record retention january 10, 2007. nebraska’s pride is 500-miles wide i. introduction keith swarts
TRANSCRIPT
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Record Retention
January 10, 2007
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Nebraska’s Pride is 500-miles wide
I. Introduction
Keith Swarts
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Nebraska’s Pride is 500-miles wide
Record Retention ART and DAS January 10, 2007 Agenda
I. Introduction 5 minutes Keith Swarts
II. Why We Are Here 15 minutes Sheila WrobelImportance of record retentionWhat is a record?Records destructionExecutive Memorandum 29 and E-Discovery
III. Electronic Document Storage 10 minutes Sharon WelnaEmail and file storageNon-University owned computersPortable media drives
IV. Employee Records Retention 45 minutes Connie RushClarify rolesReview scheduleFeedback
V. Where Do We Go Next? 10 minutes Keith SwartsFinalize retention schedule in MarchBegin destruction of recordsNext series of records retention review:Medical records and facility records
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Nebraska’s Pride is 500-miles wide
II. Why We Are Here
Sheila Wrobel
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Nebraska’s Pride is 500-miles wide
Importance of Retaining Records Records provide documentation to support actions
taken Records required during audits, investigations &
litigation to prove: Policies & procedures followed; “standard of care” Funds spent appropriately (State $; Grants; Medicare & Medicaid) Employees (prospective also) & Students’ rights were not violated
“What hasn’t been documented hasn’t been done”
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Nebraska’s Pride is 500-miles wide
Scenario 1 A Hispanic female, age 61, is terminated from
employment for poor job performance. She files a complaint with the Nebraska Equal Opportunity Commission (NEOC) claiming discrimination based on sex, race and age
Employer must prove that termination was for cause What documents should the employer have retained
to prove the termination was not “against public policy”? How long should they have been retained?
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Nebraska’s Pride is 500-miles wide
Scenario 2 The DHHS Office of the Inspector General conducts
an audit of an NIH grant and requests documentation showing proof that Dr. Jones spent 60% of his time on the grant as his effort report indicates
What documentation should Dr. Jones have retained
to prove how his time was spent and how long should he retain it?
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Nebraska’s Pride is 500-miles wide
Scenario 3
You are in charge of a search committee to hire a department manager. You receive a reference via
e-mail from a previous co-worker of one of the finalists for the position.
Do you need to retain the e-mail reference, and if so,
for how long?
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Nebraska’s Pride is 500-miles wide
What is a Record? Records contain information relating to the operation
of the University and/or the interests of persons employed by, enrolled at, or otherwise associated with the University;
Records may be in any form: Paper, including handwritten & typed Electronic, including e-mails & e-documents (SAP, etc.) Sound & video recordings, still pictures
Assume most records are potentially subject to disclosure to the public under public records statutes or to third parties through legal process
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Nebraska’s Pride is 500-miles wide
What Medium? The form of the record is not as important as the
substantive content Unless otherwise required by law or university
policy, records may be retained in any medium Records must be capable of being retrieved
If microfiche, maintain a microfiche reader Electronic records must be in a format accessible by
current technology Create system to retrieve records in a timely manner (i.e.
an index)
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Nebraska’s Pride is 500-miles wide
Record Destruction Establish a system to date & flag records for
destruction on a regular schedule See UNMC Policy and Procedures 6056 in handouts
for proper methods of destruction Record retention schedules set a minimum time for
retention UNMC schedules will list the repository(s) for each
record Only a single copy of each record must be kept;
destroy duplicates as soon as possible
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Nebraska’s Pride is 500-miles wide
Executive Memorandum 29
Designates records officers & responsibilities Joshua Mauk is university-wide records officer Keith Swarts is UNMC records officer
Preservation Notices for records subject to legal proceedings or public records requests Recipients must make a good faith effort to collect and
preserve records subject to the Notice Retention schedules suspended for these records – do not
destroy during preservation period
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Nebraska’s Pride is 500-miles wide
E-Discovery Rules
Federal Rules of Civil Procedure amendments effective Dec 1, 2006 related to discovery of electronically stored information in litigation
Addresses the duty to disclose ESI Party from whom discovery is sought has the
burden of proving that ESI is not reasonably accessible because of undue burden or cost
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Nebraska’s Pride is 500-miles wide
Record Retention Resources
UNMC Record Retention website at: http://www.unmc.edu/dept/compliance/index.cfm?L1_ID=34&CONREF=10
UNMC Record Retention and Destruction FAQs
University of Nebraska General Counsel E-Discovery FAQs
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Nebraska’s Pride is 500-miles wide
III. Electronic Document Storage
Sharon Welna
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Email and File Storage
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Nebraska’s Pride is 500-miles wide
Email and file storage
Organize your electronic documents and email Use the same file structure within email as you
store electronic documents
http://office.microsoft.com/en-us/help/HA012191731033.aspx http://office.microsoft.com/en-us/workessentials/HA011450561033.aspx
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Nebraska’s Pride is 500-miles wide
Email and file storage
Set up a file structure which will be easy to maintain
Examples:Subject
Year created Record Retention
Presentations 2007
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Nebraska’s Pride is 500-miles wide
Non-University Owned Computers
If you store UNMC records on a non-University owned computer, this computer could be needed to respond to a records request.
