Digital Communication and Records in Service Provision and Supervision: Regulation and Practice

Abstract

While the use of computer-based communication, video recordings, and other “electronic” records is commonplace in clinical service settings and research, management of digital records can become a great burden from both practical and regulatory perspectives. Three types of challenges commonly present themselves: regulatory requirements; storage, transmission, and access; and analysis for clinical and research decision-making. Unfortunately, few practitioners and organizations are well enough informed to set necessary policies and procedures in an effective, comprehensive manner. The three challenges are addressed using a demonstrative example of policies and procedural guidelines from an applied perspective, maintaining the unique emphasis behavior analysts place upon quantitative analysis. Specifically, we provide a brief review of federal requirements relevant to the use of video and electronic records in the USA; non-jargon pragmatic solutions to managing and storing video and electronic records; and last, specific methodologies to facilitate extraction of quantitative information in a cost-effective manner.

Glossary

Cloud (“cloud computing”)

Computer network connected to a computer or group of linked computers (server) that allows the hardware and software demands to be removed from the local machine and handled by the cloud computer network; most email accounts are set up using cloud computing

Database

An organized collection of data, often supported by a specific type of software (i.e., Excel™, FileMaker™)

Data loss

An error condition in which stored digital information is destroyed by failures or neglect in storage, transmission, or processing. Backup and disaster recovery equipment can prevent data loss

Data transmission

Any transfer of data in either physical or digital form, including transmission of keystrokes on a keyboard to a computer screen, a phone call, or a video signal

Digital storage

Hard drives and other storage devices that hold and/or process digital information for storage and retrieval; these devices may be stationary, such as on a computer desktop, or portable/mobile

Encryption

The process of encoding messages or information in such a way that only authorized parties can read it; it does not prevent a message from being intercepted, but it will prevent the content from being read (Advanced Encryption Standard or AES is a specification for the encryption of electronic data established by the US National Institute of Standards and Technology—NIST—in 2001)

FileMaker™

A software application to develop databases that is a subsidiary of Apple

Firewall

A software or hardware-based network security system that controls the incoming and outgoing network traffic. Firewalls establish a barrier between a trusted, secure internal network and another network that is assumed to be insecure or untrusted

Heartbleed bug

A security bug that attacked secure webservers that allows information to be stolen using the encryption typically used to secure the Internet and allows anyone on the Internet to read the memory of the systems protected by the vulnerable versions of the OpenSSL software

ILOVEYOU virus

An email-driven virus with “I LOVE YOU” in the subject line that contains an attachment that, when opened, sends the message to everyone in the recipient’s Microsoft Outlook address book and wipes every JPEG, MP3, and certain other files from the recipient’s computer

Intermediary network devices

Devices that provide connectivity and work behind the scenes to ensure that data flows across the network, including routers, switches, hubs, wireless access points, servers and modems, and security devices

Klez virus

A virus transmitted through email that replicates itself and sends to all those in the victim’s address book; it often contains other harmful programs that can disable virus-scanning software or the full computer’s functionality

Mobile device

Any computer, tablet, cell phone, video camera, DVD or tape recorder, or other portable devices capable of storing electronic or digital media for any length of time

Network

A telecommunications system that allows computers to exchange data. Networks can be internal (private network within an organization) or external (public); internal networks do not guarantee the safe transmission of digital information without appropriate safeguards

“Phishing”

The attempt, usually by an unknown or unfamiliar entity, to acquire sensitive information such as usernames, passwords, and other account information by pretending to be a trustworthy source; email communications used for phishing typically have weblinks, which can be infected with viruses or malware (malicious software)

Restricted folder/subfolder

File storage location on a computer or mobile device in which a username and password or other access restriction is applied so that contents are “locked” unless special authorization is given

Server

A specialized computer or group of computers with software that communicates with and provides data to other designated computers

Uniform resource locator (URL)

A web address

Virtual private network (VPN)

A VPN extends a private, internal network across a public network and enables a computer to send and receive data public networks as if it is directly connected to the private network (i.e., secure)