Records Control Policy

Purpose:

This policy establishes procedures for the management, retention, and disposal of records related to Trike Training LLC’s certification programs, ensuring compliance with ANSI requirements and maintaining the integrity of our certification process.

Scope:

This policy applies to all records generated or received by Trike Training LLC in connection with its certification programs, including but not limited to:

• Certification applications

• Training completion records

• Certification decisions

• Complaints and appeals documentation

• Records of advisory board meetings

• Financial and operational records

Policy Statement:

Trike Training LLC is committed to maintaining accurate, secure, and accessible records to ensure compliance with regulatory and accreditation standards, protect stakeholder interests, and support organizational transparency.

Records Management Procedures

1. Record Identification and Creation:

• All certification-related records must be accurately identified and created in a timely manner.

• Records will include the date, title, and any associated reference numbers to ensure traceability.

2. Record Retention:

• Records will be retained for a minimum of three (3) years from the date of creation or as required by applicable laws and ANSI standards.

• Specific retention periods:

• Certification records (e.g., applications, decisions): 3 years

• Complaints and appeals documentation: 3 years

• Financial and operational records: 3 years

• Board meeting records: 3 years

3. Storage and Security:

• Records will be stored electronically in a secure database, with access restricted to authorized personnel.

• Physical records, if any, will be stored in locked filing cabinets in the principal office.

4. Access to Records:

• Access to records is granted on a need-to-know basis to maintain confidentiality and prevent unauthorized use.

• Certification records are accessible to the certification holder and regulatory authorities upon request.

5. Record Updates and Revisions:

• Any updates or corrections to records must be documented, including the date, nature of the change, and the individual responsible for the update.

• Records must reflect the most accurate and up-to-date information.

6. Disposal of Records:

• Records that have exceeded their retention period will be securely disposed of through shredding (for physical records) or permanent deletion (for electronic records).

• A log of disposed records will be maintained, including dates and methods of disposal.

7. Backup and Disaster Recovery:

• Electronic records will be backed up regularly to prevent loss due to system failure or other unforeseen events.

• Backup records will be stored securely offsite or in a cloud-based storage solution.

Compliance and Review:

• This policy will be reviewed annually by the Board of Advisors to ensure ongoing compliance with ANSI standards and any applicable legal requirements.

• Non-compliance with this policy will be addressed promptly, with corrective actions implemented as necessary.

Adoption:

This Records Control Policy is effective as of 03/11/24 and has been approved by the management of Trike Training LLC.