It is highly recommended that you segregate UNMC records and personal records.
It will be your responsibility to produce the records on the non-University owned computer to respond to a records request.
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Nebraska’s Pride is 500-miles wide
Data stored on Local hard drive
Employee has responsibility for bringing forward any data stored on a local hard drive similar to data stored on a non-University owned PC
Example: ITS is requested to provide legal a copy of the mail data base for a particular individual. All ITS will be able to provide is data stored on the mail server. It will be the employee’s responsibility to identify other area’s where mail has been stored.
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Nebraska’s Pride is 500-miles wide
Information Security:Mobile Devices
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Nebraska’s Pride is 500-miles wide
What is a mobile device? USB devices
Thumbs drives USB removable disk drives
Smart Phones Laptops PDA iPod Blackberry And more every day………..
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Nebraska’s Pride is 500-miles wide
Facts to Consider 81% of US firms lost laptops with sensitive
data in the past year 97% of stolen computers are never recovered 60% of information theft results from lost or
stolen equipment, only 25% from network intrusions
Source: Computerworld, August 16, 2006
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VA to Encrypt All Computers
VA will install data encryption technology on ALL of its computer
Cost: $3.7 million
Source: Health Data Management (August 15, 2006)
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Nebraska’s Pride is 500-miles wide
Do NOT put confidential information on a mobile
device
But, what if I have to?
You MUST ensure that the data is encrypted and password protected.
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Nebraska’s Pride is 500-miles wide
Encryption Recommended product to use:
TruCrypt
Contact workstation support if you have questions
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Nebraska’s Pride is 500-miles wide
Risks of Encrypting Data
If you lost the encryption key, there is virtually no way to recover.
Encryption should only be used on mobile devices
Encrypted file should NOT be your only copy. Keep a copy on a file server
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Nebraska’s Pride is 500-miles wide
Computer Use Policy It is the responsibility of the workforce to utilize the
information technology resources in an appropriate manner. Individuals with access to information systems are expected to safeguard resources and maintain appropriate levels of confidentiality in order to protect the integrity of all data and of the interests of the entity.
It is the responsibility of the workforce to protect confidential information when stored electronically (at rest) and when the data is being transferred outside of the facility such as on a mobile device or a diskette
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Nebraska’s Pride is 500-miles wide
End User Device Policy Confidential Information on Mobile devices (such as PDA’s laptops):
Members of the workforce must utilize password protection. All computerized confidential information should be encrypted where technically feasible. The use of physical security measures such as using safes, locking furniture drawers, and locking office doors is recommended as a supplementary measure to protect confidential information while the data is being stored (or at rest). Members of the workforce are responsible for safeguarding and protecting confidential information when the information is transferred off campus such as on a diskette, PDA, or laptop.. Members of the workforce are responsible for ensuring information obtained and stored on mobile devices is obtained pursuant to the UNMC Policy No. 6051, Computer Use and Electronic Information Security.
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Nebraska’s Pride is 500-miles wide
Blackberry
If a Blackberry is misplaced, lost or stolen Notify the IT Help Desk immediately IT will work with you to notify Verizon
Misplaced Blackberry device Server can send a “set password” and “lock” command
Lost or stolen Server can send an “erase application data” command Server can send a show owner information command
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Nebraska’s Pride is 500-miles wide
Preventing Mobile Device Theft
No place is safe. Never leave mobile devices unattended Never leave user id/password in the carrying
case
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Avoid a disaster while on the road
Start every trip with a backup of your system Connect to the office using your VPN connection and
back up files to your home drive When in doubt, switch to paper
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Nebraska’s Pride is 500-miles wide
Make security a habit to ensure retention of records
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IV. Employee Records Retention
Connie Rush
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Nebraska’s Pride is 500-miles wide
V. Where Do We Go Next?
Finalize retention schedule and permanent records
Destruction of records Next series of record retention review Questions?