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Record Management Medical Center Administrative Group Fall Symposium November 15, 2000

Record Management Medical Center Administrative Group Fall Symposium November 15, 2000. University Audit. Office of University Audit. Salim M. Alani, Director ext. 5-2291 salani@audit.rochester.edu Sandra E. Dano, Auditor ext. 5-1100 sdano@audit.rochester.edu

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Record Management Medical Center Administrative Group Fall Symposium November 15, 2000

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  1. Record ManagementMedical Center Administrative GroupFall SymposiumNovember 15, 2000 University Audit

  2. Office of University Audit • Salim M. Alani, Director ext. 5-2291 salani@audit.rochester.edu • Sandra E. Dano, Auditor ext. 5-1100 sdano@audit.rochester.edu website: http://listener.uis.rochester.edu/audit/

  3. Office of University AuditOrganizational Chart

  4. Mission Statement • To provide audit and advisory services to the University Community by assessing risks, analyzing controls, and ensuring that business practices are effective, efficient, and compliant with University and regulatory policies.

  5. Records Management Topics • What are Records • Proper Treatment of Confidential Records • security over storage, limiting access, transporting, faxing, legislation • Compliance Issues • Destruction of Records • Petty Cash Funds

  6. Three Words to Remember: • Communicate • Compliance • Confidentiality

  7. What are Records? • The records we’re talking about in today’s presentation are collections of items of data and information.

  8. Records may be on: • computer-stored files • paper notes, forms and reports • x-rays • drawings • photographs • video or sound tapes • microfilm/microfiche • e-mail • electronic imaging

  9. Confidential Records Include:(but are not limited to) • social security numbers • salary information • information about patients and their care • student grades • employee performance evaluations

  10. Confidential Records • Must be stored to protect confidentiality. - locked drawer, cabinet, office • Access is limited to appropriate users. - legitimate business purpose; need to know basis • Secure records sent to other areas. - lock totes, seal envelopes • Exercise caution when faxing data. - consider adding a disclaimer to your cover page

  11. Health Insurance Portability and Accountability Act (HIPAA) • Access of patient information is to be limited to the minimum necessary to perform specific jobs. • Protection of health care information to ensure privacy and confidentiality when health information is electronically stored, maintained or transmitted.

  12. New York State Bill A09965 • This is an act to amend the education law. • It prohibits the use of social security numbers as student identification numbers. • It was passed into law and will go into effect on July 1, 2001.

  13. Why not keep all records forever?

  14. Factors to Consider for Retention Periods: • University policies • external compliance requirements • optimizing use of space • minimizing the cost of retention • preserving the history of the University • audit or enforcement proceeding where the records need to be kept

  15. Risks and Costs of Excess Retainage Periods • If the records are stored in an outside facility, then expenses are incurred for this storage. • If the records are stored internally, there are staff costs to consider for the time it takes your employees to sort through, maintain and move around the records. • There are opportunity costs for the internal space used to store the excess records.

  16. Risks and Costs of Excess Retainage Periods • Holding onto records for extended periods of time can expose the University to undue risk. • Rights of access are extended beyond the legally required periods, if the records are retained, and last as long as the records are retained.

  17. Destruction of Records • Historic value to UR? • Non-sensitive material • Sensitive Information disposal without confidential status being compromised

  18. Destruction of Confidential Records • Paper Shredders • small volumes of paper records • can be done in each office • Autoclave • large volumes or heavy paper records • call MC Housekeeping/Environmental Services at 5-3666 to request pickup of records • follow records through to actual destruction

  19. Three Words to Remember: • Communicate • Compliance • Confidentiality

  20. Petty Cash Funds • Collect original receipts when paying out of fund. Receipts plus cash on hand must equal the total fund amount. • Account for food purchases and human subject payments in accordance with UR policies. • Properly secure this fund in a locked cash box, which is kept in a locked desk or cabinet (or a safe for large amounts).

  21. Questions?

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