9/2009 | Loss | Laptop | 2014-01-23 | A laptop was lost by an employee while in transit on public transportation. The computer contained the protected health information of 3800 individuals. The protected health information involved in the breach included names, Medicaid ID numbers, dates of birth, and primary physicians. In response to this incident, the covered entity took steps to enforce the requirements of the Privacy & Security Rules. The covered entity has installed encryption software on all employee computers, strengthened access controls including passwords, reviewed and updated security policies and procedures, and updated it risk assessment. In addition, all employees received additional security training.
| 2009-10-09 | null | 2,009 |
5 | 4 | L. Douglas Carlson, M.D. | CA | null | 5,257 | 9/27/2009 | Theft | Desktop Computer | 2014-01-23 | A shared Computer that was used for backup was stolen on 9/27/09 from the reception desk area of the covered entity. The Computer contained certain electronic protected health information (ePHI) of 5,257 individuals who were patients of the CE. The ePHI involved in the breach included names, dates of birth, and clinical information, but there were no social security numbers, financial information, addresses, phone numbers, or other ePHI in any of the reports on the disks or the hard drive on the stolen Computer. Following the breach, the covered entity notified all 5,257 affected individuals and the appropriate media; added technical safeguards of encryption for all ePHI stored on the USB flash drive or the CD used on the replacement computer; added physical safeguards by keeping new portable devices locked when not in use in a secure combination safe in doctor's private office or in a secure filing cabinet; and added administrative safeguards by requiring annual refresher retraining of CE staff for Privacy and Security Rules as well as requiring immediate retraining of cleaning staff in both Rules.
| 2009-09-27 | null | 2,009 |
6 | 5 | David I. Cohen, MD | CA | null | 857 | 9/27/2009 | Theft | Desktop Computer | 2014-01-23 | A shared Computer that was used for backup was stolen from the reception desk area, behind a locked desk area, probably while a cleaning crew had left the main door to the building open and the door to the suite was unlocked and perhaps ajar. The Computer contained certain electronic protected health information (ePHI) of 857 patients. The ePHI involved in the breach included names, dates of birth, and clinical information. Following the breach, the covered entity notified all affected individuals and the media, added technical safeguards of encryption for all ePHI stored on the USB flash drive or the CD used on the replacement computer, added physical safeguards by keeping new portable devices locked when not in use in a secure combination safe in doctor's private office or in a secure filing cabinet, and added administrative safeguards by requiring annual refresher retraining staff for Privacy and Security Rules as well as requiring immediate retraining of cleaning staff in both Rules, which has already taken place.
| 2009-09-27 | null | 2,009 |
7 | 6 | Michele Del Vicario, MD | CA | null | 6,145 | 9/27/2009 | Theft | Desktop Computer | 2014-01-23 | A shared Computer that was used for backup was stolen on 9/27/09 from the reception desk area of the covered entity. The Computer contained certain electronic protected health information (ePHI) of 6,145 individuals who were patients of the CE, The ePHI involved in the breach included names, dates of birth, and clinical information, but there were no social security numbers, financial information, addresses, phone numbers, or other ePHI in any of the reports on the disks or the hard drive on the stolen Computer. Following the breach, the CE: notified all 6,145 affected individuals and the appropriate media; added technical safeguards of encryption for all ePHI stored on the USB flash drive or the CD used on the replacement computer; all passwords are strong; all computers are password protected; added physical safeguards by keeping new portable devices locked when not in use in a secure combination safe in doctor's private office or in a secure filing cabinet; and added administrative safeguards by requiring annual refresher retraining of CE staff for Privacy and Security Rules as well as requiring immediate retraining of cleaning staff in both Rules, which has already taken place.
| 2009-09-27 | null | 2,009 |
8 | 7 | Joseph F. Lopez, MD | CA | null | 952 | 9/27/2009 | Theft | Desktop Computer | 2014-01-23 | A shared Computer that was used for backup was stolen on 9/27/09. The Computer contained certain electronic protected health information (ePHI) of 952 patients. Following the breach, the covered entity notified all 952 affected individuals and the appropriate media; added technical safeguards of encryption for all ePHI stored on the USB flash drive or the CD used on the replacement computer; added physical safeguards by keeping new portable devices locked when not in use in a secure combination safe in doctor's private office or in a secure filing cabinet; and added administrative safeguards by requiring annual refresher retraining of staff for Privacy and Security Rules.
| 2009-09-27 | null | 2,009 |
9 | 8 | Mark D. Lurie, MD | CA | null | 5,166 | 9/27/2009 | Theft | Desktop Computer | 2014-01-23 | A shared Computer that was used for backup was stolen on 9/27/09 from the reception desk area of the covered entity. The Computer contained certain electronic protected health information (ePHI) of 5,166 individuals who were patients of the CE, The ePHI involved in the breach included names, dates of birth, and clinical information, but there were no social security numbers, financial information, addresses, phone numbers, or other ePHI in any of the reports on the disks or the hard drive on the stolen Computer. Following the breach, the CE: notified all 5,166 affected indiv's and the appropriate media; added technical safeguards of encryption for all ePHI stored on the USB flash drive or the CD used on the replacement computer; all passwords are strong; all computers are password protected; added physical safeguards by keeping new portable devices locked when not in use in a secure combination safe in doctor's private office or in a secure filing cabinet; and added administrative safeguards by requiring annual refresher retraining of CE staff for Privacy and Security Rules as well as requiring immediate retraining of cleaning staff in both Rules, which has already taken place.
