Records Management Policies and Procedures … · Web viewThe retention period in paper form shall...

Records Management Policies and Procedures Manual

Five Management System

Bááháálí Chapter

8/17/2015

BÁÁHÁÁLÍ CHAPTERRECORDS MANAGEMENT POLICIES AND PROCEDURES MANUAL

TABLE OF CONTENTSPreface: Table of contents 2

I. AUTHORIZATION 4A. 26 N.N.C., Section 101 (A)B. Chapter Resolution

II. PURPOSE AND SCOPE OF POLICY 4A. Statement of PolicyB. Applicability

III. AMENDMENTS 4A. Request for AmendmentsB. The Basis of AmendmentsC. Procedures

IV. GENERAL STATEMENT OF POLICIES 5A. Chapter records are public informationB. Control and managementC. Chapter records shall be completeD. Chapter records and propertyE. No personnel recordsF. Navajo Privacy and Access to Information ActG. Records are property of chapterH. Confidential recordsI. Retention period

V. GENERAL DUTIES AND RESPONSIBILITIES 5A. Administrative AssistantB. Chapter ManagerC. Chapter Officials

VI. FILES 6A. PolicyB. Filing Methods

VII. CLASSIFICATION OF RECORDS 7

Page 1 of 35Bááháálí Chapter Records Management Policies and Procedures

A. Classification of all recordsB. Inventory DocumentationC. Categorized files

VIII. ACCESSIBILITY AND RETRIEVAL 8A. PolicyB. Available, disclosure, and protectedC. Procedures for accessing public recordsD. Procedures for accessing protected records

IX. DENIAL AND APPEAL 10A. Access records and informationB. DenialC. Notice of Denial

X. PROTECTION AND BACKUP OF PUBLIC AND PROTECTED RECORDS 10

A. Protected RecordsB. Backup and ProtectionC. Damaged or Accidental Loss of Records

XI. TRANSFER OF INACTIVE RECORDS AND DISPOSAL 11A. Policy

XII. DEFINITIONS 13XIII. APPENDIXES 14

A. Release Information Form 15B. Request for Chapter Records or Documents 16C. Computer Back-up Log 17D. Records Inventory List 18E. Transfer Form 19F. Disposal Form 20


BÁÁHÁÁLÍ CHAPTERRECORDS MANAGEMENT POLICIES AND PROCEDURES MANUAL

I. AUTHORIZATION A. Pursuant to 26 N.N.C., Section 101 (A), Bááháálí Chapter is

required to adopt and operate under a Five Management System to ensure accountability. Accordingly, Bááháálí Chapter shall also develop policies and procedures for the Five Management System consistent with applicable Navajo Nation Law.

B. Pursuant to Bááháálí Chapter Resolution BSPRG-07-07-06 and BHC-11-09-S01, the Records Management Policies and Procedures Manual is hereby approved.

II. PURPOSE AND SCOPE OF POLICYThis policy is to set forth the authority, principles and procedures governing the creation, classification, maintenance, retrieval, disposal, and safeguarding of the Bááháálí Chapter records.

III. AMENDMENTSA. Records Management Policies and Procedures can be amended

based on recommendations from Chapter staff, officials, and Chapter membership; or external influences such as changes in applicable Navajo Nation Laws, economy, and governmental structure; or through recommendations from consultants, audits or other reviews, which might cause a need for amendment to this policy. If the policies and procedures warrant amendment, the proposed amendment(s) shall be presented at a regularly scheduled Chapter meeting for approval or disapproval by a simple majority vote.

B. The basis to add/delete or to revise any section(s) or provision(s) of the Bááháálí Chapter Records Management Policies and Procedures Manual would be subject to the following condition(s):1. Additional regular full-time staff positions have been added

that would require further segregation of duties and responsibilities.

2. A change in the Chapter’s organizational structure.3. The present Records Management Policies and Procedures

Manual is no longer adequate to address the needs of the Bááháálí Chapter government.

