TRICARE Management Activity

HEALTH AFFAIRS

Records Management

2007 Data Protection SeminarTMA Privacy Office

2

Records Management

Purpose

The purpose of this presentation is to provide guidance on the laws and regulations that govern TRICARE Management Activity (TMA) records. This presentation will also provide specific examples of policies and procedures that are both protective and compliant when handling TMA records.

3

Records Management

Objectives

Upon completion of this lesson, you will be able to:

Discuss records management concepts

Determine what is a TMA record

Recognize a records lifecycle

Define the impact of record freezes

Locate your records

Identify when TMA records can be destroyed

4

As a manager, you have many important responsibilities:

Managing people and other resources

Reporting to the Department of Defense (DoD) Headquarters officials

Answering questions from beneficiaries, sponsors, contractors and others

Managing your records

Records Management

Management Responsibilities

5

Why should I care about my records?

It’s the Law

It’s in your best interest

To find the information you need

To document your accomplishments

To avoid embarrassment, litigation, loss of security clearance, dismissal from Federal service and prosecution

To protect the rights of citizens and the government (TMA)

Records Management

Why Care?

6

What Can You Do to Help Improve TMA Recordkeeping?

Ensure that a living, breathing records program is established in your office(s)

Records management is a part of new employee orientations (government and contractors) and out briefings

The proper amount of resources and people are assigned to operate the program

Continuous support is provided by management

Records Management

How to Improve Recordkeeping

7

Records Management

Regulations 36 CFR 1234 and 1228.270,

Office of Management and Budget (OMB), U.S. General Services Administration (GSA), etc.

Assign responsibility

Integrate with other records and information management

Procedures

Training

Documentation

Keep track of electronic records

Schedule for disposal

Security

Contractors

Follow requirements

8

Records Management

What Can I Do to Avoid Records Problems? (1 of 2)

9

Records Management

What Can I Do to Avoid Records Problems? (2 of 2)

10

Records Management

What Are the Problems?

Management & staff support for custodians is needed

E-mail management Records destruction freezes Records need to be retired at Federal

Records Center (FRC) Electronic recordkeeping Filing is not according to

Administrative Instruction 15 (AI-15)

11

Records Management

This Agency Let Their Records Storage Policy Go Down the Toilet

12

Records Management

Cheney Defiant on Classified Material Executive Order Ignored Since 2003

Cheney aides have not filed reports on their possession of classified data and at one point blocked an inspection of their office

In 2004, the Archives' Information Security Oversight Office, decided to conduct an on-site inspection of Cheney's office to see how sensitive material was handled. The Vice President's staff blocked the inspection

Cheney's office argued that it was exempt from the rules in this case because it is not strictly an executive agency

The Justice Department confirmed that it is looking into the issue

By Peter Baker – Washingtonpost.com - Updated: 9:38 p.m. MT June 21, 2007

13

Records Management

E-Discovery, It’s the Law

In May of 2005, Morgan Stanley was ordered to pay $1.45 billion in a civil lawsuit, due in large part to failure to properly produce electronic documents. The Judge ruled that Morgan Stanley had committed "willful and gross abuse of its discovery obligations" and reversed the standard burden of proof, requiring Morgan Stanley to prove that it had not committed the infractions of which it was accused of instead of requiring the plaintiff to prove that it had deleted thousands of e-records

14

Records Management

Court Cases Involving E-mail (1 of 2)

Former star investment banker, Frank Quattrone, was convicted of obstructing federal investigations into stock offerings at Credit Suisse First Boston. Central to the case was an e-mail Quattrone forwarded telling employees it was "time to clean up those files" after he learned of the investigation

More than 500 of former West Virginia Gov. Bob Wise's intimate e-mails with a state employee were obtained under the Freedom of Information Act and made public in 2003. The employee's husband filed for divorce and Wise didn't seek re-election in 2004

15

Records Management

Court Cases Involving E-mail (2 of 2)

In a Massachusetts class-action suit over the dangers of the diet drug combination Phen-Fen, the court allowed this e-mail from a company executive to be admitted: "Do I have to look forward to spending my waning years writing checks to fat people worried about a silly lung problem?"

Chevron settled a lawsuit for $2.2 million that involved an interoffice e-mail giving 25 reasons why beer is better than women

16

Records Management

Records Management Records management is a staff function, not

"office services." It cuts across organizational lines

Information should be treated as a resource, the same as personnel, facilities, and money

Manage records through their "life cycle“

Paperwork and electronic processes, not just “media”, need to be managed

A records management program should be continuous, not a one-time action

Records management should never become an administrative "burden"

17

“Records include all books, papers, maps, photographs, machine readable materials, or other documentary materials,

made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of Government or because of the informational value of data in them.” 44 U.S.C. Sec. 3301

In other words, any information in any media created or received while fulfilling the duties of your position, or conducting official business,

except reference materials

Records Management

First, What is a Record?

