Background
The
purpose of the (company) Records Management Policy is to define the framework
and accountability required for an effective records management program, the
goal being that employees have the information they need for effective
decision-making, operations, and risk management. In order to fulfill this purpose, the Policy
and its Operating Standards outline roles and responsibilities for Allianz
personnel,
including Record Owners. Record Owners are responsible for compliance
with the Records Management Policy and Operating Standards in each of their
areas of responsibility, and attest to their level of compliance annually. An officer directly above the Record Owner
in the management hierarchy acts as “signatory”, in order to validate the
Record Owner’s assessment of compliance with policies.
Attestation Process
The purpose of
the Attestation Process is to assess compliance with records management
policies. On an annual basis, the Records
Management Team will initiate the attestation process.
1.
Record Owners
will be verified with senior management.
New Record Owners will be trained on the Attestation Process.
2.
Attestation
signatories will also be validated.
3.
Attestation
Statements, assignment instructions, and timeline will be distributed to Record
Owners for each cost center throughout the company.
4.
Record Owners
will have 45 days to complete the attestation statement, assisted by the
Records Management Team as requested.
5.
Record Owners
will have 15 days to obtain attestation signatory sign-off on the Signatory
Attestation document.
6.
Records
Management will prepare results of the attestation process for Allianz
management.
7.
Attestation
Summaries will be reviewed and evaluated by the Records Management Steering
Committee. An overview of the results
will be provided to senior management and determination of any further action
items will be made.
8.
The Records
Management Team will work with the company on action planning implementation.