C. Procedures and Requirements for Submitting Amendments:


1. Any proposed amendments to the Records Management Policies and Procedures Manual must be submitted in writing to the Chapter Manager.

2. The proposed amendments must be drafted in a legislative format. New language will be underlined and old language over-stricken.

3. The Chapter Manager in consultation with the Navajo Nation Department of Justice and the Office of the Auditor General will review the proposed amendments to assure compliance with applicable federal, state and Navajo Nation Laws.

4. If requirements 1, 2 & 3 above are met, the Chapter Manager will forward them to the Chapter Officials for review and discussion at a regular scheduled planning meeting.

5. The Chapter Officials may, depending on whether the amendments are substantial and sufficient to warrant a public hearing, direct the Chapter Manager to set a public hearing date, time and location.

6. Based upon information received during the public hearing, the Chapter Officials will forward the recommendations to the Chapter membership for approval or disapproval at a regular duly called Chapter meeting with a simple majority vote.

7. Upon approval, the Chapter Manager will make recommended changes to the manual with a supporting resolution.

IV. GENERAL STATEMENT OF POLICIESA. All Bááháálí Chapter records are public information except those

that are specifically defined by the Navajo Nation Privacy and Access to Information Act as protected records.

B. The control and management of all chapter records shall be properly segregated among the Chapter Administrative Staff so that no single person is in the position to handle all aspects of records control.

C. All Bááháálí Chapter records shall be complete, kept current and kept at the Chapter Administration at all times under lock and key in a filing cabinet.

D. All Bááháálí Chapter records and property shall be made available upon request to the Chapter Officials and authorized employees of the Navajo Nation.


E. No personnel records shall be removed or destroyed without proper documentation or authorizations from the Chapter Manager/Officials.

F. Bááháálí Chapter shall ensure compliance with the Navajo Nation Privacy and Access to Information Act, and other applicable Navajo Nation laws, rules, regulations, policies and procedures.

G. Chapter Officials and Administrative Staff shall understand that Bááháálí Chapter records are the property of the Chapter.

H. Confidential records shall be protected at all times.I. Bááháálí Chapter shall ensure records that have reached the end

of their retention period be properly authorized for destruction.V. GENERAL DUTIES AND RESPONSIBILITIES

A. The Administrative Assistant shall be responsible for:1. The inventory of all Chapter records.2. Keeping all Chapter records complete and current at all

times.3. Labeling the confidential or public files (i.e.

CONFIDENTIAL).4. Obtaining approval from the Chapter Manager for retrieval

of confidential records.5. Assist and be responsible for performing backup on records

on a bi-weekly basis.6. The maintenance and safeguard of all Chapter records by

securing the file cabinets with a lock/keyB. Accessing and retrieval of Chapter records by authorized

requests, or court orders, audits, and inspections. The Chapter Manager shall be responsible for:1. The creation, classification, retention, protection, retrieval

and disposal of all Chapter records.2. The preparation of a retention schedule for Chapter

records.3. The documents and preparation of all written reports to the

Chapter Officials concerning any damages or accidental loss of Chapter records.

C. Chapter Officials Responsibilities:1. The Chapter President shall work closely with the Vice

President and the Secretary/Treasurer to ensure that the Chapter Administration is adequately complying with the


Chapter established records management policies and procedures as well as applicable Navajo Nation Laws.

2. The Chapter Secretary/Treasurer shall monitor the records management system on a quarterly basis to ensure compliance.

3. The Secretary/Treasurer shall turn over to the Chapter Manager, within ten (10) working days any official actions by the Chapter membership, all resolutions, minutes and other official documents, for proper record keeping and carrying out chapter directives.

4. The Chapter President shall work with the Chapter Standing Committees to ensure that Meeting Minute Packets (meeting minutes, sign-in sheets, agenda, and any updated financial reports) are submitted to the Administrative Assistant within ten (10) working days of any duly announced meetings.

VI. FILESA. It shall be the policy of the Bááháálí Chapter to maintain a

complete and updated permanent filing system that will enable records to be easily accessed and retrieved. Refer to Section VIII of these policies for accessibility and retrieval process.

