Records Management Program - Responsibilities

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  22.01.2009    Mario Rieger   

RECORDS M A N AG E M E N T PROGRAM RESPONSIBILITIES

A.

R E C O R D S M A NA G E R

The Records Manager is responsible for developing the records management program, for ensuring the program is implemented, and for establishing procedures to test compliance with the program. Responsibilities include: „

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Mario Rieger

Digitally signed by Mario Rieger DN: cn=Mario Rieger, o, ou, email=mario_rieger@we b.de, c=US Reason: I am the author of this document Date: 2009.07.24 14:15:27 +02'00'

Establishing appropriate policies and/or procedures to be applied to all company records, regardless of their media or location Reviewing, classifying, and establishing record retention schedules for all company records Periodically reviewing and updating schedules to reflect changes in legal and/or operational requirements Providing education and awareness to Company employees regarding the Records Management Program Managing inactive company records at an appropriate storage facility Providing for the review and destruction of eligible records and maintaining documentation of destruction Establishing suspension procedures to stop scheduled destruction of records that are required for litigation, audit, or regulatory investigation

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Identifying and protecting the company’s vital records and providing a means for recovery of records in the event of a disaster Conducting random audits of company records to establish compliance with company retention policies

B.

R E C O R D S C O O R D I NA TO R S

Records Coordinators must be aware of company records management policies and act as the primary record management resource for their department or division. Responsibilities include: „

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Providing assistance to ensure: Department records are in compliance with approved Records Retention Schedules Office-of-record documents are properly maintained Documents are properly processed for active / inactive storage Appropriate records are submitted for vital records protection Providing expertise to the department Signature Authority as required in support of destruction decisions Attending all required training programs

C.

E M P L OY E E S

Employees must understand their obligations regarding management and protection of company information and must comply with Records Management Program policies and procedures. They must: „

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D.

Maintain the records they create in compliance with company policies and procedures Maintain active records in an organized manner so they can be found when they are needed Review files at least once a year, usually during the company Annual Records Cleanout Purge records that have met their retention requirements Transfer in-active records to storage if they require further retention Retain records that are required for litigation, audit, or regulatory investigation

D E PA RT M E N T S I G NA T U R E AU T H O R I T Y

Company management is responsible for implementing company records management policies and procedures within their department. Responsibilities include: „

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Appointing a Record Coordinator to serve as the primary contact with the Records Management department Reviewing and approving departmental record retention schedules Reviewing and approving Records Retention Schedules change requests

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Reviewing and approving Destruction Notifications and Certificates of Destruction Ensuring that an employee’s records are reviewed when he/she leaves the company or transfers to another department. Records must be retained and/or destroyed in accordance with record retention schedule, and Distributed, when applicable, to appropriate individuals in the company