Records Management Policy

Policy on Records Management

 LANA® holds responsibility for maintaining a management system capable of tracking all documents, records, and forms. The document tracking system will include a title, approval person(s) and date, and a controlled document disclaimer. LANA®’s management system is shared with all relevant personnel through their duties and responsibilities/position descriptions and reviewed biennially as part of LANA®’s BOD and employee performance assessment. 

Procedures for Records Management

In provision of its duties concerning the Policy on Records Management, LANA®’s Executive Director with the assistance of committees and committee chairs shall perform the following tasks:

 ·     Implement and maintain document controls through a document tracking system including managing obsolete/historical documents/data

  o  Documents have a consistent label: 

§  Title
§  Approval person(s)
§  Approval Date
§  Controlled document disclaimer 
o  Any updates are made across all affected documents
o  Obsolete documents removed from accessibility, stored, and maintained separately 

·     Implement and maintain document retention procedures: 

o  Examination Application for the current year will be kept in a locked cabinet then transferred to LANA®’s locked external storage facility. Applications older than seven years will be shredded.
o  Applications are scanned onto a thumb drive at the time they are received as a back-up. Thumb drives are kept longer than seven years. Implement and ensure internal audits of management systems.
o  All obsolete documents are kept for a period of seven years. 

·     Maintain confidentiality by LANA® BOD, employees, and independent contractors for LANA® treating all LANA® related information and activities with the utmost confidentiality. All with access to confidential private or sensitive information are not to divulge this information unless authorized to do so. 

Policy on Internal Audits for Record Management

The LANA® Board of Directors will conduct an annual internal audit of LANA’s Record Management. Audits will be performed by members of the LANA® Board of Directors or an external consultant. Auditors will not audit their own work. Auditors are required to identify any appropriate opportunities for improvement in the addition to any concerns found in the review. 

Procedures for Internal Audits for Record Management

In provision of its duties concerning the Policy on Internal Audits for Record Management, LANA®’s President and/or Treasurer with the assistance of Committee Chairs shall perform the following tasks: 

·     Procure an auditor with sufficient expertise and impartiality to perform an audit of the Record Management.

·     Provide the auditor with access to the Record Management and all supporting documentation, records, forms and documents as required to perform the audit.

·     Results of the audit will be reviewed.

·     Establish a plan for correction/updates, as required.

·     Monitor the progress of the updates/correction and close out as completed.

·     Use the results of the audit as inputs to the Records Management.

·     Upon completion follow procedures of Records Management for documentation of any changes.