B. The following types of filing methods will be utilized to identify each section for ease of accessibility:1. Alphabetical-filed alphabetically2. Geographic-filed alphabetically according to location and/or

address3. Numerical-filed by an assigned number4. Subject-filed alphabetically according to subject5. Chronological-filed by time or date

VII. CLASSIFICATION OF RECORDSA. The Bááháálí Chapter shall maintain a classification of all records

to ensure confidentiality of certain records and documents be safeguarded in compliance with the Navajo Nation Privacy and Access to Information Act, 2 N.N.C., Section 84 and 85.

B. All inventory documentation of Bááháálí Chapter shall be classified according to their importance and categorized in the chapter files as follows:1. Protected Records—confidential records on persons or

governmental entities, which contain data that is private or


otherwise protected, as provided by 2 N.N.C. Section 85, of the Navajo Nation Privacy and Access to Information Act. These records cannot be replaced and are valuable to the Chapter; therefore, they shall be kept on file using an external hard drive and secured in the fire-proof file cabinet. The retention period in paper form shall be for a period of five (5) years. However, the Chapter shall maintain these records longer than the retention period when mandated by Federal, State, and/or Navajo Nation requirements. The Protected Records are not for duplication or public view without proper authorization. They include, but are not limited to, the following:a. Financial statements b. Deeds and legal documentsc. Real estate documents

2. Essential Records—Records that characterizes and identifies the Chapter; and are essential for full operation of the Chapter government. These records are valuable to the Chapter. These records shall be kept on file for ten (10) years. However, the Chapter shall maintain these records longer than the retention period when mandated by Federal, State, and/or Navajo Nation requirements. They include, but are not limited to, the following:a. Chapter enrollmentb. Chapter ordinancesc. Chapter Plan of Operationd. Chapter Master Land Use Plan

e. Five Management System policies and procedures manual

f. Chapter contracts g. Audit reportsh. Project information

3. Important Records—Records that are of great value and importance to the chapter government. These records shall be kept on file and stored for a minimum period of eight (8) years. However, the Chapter shall maintain these records longer than the retention period when mandated by


Federal, State, and/or Navajo Nation requirements. They are, but not limited to, as follows:a. Resolutionsb. Meeting minutesc. Chapter Profiled. Property Inventory Listings Records (buildings,

equipment, records)e. Employee payroll records

4. Useful Information—Records used and stored by the chapter for information of previous activities and projects. These records have some significant values but may cost considerably to replace if lost or misplaced. These records shall be filed and stored for a minimum period of five (5) years. However, the Chapter shall maintain these records longer than the retention period when mandated by Federal, State, and/or Navajo Nation requirements. They are, but not limited to, as follows:a. Client assistance listing and information (financial,

housing, veterans, senior citizens, scholarship, emergency, etc.)

b. Travel Authorizationsc. Personnel records and informationd. Correspondencee. Vendor Informationf. Formsg. Logs (phone, mail, activities, etc.)h. Resale Inventory Records

5. Non-essential Records—Records of no value to the chapter operation. Once their useful purpose has been fulfilled they can be destroyed. They are, but not limited to as follows:a. Publicationsb. Flyers, Bulletinc. Junk mail

VIII. ACCESSIBILITY AND RETRIEVALA. It shall be the policy of Bááháálí Chapter that all chapter records

are public information for public access upon request, except those records that are specifically defined and treated as


protected records pursuant to 2 N.N.C., Section 85 of the Navajo Nation Privacy and Access to Information Act (Exhibit A).

B. No Personnel Record or other confidential documents shall be duplicated without written permission from the individual whose record(s) is to be duplicated; a signed Authorization to Release Information Form (Exhibit B) shall be required. However, the personnel records may be disclosed in compliance with a lawful investigation, audit, or subpoena.

C. Procedures for accessing Public Records:Upon request, the Bááháálí Chapter Administration will make available for disclosure, any public records as follows:1. The requesting party will complete a Request for Chapter

Records Document Form (Exhibit C) with the Administrative Assistant.