| 2009-09-27 | null | 2,009 |
10 | 9 | City of Hope National Medical Center | CA | null | 5,900 | 9/27/2009 | Theft | Laptop | 2014-01-23 | A laptop computer was stolen from a workforce member's car. The laptop computer contained the protected health information of approximately 5,900 individuals. Following the breach, the covered entity encrypted all protected health information stored on lap tops. Additionally, OCR's investigation resulted in the covered entity improving their physical safeguards and retraining employees.
| 2009-09-27 | null | 2,009 |
11 | 10 | The Children's Hospital of Philadelphia | PA | null | 943 | 10/20/2009 | Theft | Laptop | 2014-01-23 | null | 2009-10-20 | null | 2,009 |
12 | 11 | Cogent Healthcare of Wisconsin, S.C. | TN | null | 6,400 | 10/11/2009 | Theft | Laptop | 2014-04-23 | A laptop was stolen from a locked office at the Aurora St. Lukes Medical Center. The laptop contained protected health information pertaining to 6,400 individuals. The information included patient names, dates of birth, social security numbers, medical record numbers, and in some cases diagnosis codes. In response to the theft, the hospital implemented several corrective action measures, including accelerated efforts to encrypt all laptop hard drives, improved physical locks on the office where the theft occurred, staff training regarding the appropriate use and storage of devices containing ePHI, and encryption of portable flash drives and Blackberry devices. | 2009-10-11 | null | 2,009 |
13 | 12 | Universal American | NY | null | 83,000 | 11/12/2009 | Other | Paper | 2014-01-23 | In its breach report and during the course of OCR's investigation, the covered entity advised that it took various corrective actions to prevent a reoccurrence of the breach. Specifically, the covered entity conducted a risk assessment which revealed that the breach posed a significant risk of financial, reputational, or other harm to the 83,000 members. The covered entity sent notification letters to 83,000 members apologizing for the breach and offered a year of free credit monitoring and a $25,000 insurance policy against identity theft ($10,000 for New York residents). The covered entity also provided training to its call centers on November 29, 2009 to answer inquiries from callers concerned about the breach. In addition, media outlets were contacted to alert of a breach in states in which more than 500 members were impacted by the breach. The covered entity advised that media outlets were identified based on location of membership impacted, as well as ensuring it was a major media outlet and press releases were sent to 21 major media outlets on December 18, 2009. The covered entity also created and implemented a new policy titled 'Personal Health Information and Personal Identifiable Information Data Security and Handling Policy Acknowledgement Form' that centralized all data requests through a 'Team Track' which is an internal electronic submission request that ensures all PHI requested data receives the sign off of the Privacy Officer and Security Officer prior to release. Further, the covered entity also provided a mandatory annual computer-based training to all staff in May 2010.
| 2009-11-12 | null | 2,009 |
14 | 13 | Kern Medical Center | CA | null | 596 | 10/31/2009 | Theft | Other | 2014-01-23 | null | 2009-10-31 | null | 2,009 |
15 | 14 | Keith W. Mann, DDS, PLLC | NC | null | 2,000 | 12/8/2009 | Hacking/IT Incident | Desktop Computer, Network Server, Electronic Medical Record | 2014-01-23 | null | 2009-12-08 | null | 2,009 |
16 | 15 | Detroit Department of Health and Wellness Promotion | MI | null | 10,000 | 10/22/2009 | Theft | Other Portable Electronic Device | 2014-01-23 | null | 2009-10-22 | null | 2,009 |
17 | 16 | Detroit Department of Health and Wellness Promotion | MI | null | 646 | 11/26/2009 | Theft | Laptop, Desktop Computer | 2014-01-23 | A desktop and four laptop computers were stolen from the covered entity's locked facility. The protected health information involved in the breach included names, addresses, dates of birth, social security numbers, types of services received, and Medicare/Medicaid numbers.Following the breach, the covered entity installed new office door locks with assigned keys, installed security cameras with alarms, and physically secured computers to desks. The covered entity now stores billing information in its patient management system, and it ensured that no electronic protected health information was stored locally. Additionally, OCR's investigation resulted in the covered entity providing training to workforce members regarding the incident
| 2009-11-26 | null | 2,009 |
18 | 17 | University of California, San Francisco | CA | null | 610 | 9/22/2009 | Other | E-mail | 2014-01-23 | null | 2009-09-22 | null | 2,009 |
19 | 18 | Daniel J. Sigman MD PC | MA | null | 1,860 | 12/11/2009 | Theft | Other Portable Electronic Device, Other, Electronic Medical Record | 2014-01-23 | Computer backup tapes containing EPHI for the office practice management program including electronic medical records were stolen from the home of the practice manager on December 11, 2009. The breach affected approximately 1,860 patients. The protected health information on the tapes contained patients' names, addresses, telephone numbers, dates of birth, insurance information, social security numbers and medical record information. Following the breach, Sigman took the following voluntary corrective actions: (1) upgraded software application for backup security; implemented a new external backup system in case the server goes down; (2) encryption software was implemented for data contained on both its backup tapes and network storage device; (3) revised its security policy for transporting backup media; backup tapes must now be stored in a lockbox within a locked office in its facility; the revised policy also prohibits the movement of backup tapes from the facility as well as restricts access to the tapes to designated workforce; (4) employees were retrained on the policies and procedures in place and received training on the new policies and procedures for safeguarding backup tapes; (5) notified affected individuals and the media.