Regardless of physical form or characteristics,

18

Records Management

Characteristics of Records

Authenticity Proven to be what they purport to be Created and sent by the person implied to have sent/created them Created/sent at the time claimed

Integrity Must remain complete and unaltered – over time!

Usability Can be located, retrieved, presented and interpreted

Reliability Contents can be trusted as a full and accurate representation of

the transaction to which they attest

All Records – including electronic records – Must have the following Trustworthy characteristics

19

Records Management

General Requirements for Records

Content Information contained within the record

Context Meta Data – retrieval and makes the record

meaningful Structure

How the information is organized

The electronic record must retain its characteristics over time, for as long as they are required to be legally retained

20

Records Management

Records Include:

Paper reports, directives, forms, correspondence Phone call notes Photographs, videotapes, posters Maps and drawings Databases E-mails Microfilms

21

Records Management

What is Not a Record?

Material that does not meet the statutory definition of records includes but is not limited to:

Technical reference materials

Catalogs, trade journals, manuals

Extra copies

Blank forms

Some electronic information

22

Created by means of a computing device

Stored on an electronic media/device

Meta Data used to retrieve / search and completes the context of electronic record

Records Management

What is an Electronic Record? (1 of 2)

Electronic records include data files and databases, machine readable indices, word processing files, E-mails, instant messages, digitized versions of hard copy records and much, much more

23

Can be anything paper can be… and more

Video, sound, image files

“Compound documents” (e.g., linked documents)

Web based documents

Basic components

The record/data

Metadata

Documentation

Records Management

What is an Electronic Record? (2 of 2)

24

Capture electronic messages and files as “records” and ‘freeze’ them from further change

Organize them logically so they can be accessed quickly

Maintain security and integrity of each record

Preserve records over time

Save the hidden background data linked to each E-mail message, word processing file, spreadsheet, etc.

Allow the electronic records to be retained and disposed of according to AI 15 and National Archives and Records Administration (NARA) requirements

Records Management

Electronic Recordkeeping

25

Electronic mail (E-mail)/PDA’s Scanned images Electronic Information Systems (EIS), and

databases Calendars (Senior Management/High-

ranking Officials) Websites

Records created/born electronically (Word, pdf’s, etc.)

Voice mail saved and played back over E-mail, voice and video-enabled portals/websites, etc

NARA estimates that currently 14,000 separate file formats exist – and additional formats are added daily …

Technologies that are unthinkable today will be commonplacecommonplace tomorrow

Records Management

Proliferating Formats

26

Easily and quickly sort data

Access existing relational data

Modify data easily

Disseminate information quickly and over large geographic areas

Saves space

More functions than paper

Research value, ex. NARA

Preserve history

Records Management

Benefits of Electronic Records

27

Security

Hardware/software dependence

Version control

Ad-hoc disposal

Personal filing system Authenticity

Accessibility

“Much of the information of the late 20th century and 21st century will be lost if we don’t do something about solving the problems of saving electronic information over time. The truth is that vital digital materials are being lost every day, and the cost of those losses is unknown and unknowable.” - Reynolds Cahoon, Assistant Archivist and Chief Information Officer at NARA. August 9, 2004 Federal Times

Records Management

Challenges of Electronic Records

28

Records Management

What is an E-mail Record?

36 CFR 1234.2

Definition:

Message that is created or received on an E-mail system, including envelope data, notes, and attachments

29

Records Management

Is My E-mail a Federal Record?Yes, if it does not include:

An E-mail truly personal in content and use

An extra copy

Only requires action by another office

30

Everybody is a Records Manager

It’s MINE!

IT personnel unaware of RM

Disorganized electronic information

Fragmentation

Haphazard disposal

Future use in question

Records Management

Problems of Electronic Records

31

Records Management

Can I Delete E-mail?

Ask your Records Custodian:

Do I have authority from NARA to delete E-mail?

What is the agency E-mail policy: keeping copies electronically or in paper files?

How does the agency capture the whole E-mail record—the transmission data as well as the content of the message?

32

Records Management

TMA and the DoD E-mail Policy (1 of 2)

Memo Re-issued May 22, 2005

Subject: Electronic Mail Records and Electronic Mail Retention Policies for the DoD, by Linton Wells II, Acting Assistant Secretary of Defense Networks and Information Integration and DoD Chief Information Officer

Print and File

Currently, TMA’s policy is to print record E-mail messages and file them in the appropriate case or subject folder

33

Documents of short-term interest or value

All non-record E-mail should be deleted within 180 days

Approved Electronic Records Management (ERM) software – DoD Directive 5015.2, “DoD Records Management Program”, March 6, 2000

Record e-mail should be saved to an approved recordkeeping system

Records Management TMA and the DoD E-mail Policy (2 of 2)

34

Electronic records must be identified and recognized as records by users

Electronic records must be retained in accordance to the AI - 15 records retention schedule

Proactive measures must be taken to preserve accessibility and authenticity of electronic records

Records management personnel and IT must work together to successfully manage electronic records