2. Any person making the request for a record will provide the title of record(s) or document(s), purpose, requested by, date, mailing address and telephone number.

3. The requesting party will be responsible for reproduction cost or may examine the records at the Bááháálí Chapter Administration office under the supervision of a staff member.

A. Procedures for accessing Protected Records:Upon request, the Chapter Administration will make available for disclosure the protected records as follows:1. All requests for Chapter documents will be made to the

Administrative Assistant.2. Any person making the request for a record will complete a

Request for Chapter Records Documents Form (Exhibit C) containing title of record(s) or document(s), purpose, requested by, date, mailing address, and telephone number.

3. The Administrative Assistant will explain the policy regarding protected records, and submit the request to the Chapter Manager.

4. The Chapter Manager will be responsible for assuring the information or records requested meet the following conditions:a. The information shall be available for criminal and

civil law enforcement for prosecution purposes,


internal or external audit, court orders, and medical treatment to address public health needs.

b. The information relating to an individual will be available to the individual who is the subject of the record, or if a minor, will be available to the parent or guardian.

c. Individual records may be released to third parties with a written permission, by means of a notarized release, of the individual who is the subject of those records, or if a minor, his or her parent or legal guardian.

d. Individual records may be used for statistical and other purposes provided that any information, which could be used to identify the individual specifically, is removed or withheld.

e. The Chapter Manager/Administrative Assistant will verify and record the requestor’s identity.

f. Before releasing a protected record, the Chapter Manager will inform the requestor that he or she is prohibited from disclosing or providing a copy(s) of the protected record(s) to any other person and will obtain the requestor’s written acknowledgement of this prohibition. If the requestor does not comply, he/she will be subject to Navajo Nation Law.

g. Within thirty (30) calendar days, the Chapter Manager will respond to the request by:(1). Approving the request and providing the

records.(2). Denying the request by providing a written

explanation of why the record(s) are protected from disclosure. In making such determinations, the Chapter Manager will consult with the Chapter Officials and the Navajo Nation Department of Justice for advice and assistance.

(3). Notifying the requestor that the Chapter does not maintain the record(s) and providing, if known, the name and address of the governmental entity that does maintain the record(s).

h. Upon approval of the request, the requesting party may receive copies of records (any applicable fees


will be paid to the Administrative Assistant) or may examine the records at the Chapter Administration office under the supervision of Chapter Administration staff members. Any reproduction cost will be the responsibility of the requesting party.

IX. DENIAL AND APPEALA. The Bááháálí Chapter recognizes and pledges accessibility to its

records and information while protecting the privacy interests of individuals and entities. Therefore, the Bááháálí Chapter shall not deny accessibility to records or information, except those that are exempt from disclosure to the requestor. In the case of such a denial of access, the Chapter shall issue a notice of denial, as provided in 2 N.N.C., Section 89 of the Navajo Nation Privacy and Access to Information Act.

B. If the request for protected records is denied, in whole or in part, the Chapter Manager shall provide a notice of denial to the requestor either in person or by sending the notice to the requestor’s address.

C. The notice of denial shall contain the following information:1. Unless otherwise required by a court of competent

jurisdiction, Bááháálí Chapter may not destroy or give up custody of any records to which access was denied until the period for a court appeal has expired, or the end of the appeal process.

2. In the event the Bááháálí Chapter determines that the requested record is protected from disclosure, or fails to respond to the request within the thirty (30) day period, the requesting party may submit an application to the Navajo Nation District Court, as defined in 7 N.N.C., Section 253, in accordance with the proper processes of the court for an order compelling the release of the record.

3. This application must meet the notice and filing requirements of the Navajo Nation Sovereign Immunity Act, 1 N.N.C., Chapter 5.

4. Any person who may have an interest in maintaining the confidentiality of the record may appear and demonstrate the need for maintaining the confidentiality of such records.