| 2009-12-11 | null | 2,009 |
20 | 19 | Massachusetts Eye and Ear Infirmary | MA | null | 1,076 | 11/10/2009 | Theft | Other | 2014-01-23 | null | 2009-11-10 | null | 2,009 |
21 | 20 | BlueCross BlueShield Association | DC | null | 3,400 | 10/26/2009 | Theft | Paper | 2014-06-30 | The covered entity's (CE) business associate (BA) incorrectly updated contract holders' addresses and mailed protected health information (PHI) to the wrong address of approximately 3,400 individuals. The PHI involved included demographic information, explanations of benefits, clinical information, and diagnoses. The breach incident involved a BA and occurred prior to the September 23, 2013, compliance date. Upon discovery of the breach, the CE obtained assurances that the BA took steps to enforce the requirements of the BA agreement. Specifically, the BA updated its processes and created an incident tracking report. In addition, a contract was executed for a new vendor to handle mail address verification. Following OCR's investigation, the BA improved its code review process to catch the system error that caused this incident and instituted a manual quality review process. OCR verified that the CE had a proper BA agreement in place that restricted the BA's use and disclosure of PHI and required the BA to safeguard all PHI.
| 2009-10-26 | null | 2,009 |
22 | 21 | BlueCross BlueShield Association | DC | null | 15,000 | 10/7/2009 | Theft | Paper | 2014-04-24 | The covered entity's (CE) business associate (BA) mailed protected health information (PHI) of approximately 15,000 individuals to incorrect addresses due to an error in its quarterly address update process. The mailing contained demographic information, explanations of benefits, clinical information, and diagnoses. Upon discovery of the breach, the CE collected the returned mail and verified that it had not been delivered, and updated its HIPAA policies and procedures. Following OCR's investigation, the CE was able to recover all or nearly all of the misdirected envelopes. | 2009-10-07 | null | 2,009 |
23 | 22 | Kaiser Permanente Medical Care Program | CA | null | 15,500 | 12/1/2009 | Theft | Other Portable Electronic Device, Other | 2014-01-23 | null | 2009-12-01 | null | 2,009 |
24 | 23 | Blue Island Radiology Consultants | IL | null | 2,562 | 12/9/2009 | Theft | Other | 2014-06-30 | The covered entity's (CE's) business associate (BA) mailed a package to the CE that was supposed to contain a backup data tape and compact disc containing protected health information (PHI); however, the tape was not in the package when delivered. Approximately 2,000 individuals were affected by the breach. The PHI included demographic, financial, and clinical information. The CE provided breach notification to affected individuals, HHS, and the media. Following the breach, the CE revised its procedures for back up data storage instead of sending tapes via the mail. Following OCR's investigation, the CE continued to reevaluate ways to enhance administrative, physical, and technical safeguards.
| 2009-12-09 | null | 2,009 |
25 | 24 | Goodwill Industries of Greater Grand Rapids, Inc. | MI | null | 10,000 | 12/15/2009 | Theft | Other | 2014-01-23 | On December 15, 2009, a safe was stolen from Goodwill's off-site facility, which contained five unencrypted back-up tapes. The breach affected approximately 10,000 individuals. The protected health information involved in the breach included full names, addresses, dates of birth, reasons for referral, dates of service, miscellaneous demographics, and, in some cases, Social Security numbers. The covered entity moved the off-site storage of back-up tapes to a new site controlled by Goodwill. The tapes are now kept in a commercial grade safe with a combination lock. The actions taken by Goodwill prior to OCR's formal investigation brought the covered entity into compliance.
| 2009-12-15 | null | 2,009 |
26 | 25 | Children's Medical Center of Dallas | TX | null | 3,800 | 11/19/2009 | Loss | Other Portable Electronic Device, Other | 2014-01-23 | null | 2009-11-19 | null | 2,009 |
27 | 26 | Concentra | TX | null | 900 | 11/19/2009 | Theft | Laptop | 2014-01-23 | null | 2009-11-19 | null | 2,009 |
28 | 27 | Ashley and Gray DDS | MO | null | 9,309 | 1/10/2010 | Theft | Desktop Computer | 2014-01-23 | null | 2010-01-10 | null | 2,010 |
29 | 28 | Advocate Health Care | IL | null | 812 | 11/24/2009 | Theft | Laptop | 2014-01-23 | On November 24, 2009, an Advocate nurse's laptop computer was stolen. The missing laptop computer contained the protected health information of approximately 812 individuals. The protected health information involved in the breach included name, address, dates of birth, social security numbers, insurance information, medication, and diagnoses. Following the breach, Advocate specifically addressed mobile device security and accepted use. Additionally, OCR's investigation resulted in Advocate workforce members that use mobile devices are now required to fill out and submit an acknowledgment form that establish proper administrative, technical, and physical security safeguards.
| 2009-11-24 | null | 2,009 |
30 | 29 | The Methodist Hospital | TX | null | 689 | 1/18/2010 | Theft | Other | 2014-01-23 | An unencrypted laptop computer was stolen from the covered entity's unlocked testing office. The laptop computer contained the protected health information of approximately 689 individuals. The protected health information involved in the breach included names, dates of birth, Social Security numbers, and the age, gender, race, and medication information of affected individuals. Following the breach, the covered entity restricted the storage of electronic protected health information to network drives. Additionally, OCR's investigation resulted in the covered entity improving their physical safeguards and in retraining employees.
