Attestation
Summary
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. 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.
ü
For the Attestation Statement below, select a green, yellow,
or red status for each category.
ü
Attach an Action Plan for any category in a yellow or red
status, using the template provided.
ü
Complete the summary information below.
I
am the Record Owner for the records produced by the job functions of the cost
center(s) specified below. I have read
and understand the Records Management Policy and its requirements, as well as
the Operating Standards for implementing Policy. To the best of my knowledge, I attest to the
following with regard to the records for which I am responsible:
1.
The Record Catalog is complete for the records associated
with the business processes in the cost center(s) listed below.
q Green: The
Record Catalog includes an inventory of all existing record types.
q Yellow: The Record Catalog includes 90-99% of all
existing record types.
q Red: The Record Catalog includes less than 90% of
all existing record types, or I am unable to verify the percent of record types
included.
Note: A yellow or red assessment in this category
will automatically cause the remaining categories below to be yellow or red.
2.
Record protection is functioning properly.
q Green: The following conditions must ALL be met:
ü
All record types have been assigned a security
classification.
ü
All record types have been assigned an appropriate corresponding
security control.
ü
All security controls are in place.
q Yellow: All confidential
or strictly confidential record types
have been identified and assigned a security classification with an appropriate
corresponding security control, and the
control is in place. However, security controls
have been assigned and/or put in place for 90-100% of other record types.
q Red: Applies
if ANY of the following conditions exist:
ü
I am unable to verify that 100% of confidential or strictly
confidential record types have been identified, classified, and/or
controlled.
ü
I am unable to verify that 90% or more of my other record
types have been identified, classified, and/or controlled.
3.
Record retention is functioning properly.
q Green: The following conditions must ALL be met:
ü
All record types have been assigned a retention category
ü
The retention category is correct
ü
All record types are being kept at least as long as the
period for that category indicates
q Yellow: Applies if ANY of the following conditions
exist:
ü
95-99% of all record types have been assigned a retention
category
ü
95-99% of all record types have a correct retention category
ü
95-99% of all record types are being kept at least as long as the period for that
category indicates
q Red: Applies if ANY of the following conditions
exist:
ü
Less than 95% of all record types have been assigned a
retention category
ü
Less than 95% of all record types have a correct retention
category
ü
Less than 95% of all record types are being kept at least as long as the period for that
category indicates
ü
I am unable to verify the percent of completeness with
regard to retention category assignment, correctness, or adherence
Summary
Information
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Department
or Division |
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Cost Center(s)
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Record
Owner Name |
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Position |
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Date Completed
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