X. PROTECTION AND BACKUP OF PUBLIC AND PROTECTED RECORDSA. All protected, essential, useful, and important records shall be

preserved by a backup method in case of damage or accidental loss. It shall be the responsibility of the Administrative Assistant


to perform backup procedures on a bi-weekly basis; and the Chapter Manager will authorize access to the backup system if needed.

B. The backup and protection mechanism shall be applied in any of the following methods:1. Records shall be photocopied and stored at a separate and

secure location.2. Records copied on an external hard drive and stored at a

separate and secure location.3. Records copied on computer digital video disc (dvd) and

stored at a separate and secure location. 4. A Computer Back-Up Log (Exhibit D) shall document the

frequency of backups.C. Damaged or Accidental Loss of Records:

1. The Chapter Manager shall document by written report to the Chapter Officials, any damaged or accidental loss of essential records. Proper authorities shall be notified immediately.

2. Every effort shall be made to replace the public or protected records from the backup source as soon as possible.

3. Bááháálí Chapter funds shall not be used to cover cost of replacing lost records. The cost to recover lost or damaged records shall be the obligation of the responsible individual unless the loss was accidental or otherwise not the fault of any party.

XI. TRANSFER OF INACTIVE RECORDS AND DISPOSALA. It shall be the policy of Bááháálí Chapter to classify inactive and

historical files according to their importance, and establish the retention period, disposal and transfer to a separate and secure storage area.1. Transfer Procedures for Inactive Records:

a. The Administrative Assistant will be responsible for keeping all records complete and current at all times, by reviewing the Records Inventory List (Exhibit E) to assure those records that have reached their retention period are brought to the Chapter Manager’s attention and request for transfer by using the Transfer Request Form (Exhibit F).


b. The Chapter Manager will authorize the Administrative Assistant to transfer those records, after consulting with the Chapter Officials.

c. The Administrative Assistant will transfer all inactive records to a storage area separate from the Chapter House and properly secured to ensure adequate safekeeping.

d. The Administrative Assistant will label all storage boxes as protected, essential, useful, and important records for easy identification, accessibility and retrieval.

e. The Chapter Manager will be authorized to have direct access to inactive files in storage.

2. Disposal Procedures:a. The Administrative Assistant will be responsible for

keeping all records complete and current at all times by reviewing the records inventory list to assure those records that have reached their retention period are brought to the Chapter Manager’s attention and request for disposal by using the Disposal Form (Exhibit G).

b. The Chapter Manager, in consultation with the Chapter Officials, will authorize the Administrative Assistant to destroy those records by shredding and remove those records from the records inventory list.

c. All remaining inactive records will be stored in an adequately secured storage area separate from the Chapter House during the retention period.


XII. DEFINITIONSA. Confidential or protected record—any record containing data on

persons or governmental entities that are private or otherwise protected as provided by 2 N.N.C., Section 85, of the Navajo Nation Privacy and Access to Information Act.

B. Public Record—any record that is not private or otherwise protected and that is not exempt from disclosure as provided in 2 N.N.C. Section 84, of the Navajo Nation Privacy and Access to Information Act.

C. Record—all books, letters, documents, papers, maps, plans, photographs, films, cards, tapes, recordings, electronic data, or other documentary materials regardless of physical form or characteristics which are prepared, owned, received, or retained by Bááháálí Chapter and where all of the information in the original is reproducible by photocopy or other mechanical or electronic means.Record does not mean:1. Materials that are legally owned by an individual in his/her

private capacity.2. Materials to which access is limited by the laws of

copyright or patent.3. Books and other materials that are cataloged, indexed,

inventoried or contained in the collections of libraries open to the public.

4. Daily calendars and other personal notes prepared by the originator for the originator’s personal use or for the personal use of an individual for whom he/she is working.