| 2010-01-18 | null | 2,010 |
31 | 30 | University of California, San Francisco | CA | null | 7,300 | 11/30/2009 | Theft | Laptop | 2014-01-23 | null | 2009-11-30 | null | 2,009 |
32 | 31 | Carle Clinic Association | IL | null | 1,300 | 1/13/2010 | Theft | Other, Paper | 2014-01-23 | null | 2010-01-13 | null | 2,010 |
33 | 32 | Educators Mutual Insurance Association of Utah | UT | null | 5,700 | 12/27/2009 | Theft | Other | 2014-01-23 | null | 2009-12-27 | null | 2,009 |
34 | 33 | University Medical Center of Southern Nevada | NV | null | 5,103 | 10/31/2009 | Theft | Paper | 2014-01-23 | Between the dates of July 31, 2009 and November 19, 2009, a former UMC volunteer faxed patient face sheets to an attorney who used the sheets to contact prospective clients. Although UMC only had proof of two disclosures, it chose to notify all 5,301 individuals that could have been affected by the breach. The protected health information involved in the breach included names, addresses, dates of birth, social security numbers, and diagnoses. Following the breach, UMC conducted an internal investigation, notified all 5,301 individuals, notified the media, and notified the Secretary. Additionally, UMC reformulated face sheets so that they no longer include full social security numbers and provided all possible affected individuals with a year of free credit monitoring. As a result of this breach, at least one person has been indicted on one count of conspiracy to illegally disclose personal health information in violation of the HIPAA
| 2009-10-31 | null | 2,009 |
35 | 34 | Center for Neurosciences | AZ | null | 1,100 | 12/15/2009 | Theft | Laptop | 2014-01-23 | null | 2009-12-15 | null | 2,009 |
36 | 35 | Brown University | RI | null | 528 | 12/11/2009 | Other | Paper | 2014-01-23 | On January 5, 2010, BCBSRI was notified that a 16 page report pertaining to Brown University's health plan was impermissibly disclosed to two other BCBSRI agents. The reports contained the PHI of approximately 528 individuals. The PHI involved: first and last names, dates of service, cost of medical care provided, and member identification numbers. Following the breach, BCBSRI recovered the reports, received written assurances that any electronic copies of the reports were deleted, notified affected individuals of the breach, implemented new procedure for all outgoing correspondence, and is in the process of auditing all affected members' claim history to ensure no fraud.
| 2009-12-11 | null | 2,009 |
37 | 36 | MMM Heath Care Inc. | PR | null | 1,907 | 2/4/2010 | Theft | Paper | 2014-06-03 | The covered entity's (CE) business associate (BA) erroneously merged two lists which led to the disclosure of protected health information (PHI) of 1,907 individuals. The PHI included names, internal identification numbers, and the number of emergency room visits. Upon discovery of the breach, the CE's BA established a quality control process in order to ensure adequate safeguards for that letters that are sent by mail. As a result of OCR's investigation, the CE created and implemented additional policies and procedures for quality control of mailings. The CE also provided training to all staff on its revised privacy and security policies and procedures.
| 2010-02-04 | null | 2,010 |
38 | 37 | PMC Medicare Choice | PR | null | 605 | 2/4/2010 | Theft | Paper | 2014-06-03 | The covered entity's (CE) business associate (BA) erroneously merged two lists which led to the disclosure of protected health information (PHI) of 605 individuals. The PHI included names, internal identification numbers, and the number of emergency room visits. Upon discovery of the breach, the CE's BA established a quality control process in order to ensure adequate safeguards for that letters that are sent by mail. As a result of OCR's investigation, the CE created and implemented additional policies and procedures for quality control of mailings. The CE also provided training to all staff on its revised privacy and security policies and procedures.
| 2010-02-04 | null | 2,010 |
39 | 38 | Cardiology Consultants/Baptist Health Care Corporation | FL | null | 8,000 | 12/19/2009 | Theft | Desktop Computer | 2014-06-30 | A desktop computer that contained the e-PHI of approximately 8,000 individuals was stolen from the covered entity's (CE) locked medical suite. The PHI involved in the breach included names, dates of birth, medical record numbers, ultrasound information, exam dates, and reasons for the ultrasound. The computer that was stolen used proprietary software and a special electronic key to access the PHI. The CE provided breach notification to affected individuals, HHS, and the media and posted substitute notification on its website. Following the breach, the CE worked with law enforcement to identify the possible suspect. The CE upgraded its facility access controls to include proximity card readers for every location that stores PHI. As a result of OCR's investigation the CE updated its risk analysis and carried out additional risk management activities.
| 2009-12-19 | null | 2,009 |
40 | 39 | State of TN, Bureau of TennCare | TN | null | 3,900 | 12/23/2009 | Theft | Paper | 2014-06-24 | The covered entity (CE) mailed the wrong information to 3,900 individuals based on a corrupted data file it received from a state agency. The types of PHI involved were names, dates of birth, social security numbers, member identification numbers, and in some cases, diagnoses, treatments, conditions, and medications. Following the breach, the CE immediately fixed the corrupted file and mailed corrected letters. The CE provided breach notification to HHS, the media, and affected individuals and provided substitute notification by posting on its website. It also offered affected individuals one year of free credit monitoring and comprehensive credit services. The CE also worked with the state agency to implement a new procedure to improve safeguards for PHI. OCR obtained assurances that the CE implemented the corrective action listed above.
| 2009-12-23 | null | 2,009 |
41 | 40 | Lucille Packard Children's Hospital | CA | null | 532 | 1/11/2010 | Other | Desktop Computer | 2014-01-23 | null | 2010-01-11 | null | 2,010 |
42 | 41 | University of New Mexico Health Sciences Center | NM | null | 1,900 | 2/8/2010 | Other | Desktop Computer | 2014-01-23 | null | 2010-02-08 | null | 2,010 |
43 | 42 | Advanced NeuroSpinal Care | CA | null | 3,500 | 12/30/2009 | Theft | Network Server | 2014-04-22 | A computer containing the electronic protected health information (ePHI) of 3,500 individuals was stolen from the office of a covered entity (CE). The ePHI included patient names, addresses, dates of birth, social security numbers, driver's licenses, claims information, diagnoses, and conditions. As a result of the loss, the CE upgraded the alarm system and replaced the server housing and storage security lock-up. The CE also notified affected individuals, the media, appropriate government agencies, and law enforcement. In addition, the CE established an office-based hotline to assist affected individuals. As a result of OCR's investigation, the CE has implemented regularly scheduled security risk analyses and has installed window bars, roll down shutters, four video surveillance cameras, and other physical security measures to prevent theft. | 2009-12-30 | null | 2,009 |
44 | 43 | Aspen Dental Care P.C. | CO | null | 2,500 | 10/4/2009 | Theft | Other | 2014-06-30 | A computer hard drive containing encrypted patient records was stolen from the covered entity's (CE) safe. The hard drive contained clinical and demographic information of approximately 2,500 patients. Following the breach, the CE provided additional training to its staff. OCR obtained assurances that the CE implemented the corrective action listed above.
