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Risk Management Records Batch

Risk Management Records document the University’s efforts to minimize the adverse effects of accidental losses by either preventing losses, using risk control techniques to mitigate losses, or paying for those losses that inevitably occur using risk financing techniques.  The records also document the development and maintenance of programs that protect the University from unanticipated loss by providing systematic risk analysis, developing techniques to reduce potential exposure to loss, and procuring and administering insurance and self-insurance programs at the University.

 

A.  Loss Prevention Records

Loss Prevention Records document the identification, assessment, and management of potential and actual events or activities that may adversely impact the University to help units eliminate or reduce losses.  These records found in all media (paper, electronic, or otherwise) may include but are not limited to:

  • contract review records;
  • medical centers’ incident reporting records;
  • statistical analysis and assessment records; and
  • loss prevention solutions and strategies records.

 

Retention:

Official Record: A.1. Contract Review Records - Retain records for 4 years after the end of the fiscal year in which the contract is reviewed.

 

A.2. A.2. Medical Centers’ Incident Reporting Records - Retain records for 10 years after the end of the fiscal year in which the incident was reported or as long as recommended by the California Hospital Association .

 

A.3. All Other Loss Prevention Records - Retain records until superseded, obsolete, or administrative use ceases

 

All Other Copies: Copies are considered non-records, and should be retained only until their usefulness has passed, but never any longer than the official record.

 

Confidential ? Some of these records may have restricted information in them. Restricted information is “Notice Triggering” information, as defined in UC Information Systems Policy BFB-IS-2 (e.g., name plus Social Security Number, driver’s license or California identification card number, financial account number with a security code, medical information or health insurance information).  Records containing restricted information (regardless of media) must be protected from unauthorized access, disclosure and disposition, in accordance with University policy and California and Federal laws.

 

Vital ? No

 

Justification :

California Code of Civil Procedure, § 335.1

California Code of Civil Procedure, § 337

California Code of Civil Procedure, § 338(a)

California Code of Civil Procedure, § 340.4

California Code of Civil Procedure, § 340.5

California Hospital Association, Record and Data Retention Schedule, A comprehensive guide for hospitals and other health care providers , March 2011, Eighth Edition, pages 21 and 24

 

Comments :

Medical Centers’ Incident Reporting Records are usually maintained in a required reporting system where the centers report adverse events , near misses related to patient care, controlled substance accountability, environment of care issues and sometimes employee injuries .  The se system s are used to notify the appropriate personnel of incident s that may lead to claims which are documented in a different manner (see B. 1 of this sub-section for Claim Management Records), as well as to identify trends and other analytical measurables.

 

Since some of these records may contain restricted information, creating copies is discouraged.  If created, they must be protected from unauthorized access, disclosure and disposition in accordance with University policy and California and Federal laws.

 

This is a media neutral retention schedule.


B.  Loss Control Records

Loss Control Records document activities to minimize the impact of losses at the University.  (Records that document employment related claims, also known as employment practices liability claims are not included in this part of the UC Records Retention Schedule.  See the Comments section for information.)  These records found in all media (paper, electronic, or otherwise) may include but are not limited to:

  • medical centers’ incident reporting records;
  • claims management records for auto, property, professional, general, and other types of liabilities;
  • insurance records, including policies, underwriting agreement records, certificates of insurance and other insurance related compliance tracking records;
  • litigation management records for requests pertinent to civil litigation when UC is a party to the action ; and
  • subpoena management records when UC is not a party to the action.

 

Retention:

Official Record: B.1. Medical Centers’ Incident Reporting Records - Retain records for 10 years after the end of the fiscal year in which the incident was reported or as long as recommended by the California Hospital Association .

 

B. 2 . Claims Management Records - Retain records for 5 years after the end of the fiscal year in which the claim is resolved or as long as required by contract, university policy, or law.

 

B. 2 3 . Insurance Records - Retain records for 4 years after the end of the fiscal year in which all potential claims can be made and all actual claims have been completely settled or otherwise resolved.

 

B. 3 4 . Litigation Management Records for requests pertinent to civil litigation when UC is a party to the action - Retain records for 5 years after the end of the fiscal year in which the matter is resolved.

 

B. 4 5 . Subpoena Management Records for subpoenas when UC is not a party to the action - Retain records for 2 years after the end of the fiscal year in which all activities involved with the subpoena request have ended.

 

B. 5 6 . All Other Loss Control Records - Retain records for 5 years after the end of the fiscal year in which all activities have ended.

 

All Other Copies: Copies are considered non-records, and should be retained only until their usefulness has passed, but never any longer than the official record.

 

Confidential ? Some of these records may have restricted information in them. Restricted information is “Notice Triggering” information, as defined in UC Information Systems Policy BFB-IS-2 (e.g., name plus Social Security Number, driver’s license or California identification card number, financial account number with a security code, medical information or health insurance information).  Records containing restricted information (regardless of media) must be protected from unauthorized access, disclosure and disposition, in accordance with University policy and California and Federal laws.

 

Vital ? Some may be vital

 

Justification :

California Code of Civil Procedure, § 335.1

California Code of Civil Procedure, § 337

California Code of Civil Procedure, § 338(a)

California Code of Civil Procedure, § 340.4

California Code of Civil Procedure, § 340.5

California Code of Civil Procedure, § 583.310

California Hospital Association, Record and Data Retention Schedule, A comprehensive guide for hospitals and other health care providers , March 2011, Eighth Edition, pages 21 and 24

OGC recommendation as per In re Napster, Inc. Copyright Litig., 462 F. Supp. 2d 1060, 1068 (N.D. Cal. 2006)

 

 

Comments :

Medical Centers’ Incident Reporting Records are usually maintained in a required reporting system where the centers report adverse events , near misses related to patient care, controlled substance accountability, environment of care issues and sometimes employee injuries .  The se system s are used to notify the appropriate personnel of incident s that may lead to claims which are documented in a different manner (see B. 2 of this sub-section for Claim Management Records), as well as to identity trends and other analytical measurables.

 

Records that document any claims through the University regarding employment related issues are found in the Human Resources Records - Employment Related Claims Records section of the UC Records Retention Schedule (see 0004C).

 

The official records of the Claims Management Records are currently managed by a third party administrator.  There are two components being managed by the third party administrator: 1) a database used to document and track claims and 2) documents that have been submitted during the life of the claim.  The database is also used for statistical analysis and looking at trends.  The retention period for this component can be found in sub-section A. 3 2 .

 

The majority of litigation management records for requests pertinent to civil litigation when UC is a party to the action become part of the legal case file for that particular matter.  As such, they are considered administrative records managed by the Office of the General Counsel (OGC).  The General Counsel is a principal officer of The Regents , and as noted in RMP-1, the records of this office are outside of the scope of this retention schedule.  OGC has its own retention schedule managed by their Legal Information Services Manager.  For various reasons, some of these records are not turned over to OGC.  When this happens, this will be the retention requirement for these few records found at the locations.

 

Since some of these records may contain restricted information, creating copies is discouraged.  If created, they must be protected from unauthorized access, disclosure and disposition in accordance with University policy and California and Federal laws.

 

This is a media neutral retention schedule.