Records Management Electronic Records Mandate

35

Determine whether it meets the legal definition of a record

Should contain essential transmission, receipt data, and attachments (metadata)

When E-mail is retained as a record, the periods of its retention are governed by records retention schedules

Delete non-record E-mail (short term records that have a retention of 180 days or less)

Note: Messages from Note: Messages from PDA’s are treated the PDA’s are treated the same as E-mailsame as E-mail

Records Management Points to Remember about E-mail Records

36

Records Management

The Information and System Lifecycle

Phase 1 Initiation

Phase 2 Acquisition/

Development

Phase 3 Implementation

Phase 4 Operations/

Maintenance

Phase 5 Disposition

Creation/Receipt of Records

Active use of office records

Records Management

Inactive use: Federal Records Center

When would youaddress RecordsManagement?

37

Records Management

Lifecycle - Electronic Records Creation orCreation or

ReceiptReceipt

‘On-line”Storage

‘On-line”Storage

Inactive“Near Line”

Inactive“Near Line” Inactive

“ - ”Inactive

“ - ”

Inactive in RecordsCenter DispositionDisposition

Creation orCreation or

ReceiptReceipt

‘On-line”Storage

‘On-line”Storage

DispositionDisposition

InactiveInactive“Off-Line”“Off-Line”

Permanent:Permanent: 2 - 5%2 - 5%

TemporaryTemporary:: 95 - 98%95 - 98%

Inactive“Near-line”Inactive“Near-line”

Inactive:in recordscenter

Inactive:in recordscenter

CaptureCapture

Active Use &DistributionActive Use &Distribution

MigrationTransferMigrationTransfer

ArchivesArchives

DestructionDestruction

38

Records Management What is a Freeze?

Any action, or event that will prevent the destruction of records

Litigation

Updating a records control schedule

Re-processing, re-engineering

Disasters

39

Records Management Freezes on Destruction Records that could

(and should) have been destroyed prior to the freeze must now be retained!

If you did not follow the records schedule and you still have the records on hand you cannot destroy them until all issues have been resolved

Non-records until you are absolutely certain (have received notification by legal counsel) of the scope of the freeze you must keep all materials

Reference material

Office copies

Backup tapes

All pertinent E-mail messages

40

Records Management TMA Current Freezes (1 of 2)

False Claims Act

Tobacco litigation

Pharmaceutical payments

Columbia/Hospital Corporation of America (HCA) Hospitals

Inpatient & outpatient outlier payments

Guantanamo Bay Detention Facility

Hurricane Katrina

41

Records Management TMA Current Freezes (2 of 2)

Corporal Patrick Daniel Tillman

Palmera Pineda aka Simon Trinidad

Jose Padilla

Ferroz Ali Abbasi

Pharmacy records

White House Briefings-Elections/Candidates

White House E-mail

42

Records Management Old Records

Records that could (and should) have been destroyed prior to the freeze must now be retained!

If you did not follow your records schedule and you still have the records on hand you cannot destroy them until all issues have been resolved

43

Backup tapes and discs are for Disaster Recovery, Not recordkeeping

Records Management Backup Tapes and Recordkeeping

Because they do not have the features specified in 36 CFR 1234.24, paragraph (c), backup tapes should NOT be used for recordkeeping purposes

44

Records Management

Transfer to Federal Records Centers

It’s in your interest!It’s in your interest!

It’s in the public’s interest

It’s in the public’s interest

45

TMA offices and contractors transfer their inactive records to NARA for proper storage

Records Management Transfer

46

Records Management Storage and Handling of Electronic Media

Store In “Cool, Dry Space”

Temperature – 40 degrees (F)

Humidity - 25% Rh Source: Ann Balough, Records & Inf. Report

47

Electronic records may be stored on optical disks, diskettes, CD-ROMs

These items must meet the following labeling requirements:

Disposition authority

File number

Originating office symbol

Title

Beginning and ending dates

Security

Records Management

Storing and Labeling Requirements

48

Can I remove, delete or destroy other types of Federal records?

No! Not unless the TMA Records Manager provides a NARA disposition authority

Unauthorized destruction or removal may result in prosecution and criminal penalties

Records Management

Destruction

49

Records Management

Summary

You should now be able to:

Discuss records management concepts

Determine what is a TMA record

Recognize a records lifecycle

Define the impact of record freezes

Locate your records

Identify when TMA records can be destroyed

50

Records Management

Resources (1 of 2)

Office of Secretary of Defense Records Management Administrative Procedures and Records Disposition Schedules AI-15, Vol. I, November 2006 Vol. II, August 1994

Washington Headquarters Services (WHS) Executive Services Directorate Directives and Records Division: http://www.dtic.mil/whs/directives/

TMA Privacy Office: http://www.tricare.mil/tmaprivacy/recordmgmt.cfm

NARA): http://www.archives.gov/records-mgmt/

51

Records Management

Resources (2 of 2)

TRICARE Management Activity

HEALTH AFFAIRS

Please fill out your critique

Thanks!