| 2009-10-04 | null | 2,009 |
45 | 44 | Shands at UF | FL | null | 12,580 | 1/27/2010 | Theft | Laptop | 2014-01-23 | A laptop containing certain information collected on approximately 12,580 individuals referred to Shands at UF GI Clinical Services was stolen from the private residence of an employee. The stolen information included patient names, social security numbers, and medical record numbers. As a result of the incident, the employee was counseled by her supervisor, issued written corrective action with a 3-day suspension, and provided additional HIPAA training. OCR reviewed Shands at UF's most recent Risk Analysis and Risk Management Plans and they revealed no high risk findings related to encryption, workstation use, or physical security. OCR's investigation found that Shands at UF has implemented appropriate technical safeguards, such as secure VPN network connections and network storage for workforce usage, encrypted USB portable flash drives, and PGP whole disk encryption.
| 2010-01-27 | null | 2,010 |
46 | 45 | Wyoming Department of Health | WY | null | 9,023 | 12/2/2009 | Unauthorized Access/Disclosure | Network Server | 2014-01-23 | null | 2009-12-02 | null | 2,009 |
47 | 46 | Thrivent Financial for Lutherans | WI | null | 9,500 | 1/29/2010 | Theft | Laptop | 2014-01-23 | On January 29, 2010, there was a break-in at one of the Thrivent's offices and five laptop computers were stolen; four of the five laptops were recovered. The missing laptop computer contained the protected health information of approximately 9,400 individuals. The protected health information involved in the breach included name, address, date of birth, social security number, prescription drugs, medical condition, age, weight, etc. Thrivent provided OCR with additional controls to remedy causes of security breach at various stages of implementation. The actions taken by the CE prior to OCR's formal investigation brought the CE into compliance.
| 2010-01-29 | null | 2,010 |
48 | 47 | North Carolina Baptist Hospital | NC | null | 554 | 2/15/2010 | Theft | Paper | 2014-01-23 | null | 2010-02-15 | null | 2,010 |
49 | 48 | Montefiore Medical Center | NY | null | 625 | 2/20/2010 | Theft | Laptop | 2014-06-03 | An unencrypted laptop computer containing the electronic protected health information (ePHI) of 625 individuals was stolen from the covered entity's (CE) mobile dental van. The ePHI included names, dates of birth, medical record numbers and dental x-rays. Upon discovery of the breach, the CE filed a police report and provided breach notification to HHS, the media and affected individuals. As a result of OCR's investigation, the CE revised its procedures so that all ePHI is stored in a data center, rather than the mobile dental van laptop. In addition, the CE encrypted all mobile dental van laptops and improved physical security for the van. The CE developed a new policy on ePHI security and retrained all staff. OCR obtained assurances that the CE implemented the corrective action listed above. | 2010-02-20 | null | 2,010 |
50 | 49 | Ernest T. Bice, Jr. DDS, P.A. | TX | null | 21,000 | 2/20/2010 | Theft | Other Portable Electronic Device, Other | 2014-01-23 | Three unencrypted external back-up drives were stolen from a safe in the covered entity's locked office. The laptop computer contained the protected health information of approximately 21,000 individuals. The protected health information involved in the breach included names, addresses phone numbers, dates of birth, social security numbers, insurance information, and treatment histories. Following the breach, the covered entity moved back-up data offsite and encrypted all workstations. Additionally, OCR's investigation resulted in the covered entity improving their physical safeguards and in retraining employees.
| 2010-02-20 | null | 2,010 |
51 | 50 | Lee Memorial Health System | FL | null | 3,800 | 1/29/2010 | Other | Paper | 2014-01-23 | The covered entity sent postcards to approximately 3,800 patients, which listed the patients' demographic information, and a statement that read, 'Your Physician Has Moved,' with a name and description of the practice, Infectious Disease Specialist. The types of PHI involved were demographic and clinical information. Voluntary actions taken prior to OCR's investigation include the issuance of sanctions and review of policies and procedures.
| 2010-01-29 | null | 2,010 |
52 | 51 | Laboratory Corporation of America/Dynacare Northwest, Inc. | WA | null | 5,080 | 2/12/2010 | Theft | Laptop | 2014-01-23 | A laptop computer was stolen from a workforce member's car. The laptop computer contained the protected health information of approximately 5080 individuals. The protected health information involved in the breach included names, addresses, dates of birth, Social Security numbers, and lab results. Following the breach, the covered entity encrypted all laptop computers.
