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KUMC Policies, Procedures and Operational Protocols  :

Contact By Governmental Investigative Agencies


Policy Statement

The University of Kansas Medical Center requires a subpoena, search warrant or other court order for any information released to governmental agencies, including law enforcement agencies.

Background

Governmental responses to the terrorist events of September 11, 2001, and the passage of new legislation are increasingly important for University faculty and staff. Several legislative changes have occurred in light of those events, the most important of which is the USA Patriot Act (Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act).

Under the Patriot Act, educational institutions are affected in several ways, including:

  1. A provision that allows representatives of the U.S. Attorney General to submit a written application to a court for an order requiring an educational institution to collect and produce education records that might otherwise be protected by FERPA (Title V, Removing Obstacles to Investigating Terrorism, section 507 referencing the Family Educational Rights Privacy Act),
  2. University personnel are prohibited by law from disclosing that the FBI has sought or obtained records for foreign intelligence and international terrorism investigations to anyone other than those absolutely necessary (e.g., dean or director) to produce the requested information (Title II, Enhanced Surveillance Procedures, section 215) and,
  3. Immunity for the University as a provider of electronic communications services if it furnishes information or assistance in accordance with a court order or a request for emergency assistance under the Foreign Intelligence Surveillance Act of 1978.

Procedures

If contacted by a governmental agent by phone or in person:

General Information Requests

  1. Verify the person’s government credentials: document the agent’s name, government agency and phone number, date and time of the contact as well as the specific information requested.
  2. Inform the investigative agent that release of requested information may require service of a subpoena, search warrant or other court order.
  3. Immediately contact all appropriate schoolor department supervisors about the request.

Service of Subpoena, Search Warrant or Court Order

If you are the first point of contact with an investigative agent who is delivering a subpoena, search warrant or other court order:

  1. Verify the person’s government credentials: document the agent’s name, agency and phone number, date, time, and the information requested.
  2. Ask the agent for permission to contact KUMC Legal Counsel to review the paperwork.
  3. If the agent refuses to wait before executing the instructions detailed in a subpoena, search warrant or court order, contact KUMC Legal Counsel, but do not inhibit the progress of the investigation.

Student Information Requests

If you are contacted by a representative from a governmental organization conducting an investigation involving a KUMC student:

  1. Refer the requesting agency to the KUMC Registrar for guidance regarding appropriate actions to be taken.
  2. Contact KUMC Legal Counsel for guidance.

Computer, Electronic Information or Network-Related Requests

If you are contacted by a representative from a governmental organization that is conducting an investigation involving KUMC computing and networking resources:

  1. Immediately inform the Associate Vice Chancellor for Information Resources & Chief Information Officer and the KUMC Legal Counsel to seek guidance regarding appropriate actions to be taken.

Authorization for Law Enforcement Investigation of Computer Trespass

If you suspect a "computer trespasser":

Any member of the KUMC online community who knows or believes the KUMC system or systems have been compromised by a computer trespasser, should first report this to the Associate Vice Chancellor for Information Resources & Chief Information Officer. This administrator will then decide whether to contact law enforcement. [Changes under the Patriot Act allow a system owner or operator to authorize law enforcement intercept of electronic communications of computer trespassers (Title II, section 217).] The Associate Vice Chancellor for Information Resources has the authority to grant such authorization.

Voluntary Disclosure of Information to External Agents

If you believe that you have accessed information during the normal course of business about an emergency involving immediate danger of death or serious physical injury, contact the KUMC Public Safety Office immediately. Then report that contact and underlying information immediately to the Vice Chancellor for Administration.

Definitions

Computer System Owner – The University of Kansas Medical Center

Computer System Operator – Associate Vice Chancellor for Information Resources

Governmental Agency -- any local, state or federal governmental unit that has authority to investigate an alleged violation of law. Examples include: Kansas City, Kansas Police Department, Kansas Department of Health & Environment, Federal Bureau of Investigation, Immigration and Naturalization Service.

Internet Service Provider - KUMC Security Administrator

School or Department Supervisors - dean, director, or department chair

Exceptions

Student directory information may be released unless a student has specifically requested that it not be released, and the KUMC Registrar will know whether a student has chosen not to release directory information. Student directory information includes name, address, phone number, electronic mail address, and date of birth.

Records available through the Kansas Open Records Act.

Related Documents

Kansas Open Records Act, http://www.kumc.edu/Pulse/policy/KSOpenRecordsAct.html

Family Educational Rights Privacy Act, 20 USC1232g

Contacts

KUMC Public Safety Office (Police Department)
911 or 588.5030

KUMC Legal Counsel
588.7281

KU General Counsel Office – Lawrence Campus
785.864.3276

Vice Chancellor for Administration
588.1400

Associate Vice Chancellor for Information Resources & Chief Information Officer
588.7301

KUMC Security Administrator
588.7316

Registrar’s Office
588.7055

Custodian of Public Records
588.1400

Effective Date: June 20, 2003

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