5. Computer programs/software that are developed or purchased by Bááháálí Chapter for its own use.

D. Right to Privacy—the right of a person to be free from unwarranted intrusion by a governmental unit.


XIII. APPENDIXESA. Navajo Nation Privacy and Access to Information Act Exhibit AB. Release Information Form Exhibit BC. Request for Chapter Records or Documents Exhibit CD. Computer Back-up Log Exhibit DE. Records Inventory List Exhibit EF. Transfer Form Exhibit FG. Disposal Form Exhibit G


Exhibit A


of 35Bááháálí Chapter Records Management Policies and Procedures

Exhibit BBÁÁHÁÁLÍ CHAPTER

AUTHORIZATION FOR RELEASE OF INFORMATION

Information Requested: ______________________________________________________

Name of requestor: _____________________________________

Address: _______________________________________________________________________________________________________________

Telephone Number:

The requestor agrees that she/he will not disclose or provide a copy of this protected Record to any other person.

Signature: Date

DO NOT WRITE BELOW THIS LINE – FOR USE BY BÁÁHÁÁLÍ CHAPTER ADMINISTRATION PERSONNEL ONLY

Your request must meet one of the following conditions:

[ ]The information shall be available for criminal and civil law enforcement for prosecution purposes, internal audit, as a result of a court order, to further an individual’s medical treatment, and to address public health needs.[ ] The information relating to an individual shall be available to the individual who is the subject of the record, or if a minor, shall be available to the parent or guardian.[ ] Individual records may be released to third parties with a written permission, by means of a notarized statement; releasing information pertaining to the individual who is the subject of those records, if a minor, his or her parent or legal guardian.[ ] Individual records may be used for statistical and other purposes provided that any information, which could be used to identify the individual specifically, is removed or withheld.

Your Request For Information is [ ] Approved [ ] Denied, because:

Authorized Signature:

Signature Title Date


Exhibit CBÁÁHÁÁLÍ CHAPTER

RECORDS MANAGEMENT SYSTEMREQUEST FOR CHAPTER RECORDS/DOCUMENTS

Date of Request: Title of Record/Document: Purpose: Request By: Title: Program/Address: Phone No.: No of Duplication: Fee for Reproduction:

FOR CHAPTER USE ONLY APPROVED DENIED

Signature of Chapter Manager Date

BÁÁHÁÁLÍ CHAPTERRECORDS MANAGEMENT SYSTEM

REQUEST FOR CHAPTER RECORDS/DOCUMENTSDate of Request: Title of Record/Document: Purpose: Request By: Title: Program/Address: Phone No.: No of Duplication: Fee for Reproduction:

FOR CHAPTER USE ONLY APPROVED DENIED



Exhibit D

Bááháálí ChapterComputer Back-Up Log

Computer Location:

Assigned to:

DATE TIME COMPLETE/PARTIAL


Exhibit E

Bááháálí ChapterRecords Inventory List

Date Location File Title Begin Date Transfer Date


of 35Bááháálí Chapter Records Management Policies and Procedures

Exhibit F

BÁÁHÁÁLÍ CHAPTERRECORDS MANAGEMENT SYSTEMREQUEST FOR TRANSFER OF FILES

Date of Request: Title of Record/Document: Transfer To: Reason for Transfer:

FOR CHAPTER USE ONLYApproval/Disapproval


Signature of Chapter Official Date

BÁÁHÁÁLÍ CHAPTERRECORDS MANAGEMENT SYSTEMREQUEST FOR TRANSFER OF FILES

Date of Request: Title of Record/Document: Transfer To: Reason for Transfer:

FOR CHAPTER USE ONLY



Signature of Chapter Official Date


Reason for Disapproval:

Reason for Disapproval


Exhibit G

BÁÁHÁÁLÍ CHAPTERRECORDS MANAGEMENT SYSTEMREQUEST FOR DISPOSAL OF FILES

Date of Request: Title of Record/Document: Beginning Date: Reason for Disposal:

FOR CHAPTER USE ONLYApproved / Disapproved


BÁÁHÁÁLÍ CHAPTERRECORDS MANAGEMENT SYSTEMREQUEST FOR DISPOSAL OF FILES

Date of Request: Title of Record/Document: Beginning Date: Reason for Disposal:

FOR CHAPTER USE ONLY


Approved / Disapproved



Reason for Disapproval:

Reason for Disapproval


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