| 2010-02-12 | null | 2,010 |
53 | 52 | Mount Sinai Medical Center | FL | null | 2,600 | 3/9/2010 | Theft | Laptop | 2014-01-23 | null | 2010-03-09 | null | 2,010 |
54 | 53 | Griffin Hospital | CT | null | 957 | 2/4/2010 | Hacking/IT Incident | Network Server | 2014-01-23 | null | 2010-02-04 | null | 2,010 |
55 | 54 | Hypertension, Nephrology, Dialysis and Transplantation, PC | AL | null | 2,465 | 3/6/2010 | Theft | Laptop | 2014-01-23 | null | 2010-03-06 | null | 2,010 |
56 | 55 | Reliant Rehabilitation Hospital North Houston | TX | null | 768 | 2/9/2010 | Unauthorized Access/Disclosure | E-mail | 2014-01-23 | null | 2010-02-09 | null | 2,010 |
57 | 56 | Laboratory Corporation of America / US LABS / Dianon Systems, Inc | AZ | null | 2,773 | 2/18/2010 | Theft | Other Portable Electronic Device | 2014-01-23 | null | 2010-02-18 | null | 2,010 |
58 | 57 | University of Pittsburgh Student Health Center | PA | null | 8,000 | 3/11/2010 | Theft, Loss | Paper | 2014-01-23 | null | 2010-03-11 | null | 2,010 |
59 | 58 | Providence Hospital | MI | null | 83,945 | 2/4/2010 | Other | Other | 2014-01-23 | null | 2010-02-04 | null | 2,010 |
60 | 59 | VHS Genesis Lab Inc. | IL | null | 6,800 | 1/10/2010 | Loss | Paper | 2014-01-23 | null | 2010-01-10 | null | 2,010 |
61 | 60 | John Muir Physician Network | CA | null | 5,450 | 2/4/2010 | Theft | Laptop | 2014-01-23 | null | 2010-02-04 | null | 2,010 |
62 | 61 | Beatrice Community Hospital and Health Center | NE | null | 660 | 3/19/2010 | Other | Paper | 2014-01-23 | null | 2010-03-19 | null | 2,010 |
63 | 62 | Pediatric Sports and Spine Associates | TX | null | 955 | 2/10/2010 | Theft | Laptop | 2014-01-23 | An unencrypted laptop was stolen from an employee's vehicle. The laptop contained the protected health information of approximately 955 individuals. The protected health information involved in the breach included names, addresses, dates of birth, social security numbers, diagnoses, medications and other treatment information. Following the discovery of the breach, the covered entity revised policies, retrained staff and implemented additional physical and technical safeguards including encryption software. The covered entity also removed the stolen laptop's access to the server, sanctioned the involved employee, notified the affected individuals and notified the local media.
| 2010-02-10 | null | 2,010 |
64 | 63 | Affinity Health Plan, Inc. | NY | null | 344,579 | 11/24/2009 | Theft | Other | 2014-05-28 | null | 2009-11-24 | null | 2,009 |
65 | 64 | Tomah Memorial Hospital | WI | null | 600 | 3/19/2010 | Other | Other | 2014-01-23 | null | 2010-03-19 | null | 2,010 |
66 | 65 | Praxair Healthcare Services, Inc. (Home Care Supply in NY) | CT | null | 54,165 | 2/18/2010 | Theft | Laptop | 2014-01-23 | A laptop computer was stolen from the covered entity's office by a former employee after it had been damaged. The laptop computer contained the PHI of approximately 54,165 individuals. The computer contained a limited amount of PHI, including client names and one or more of the following: addresses, phone numbers, social security numbers, insurance provider names and policy numbers, medical diagnostic codes or medical equipment. Following the breach, the covered entity notified all affected individuals, the media, and HHS of the breach. Additionally, the covered entity completed its laptop encryption project to cover all PHI stored on computers in the office. Additionally, OCR's investigation resulted in the covered entity reinforcing the requirements of HIPAA to its employees.
| 2010-02-18 | null | 2,010 |
67 | 66 | Massachusetts Eye and Ear Infirmary | MA | null | 3,594 | 2/19/2010 | Theft | Laptop | 2014-01-23 | null | 2010-02-19 | null | 2,010 |
68 | 67 | Blue Cross & Blue Shield of Rhode Island | RI | null | 12,000 | 12/20/2009 | Theft | Paper | 2014-06-30 | A covered entity (CE) donated a file cabinet containing the protected health information (PHI) of 12,000 individuals before cleaning it out. The PHI included members' names, addresses, telephone numbers, social security numbers, and Medicare identification numbers. The covered entity (CE) provided breach notification to HHS, the affected individuals, and media, and offered all affected individuals free credit monitoring for a period of one year. Following the breach, the CE sanctioned the employees involved in the incident and held a mandatory training regarding the HIPAA Privacy and Security Rule for all departments involved in the breach. The CE also revised the policy for office moves. OCR obtained assurances that the CE implemented the corrective action listed above.
| 2009-12-20 | null | 2,009 |
69 | 68 | South Carolina Department of Health and Environmental Control | SC | null | 2,850 | 2/17/2010 | Improper Disposal | Paper | 2014-01-23 | null | 2010-02-17 | null | 2,010 |
70 | 69 | St. Joseph Heritage Healthcare | CA | null | 22,012 | 3/6/2010 | Theft | Desktop Computer | 2014-01-23 | 22 computers were stolen from Clinical Management Service office.Five of the stolen computers contained the protected health information of approximately 22,012 individuals. The protected health information involved in the breach included name, date of birth, social security number, referral number, encounter number, facility, member ID, diagnosis, procedure, and/or diagnosis code. As a result of this incident, St. Joseph notified the potentially affected individuals, notified the local media, installed security cameras, re-trained employees, and installed encryption software on all laptops and Computers enterprise-wide. OCR's investigation resulted in the covered entity improving their physical and technological safeguards and retraining employees.
| 2010-03-06 | null | 2,010 |
71 | 70 | Medical Center At Bowling Green | KY | null | 5,148 | 3/24/2010 | Theft | Other Portable Electronic Device, Other | 2014-01-23 | null | 2010-03-24 | null | 2,010 |
72 | 71 | GENERAL AGENCIES WELFARE BENEFITS PROGRAM | TN | null | 1,874 | 2/5/2010 | Loss | Other | 2014-01-23 | null | 2010-02-05 | null | 2,010 |
73 | 72 | UnitedHealth Group health plan single affiliated covered entity | MN | null | 735 | 3/2/2010 | Theft | Other, Paper | 2014-01-23 | null | 2010-03-02 | null | 2,010 |
74 | 73 | South Texas Veterans Health Care System | TX | null | 1,430 | 9/30/2009 | Loss, Improper Disposal | Paper | 2014-01-23 | null | 2009-09-30 | null | 2,009 |
75 | 74 | Rockbridge Area Community Services | VA | null | 500 | 3/12/2010 | Theft | Laptop, Desktop Computer | 2014-01-23 | null | 2010-03-12 | null | 2,010 |
76 | 75 | Emergency Healthcare Physicians, Ltd. | IL | null | 180,111 | 2/27/2010 | Theft | Other Portable Electronic Device, Other | 2014-01-23 | null | 2010-02-27 | null | 2,010 |
77 | 76 | VA Eastern Colorado Health Care System | CO | null | 649 | 1/19/2010 | Theft | Paper | 2014-06-19 | A covered entity's (CE's) employee placed paper records containing protected health information (PHI) in an unsecured box that was left undiscovered in a public parking garage for four days. The box contained the PHI of 649 patients. The PHI included treatment records, productivity reports, coding information, names, medical treatments, conditions, diagnoses, and social security numbers. Upon discovery of the breach, the CE notified the affected individuals and provided credit protection to those whose social security numbers had been breached. The CE provided OCR with copies of its breach prevention policies and procedures. Following OCR's investigation, the employee who left the records resigned from her position and the CE improved its breach response procedures. | 2010-01-19 | null | 2,010 |
78 | 77 | Miami VA Healthcare System | FL | null | 568 | 1/19/2010 | Loss | Paper | 2014-01-23 | null | 2010-01-19 | null | 2,010 |
79 | 78 | Heriberto Rodriguez-Ayala, M.D. | TX | null | 4,200 | 4/3/2010 | Theft | Laptop | 2014-01-23 | null | 2010-04-03 | null | 2,010 |
80 | 79 | Georgetown University Hospital | DC | null | 2,416 | 3/26/2010 | Theft, Other | E-mail, Other Portable Electronic Device | 2014-01-23 | An employee of the covered entity emailed protected health information (PHI) to an offsite research office (which is not itself a covered entity) in violation of the review preparatory to research protocol. The research office stored the electronic information on an external hard drive that was later stolen. The device contained the PHI of 2,416 individuals. The PHI involved in the breach included names, dates of birth, and clinical information. In response to this incident, the covered entity terminated transmission of the PHI to this research office and gave the responsible employee a verbal warning and counseling. Additionally, the covered entity undertook a review of all research affiliations involving PHI of hospital patients to confirm that appropriate documentation and procedures are in place.
| 2010-03-26 | null | 2,010 |
81 | 80 | Silicon Valley Eyecare Optometry and Contact Lenses | CA | null | 40,000 | 4/2/2010 | Theft | Network Server | 2014-01-23 | null | 2010-04-02 | null | 2,010 |
82 | 81 | Loma Linda University Health Care | CA | null | 584 | 4/4/2010 | Theft | Desktop Computer | 2014-01-23 | null | 2010-04-04 | null | 2,010 |
83 | 82 | Veterans Health Administration | DC | null | 656 | 4/22/2010 | Theft | Laptop | 2014-01-23 | null | 2010-04-22 | null | 2,010 |
84 | 83 | State of New Mexico Human Services Department, Medical Assistance Division | NM | null | 9,600 | 3/20/2010 | Theft | Laptop | 2014-01-23 | null | 2010-03-20 | null | 2,010 |
85 | 84 | Oconee Physician Practices | SC | null | 653 | 5/9/2010 | Theft | Laptop | 2014-01-23 | null | 2010-05-09 | null | 2,010 |
86 | 85 | University of Rochester Medical Center and Affiliates | NY | null | 2,628 | 4/19/2010 | Other | Paper | 2014-01-23 | null | 2010-04-19 | null | 2,010 |
87 | 86 | Omaha Construction Industry Health and Welfare Plan | NE | null | 800 | 1/11/2009 | Theft | Laptop | 2014-01-23 | null | 2009-01-11 | null | 2,009 |
88 | 87 | City of Charlotte, NC (Health Plan) | NC | null | 5,220 | 2/3/2010 | Loss | Other | 2014-01-23 | null | 2010-02-03 | null | 2,010 |
89 | 88 | VA North Texas Health Care System | TX | null | 4,083 | 5/4/2010 | Improper Disposal | Paper | 2014-01-23 | null | 2010-05-04 | null | 2,010 |
90 | 89 | Rainbow Hospice and Palliative Care | IL | null | 1,000 | 4/12/2010 | Theft | Laptop | 2014-01-23 | An employee's laptop was stolen out of her bag while she was making an admission visit in a patient's home. The evidence showed that although the covered entity had a policy of encrypting and password-protecting its computers, this particular computer did not require a password most of the time. The invoices contained the protected health information (PHI) of approximately 1,000 individuals. The PHI stored on the laptop included names, addresses, dates of birth, phone numbers, Social Security numbers, Medicare numbers, electronic health records and commercial insurance information. Following the breach, the covered entity notified its clients of the incident, placed notice on its website and in The Daily Herald, sanctioned the employee for changing the security settings on the laptop in question, and established stringent computer security guidelines, and retrained its staff in the new requirements, with the intention of preventing a similar event from occurring again.
| 2010-04-12 | null | 2,010 |
91 | 90 | Cincinnati Childrens Hospital Medical Center | OH | null | 60,998 | 3/27/2010 | Theft | Laptop | 2014-01-23 | null | 2010-03-27 | null | 2,010 |
92 | 91 | Occupational Health Partners | KS | null | 1,105 | 5/12/2010 | Theft | Laptop | 2014-01-23 | null | 2010-05-12 | null | 2,010 |
93 | 92 | AvMed, Inc. | FL | null | 1,220,000 | 12/10/2009 | Theft | Laptop | 2014-06-30 | Two laptop computers with questionable encryption (each containing the electronic protected health information (ePHI) of 350,000 individuals) were stolen from the covered entity's (CE) premises. The types of ePHI involved included demographic and clinical information, diagnoses/conditions, medications, lab results, and other treatment data. After discovering the breach, the CE reported the theft to law enforcement and worked with the local police to recover the laptops. As a result of OCR's investigation, the CE developed and implemented new policies and procedures to comply with the Security Rule. The CE also provided breach notification to all affected individuals, HHS, and the media and placed an accounting of disclosures in the medical records of all affected individuals. | 2009-12-10 | null | 2,009 |
94 | 93 | UnitedHealth Group health plan single affiliated covered entity | MN | null | 16,291 | 1/26/2010 | Other | Paper | 2014-01-23 | Paper correspondence to certain members in UnitedHealth's prescription drug plans were in advertently sent to the incorrect temporary address due to a database administration error. Approximately 16,291 individuals were affected by the breach. UnitedHealth member's name, plan number and in some instances, date of birth and/or limited medical information. United Health reported that it stopped using PDI's proprietary database for address updates and made outbound verifications calls to members to get accurate temporary addresses. United Health reported that it revised its address update process.
| 2010-01-26 | null | 2,010 |
95 | 94 | Lincoln Medical and Mental Health Center | NY | null | 130,495 | 3/24/2010 | Theft | Other | 2014-06-19 | The covered entity's business associate (BA), Siemens Medical Solutions USA, Inc., shipped seven unencrypted compact disks (CDs) that contained the electronic protected health information (ePHI) of 130,495 individuals to the covered entity (CE), Lincoln Medical and Mental Health Center. The CD's, containing back-up data, were lost in transit. The ePHI included names, addresses, social security numbers, medical record numbers, health plan information, dates of birth, dates of admission and discharge, diagnostic and procedural codes, and driver's license numbers. The CE provided breach notification to affected individuals, HHS, and the media. Upon discovery of the breach, the CE directed the BA to cease using the shipping service as a means of transporting the CDs. As a result of OCR's investigation, the BA adopted a procedure to encrypt CDs. The CE also implemented a procedure for a senior employee of the BA to physically deliver the encrypted CDs to the CE. The breach incident involved a BA and occurred prior to the September 23, 2013, compliance date. OCR verified that the CE had a proper BA agreement in place that restricted the BA's use and disclosure of PHI and required the BA to safeguard all PHI. | 2010-03-24 | null | 2,010 |
96 | 95 | Nihal Saran, MD | MI | null | 2,300 | 5/2/2010 | Theft | Laptop | 2014-01-23 | A password protected laptop computer containing protected health information (PHI) was stolen from Dr. Saran's personal residence. The laptop contained the PHI of approximately 2,300 individuals. The PHI stored on the laptop included patients' names, addresses, dates of birth, Social Security numbers, insurance information, and diagnoses. Following the breach, Dr. Saran notified the Northville Township Police Department of the theft, contacted the individuals reasonably believed to have been affected by the breach, sent a notice of the breach to the Detroit Free Press and the Monroe News, and installed encryption software for its billing software.
| 2010-05-02 | null | 2,010 |
97 | 96 | University of Louisville Research Foundation, Inc., DBA The Kidney Disease Program | KY | null | 708 | 10/1/2008 | Hacking/IT Incident | Network Server | 2014-01-23 | null | 2008-10-01 | null | 2,008 |
98 | 97 | St. Jude Children's Research Hospital | TN | null | 1,745 | 4/19/2010 | Loss | Laptop | 2014-01-23 | null | 2010-04-19 | null | 2,010 |
99 | 98 | TennCare | TN | null | 10,515 | 3/20/2010 | Theft | Laptop | 2014-06-20 | A car containing an unencrypted laptop computer was stolen from West Monroe Partners, a contractor for the covered entity's (CE) business associate (BA), DentaQuest. The laptop stored a database containing the electronic protected health information (ePHI) of approximately 76,000 individuals, including data on 10,515 of the CE's members. The types of PHI involved in the breach included names, social security numbers, dates, and certain provider identification numbers. The CE and BA worked together to provide breach notification to affected individuals and the media, and offered free credit monitoring and enhanced credit services to affected individuals for one year. The CE reported the breach to HHS and provided substitute notification on its website. The BA implemented procedures to ensure that any third party laptops connecting to its network employ disk encryption. Further, the BA established a policy to prohibit contractors from storing PHI on laptops. The breach incident involved a BA and occurred prior to the September 23, 2013, compliance date. OCR verified that the CE had a proper BA agreement in place that restricted the BA's use and disclosure of PHI and required the BA to safeguard all PHI.
| 2010-03-20 | null | 2,010 |
100 | 99 | The Children's Medical Center of Dayton | OH | null | 1,001 | 4/22/2010 | Other | E-mail | 2014-01-23 | null | 2010-04-22 | null | 2,010 |
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